# 金融商品取引法 / Financial Instruments and Exchange Act — 第三十三条の三 (Article 33-3) - Law: 金融商品取引法 (Financial Instruments and Exchange Act), 昭和二十三年法律第二十五号 - English title "Financial Instruments and Exchange Act": Ministry of Justice translation - Kind: Act — the distinction between 法律 (Act), 政令 (Cabinet Order), 省令 (Ministerial Order) and 条例 (local ordinance) decides who may issue it and what it may say. - Provision: 第三十三条の三 (Article 33-3)（金融機関の登録申請） — address `art-33-3` - Text in force since: 2026-08-12 - URL (the page that opens at this provision): https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-33-3 - Every provision below carries its address and both URLs on the line under it. - Japanese text: e-Gov 法令検索, Digital Agency (デジタル庁). English: as marked on each line below. Only the Japanese as published by the government has legal effect; the text below is a copy of it. Every English rendering below is a translation and says which kind: the Ministry of Justice's translation, or this site's machine translation, whose model and date the Sources list names. They are never merged and never substituted for one another. --- ### 第三十三条の三（金融機関の登録申請） — (Application for the Registration of a Financial Institution) caption: Ministry of Justice translation — Japanese Law Translation Database System art-33-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3 · https://japanlaw.org/l/323AC0000000025/art-33-3 **第一項** 前条の登録を受けようとする者は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。 art-33-3/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1 A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars: Ministry of Justice translation — Japanese Law Translation Database System **一** 商号又は名称 art-33-3/par-1/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-1 its trade name or name; Ministry of Justice translation — Japanese Law Translation Database System **二** 資本金の額、基金の総額又は出資の総額 art-33-3/par-1/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-2 the amount of stated capital, the total amount of funds, or the total amount of contributions; Ministry of Justice translation — Japanese Law Translation Database System **三** 役員の氏名又は名称 art-33-3/par-1/item-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-3 the names of its officers; Ministry of Justice translation — Japanese Law Translation Database System **四** 会計参与設置会社にあつては、会計参与の氏名又は名称 art-33-3/par-1/item-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-4 the names of its accounting advisors, if it is a company with accounting advisors; Ministry of Justice translation — Japanese Law Translation Database System **五** 第三条各号に掲げる有価証券又は金融商品取引所に上場されていない有価証券（第二十九条の二第一項第六号に規定する政令で定めるものを除く。）について、電子募集業務又は電子募集取扱業務を行う場合にあつては、その旨 art-33-3/par-1/item-5 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-5 if the person provides an electronic offering service or electronic public offering service with regard to securities set forth in the items of Article 3 or securities not listed on a financial instruments exchange (excluding those specified by Cabinet Order as prescribed in Article 29-2, paragraph (1), item (vi)), an indication of this; machine translation, not official **六** 高速取引行為に関する次に掲げる事項 art-33-3/par-1/item-6 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-6 the following particulars concerning high-speed trading: Ministry of Justice translation — Japanese Law Translation Database System **イ** 登録金融機関業務（前条の登録に係る業務をいう。以下同じ。）として高速取引行為を行う場合にあつては、その旨 art-33-3/par-1/item-6/sub-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-6/sub-1 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-6/sub-1 if the person conducts high-speed trading as registered financial institution business (meaning business in connection with the registration set forth in the preceding Article; the same applies hereinafter), an indication of this; and Ministry of Justice translation — Japanese Law Translation Database System **ロ** イに規定する場合のほか、高速取引行為を行う場合にあつては、その旨 art-33-3/par-1/item-6/sub-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-6/sub-2 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-6/sub-2 beyond the case provided for in (a), if the person conducts high-speed trading, an indication of this; Ministry of Justice translation — Japanese Law Translation Database System **七** 貸付事業等権利についての第二条第八項第七号から第九号までに掲げる行為を業として行う場合にあつては、その旨 art-33-3/par-1/item-7 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-7 if the person conducts, as a business, the acts set forth in Article 2, paragraph (8), items (vii) through (ix) with regard to rights in a lending business, etc., an indication of this; machine translation, not official **八** 本店その他の営業所又は事務所の名称及び所在地 art-33-3/par-1/item-8 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-8 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-8 the names and locations of its head office and other business offices or offices; Ministry of Justice translation — Japanese Law Translation Database System **九** 他に事業を行つているときは、その事業の種類 art-33-3/par-1/item-9 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-9 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-9 if the person engages in other business, the business type; and machine translation, not official **十** その他内閣府令で定める事項 art-33-3/par-1/item-10 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1/item-10 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1/item-10 other particulars specified by Cabinet Office Order. machine translation, not official **第二項** 前項の登録申請書には、次に掲げる書類を添付しなければならない。 art-33-3/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2 The following documents must accompany the written application for registration referred to in the preceding paragraph: Ministry of Justice translation — Japanese Law Translation Database System **一** 第三十三条の五第一項第一号及び第二号に該当しないことを誓約する書面 art-33-3/par-2/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-1 a document pledging that the applicant does not fall under Article 33-5, paragraph (1), items (i) and (ii); Ministry of Justice translation — Japanese Law Translation Database System **二** 損失の危険の管理方法、業務分掌の方法その他の業務の内容及び方法として内閣府令で定めるものを記載した書類 art-33-3/par-2/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-2 a document stating the person's way of managing the risk of loss, the way that duties are divided, and the other things specified by Cabinet Office Order as constituting the business outline and business methods; Ministry of Justice translation — Japanese Law Translation Database System **三** 親法人等、子法人等その他の関係会社の状況として内閣府令で定めるものを記載した書類 art-33-3/par-2/item-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-3 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-3 a document stating the things specified by Cabinet Office Order as constituting the person's status as a parent corporation, etc., subsidiary corporation, etc., or other affiliated company; and Ministry of Justice translation — Japanese Law Translation Database System **四** 前三号に掲げるもののほか、定款、登記事項証明書、貸借対照表、損益計算書その他内閣府令で定める書類 art-33-3/par-2/item-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-4 its articles of incorporation, certificate of registered information, balance sheet, profit and loss statement, and other documents specified by Cabinet Office Order, other than those that are set forth in the preceding three items. Ministry of Justice translation — Japanese Law Translation Database System **第三項** 前項第四号に掲げる書類を添付する場合において、定款若しくは貸借対照表が電磁的記録で作成されているとき、又は損益計算書について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録（内閣府令で定めるものに限る。）を添付することができる。 art-33-3/par-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-3 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-3 As concerns the documents set forth in item (iv) of the preceding paragraph accompanying a written application for registration, if the articles of incorporation or balance sheet have been prepared as electronic or magnetic records or if electronic or magnetic records have been prepared for a profit and loss statement in lieu of a written document, such electronic or magnetic records (limited to those specified by Cabinet Office Order) may accompany the written application for registration in lieu of the written documents. Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-33-3/par-1: 前条 → 金融商品取引法 第三十三条の二 (Article 33-2), art-33-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-2 · https://japanlaw.org/l/323AC0000000025/art-33-2 - art-33-3/par-1/item-5: 第三条 → 金融商品取引法 第三条 (Article 3), art-3 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-3 · https://japanlaw.org/l/323AC0000000025/art-3 - art-33-3/par-1/item-5: 第二十九条の二第一項第六号 → 金融商品取引法 第二十九条の二第一項第六号 (Article 29-2, paragraph (1), item (vi)), art-29-2/par-1/item-6 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-29-2/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-29-2/par-1/item-6 - art-33-3/par-1/item-6/sub-1: 前条 → 金融商品取引法 第三十三条の二 (Article 33-2), art-33-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-2 · https://japanlaw.org/l/323AC0000000025/art-33-2 - art-33-3/par-1/item-7: 第二条第八項第七号から第九号まで → 金融商品取引法 第二条第八項第七号 (Article 2, paragraph (8), item (vii)), art-2/par-8/item-7 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-2/par-8/item-7 · https://japanlaw.org/l/323AC0000000025/art-2/par-8/item-7 - art-33-3/par-1/item-7: 第二条第八項第七号から第九号まで → 金融商品取引法 第二条第八項第八号 (Article 2, paragraph (8), item (viii)), art-2/par-8/item-8 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-2/par-8/item-8 · https://japanlaw.org/l/323AC0000000025/art-2/par-8/item-8 - art-33-3/par-1/item-7: 第二条第八項第七号から第九号まで → 金融商品取引法 第二条第八項第九号 (Article 2, paragraph (8), item (ix)), art-2/par-8/item-9 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-2/par-8/item-9 · https://japanlaw.org/l/323AC0000000025/art-2/par-8/item-9 - art-33-3/par-2: 前項 → 金融商品取引法 第三十三条の三第一項 (Article 33-3, paragraph (1)), art-33-3/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-1 - art-33-3/par-2/item-1: 第三十三条の五第一項第一号 → 金融商品取引法 第三十三条の五第一項第一号 (Article 33-5, paragraph (1), item (i)), art-33-5/par-1/item-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-5/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-1 - art-33-3/par-2/item-1: 第二号 → 金融商品取引法 第三十三条の五第一項第二号 (Article 33-5, paragraph (1), item (ii)), art-33-5/par-1/item-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-5/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-33-5/par-1/item-2 - art-33-3/par-2/item-4: 前三号 → 金融商品取引法 第三十三条の三第二項第一号 (Article 33-3, paragraph (2), item (i)), art-33-3/par-2/item-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-1 - art-33-3/par-2/item-4: 前三号 → 金融商品取引法 第三十三条の三第二項第二号 (Article 33-3, paragraph (2), item (ii)), art-33-3/par-2/item-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-2 - art-33-3/par-2/item-4: 前三号 → 金融商品取引法 第三十三条の三第二項第三号 (Article 33-3, paragraph (2), item (iii)), art-33-3/par-2/item-3 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-3 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-3 - art-33-3/par-3: 前項第四号 → 金融商品取引法 第三十三条の三第二項第四号 (Article 33-3, paragraph (2), item (iv)), art-33-3/par-2/item-4 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-4 ## Cited by 22 provisions cite this one. No official source publishes this direction. - 特定商取引に関する法律 第二十六条第一項第八号イ（適用除外） — https://japanlaw.org/ja/specified-commercial-transactions-act/art-26/par-1/item-8/sub-1 · https://japanlaw.org/l/351AC0000000057/art-26/par-1/item-8/sub-1 - 犯罪による収益の移転防止に関する法律 第二十二条第三項（行政庁等） — https://japanlaw.org/ja/criminal-proceeds-act/art-22/par-3 · https://japanlaw.org/l/419AC0000000022/art-22/par-3 - 金融商品取引法 第三十一条の三の二第一項（金融商品取引業を行う旨の表示等の禁止） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-31-3-2/par-1 · https://japanlaw.org/l/323AC0000000025/art-31-3-2/par-1 - 金融商品取引法 第三十一条の四第三項（取締役等の就任等に係る届出） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-31-4/par-3 · https://japanlaw.org/l/323AC0000000025/art-31-4/par-3 - 金融商品取引法 第三十一条の四第四項（取締役等の就任等に係る届出） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-31-4/par-4 · https://japanlaw.org/l/323AC0000000025/art-31-4/par-4 - 金融商品取引法 第三十三条の三第二項（金融機関の登録申請） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2 - 金融商品取引法 第三十三条の三第二項第四号（金融機関の登録申請） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-2/item-4 - 金融商品取引法 第三十三条の三第三項（金融機関の登録申請） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-3/par-3 · https://japanlaw.org/l/323AC0000000025/art-33-3/par-3 - 金融商品取引法 第三十三条の四第一項第一号（金融機関登録簿への登録） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-4/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-33-4/par-1/item-1 - 金融商品取引法 第三十三条の六第一項（変更の届出） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-6/par-1 · https://japanlaw.org/l/323AC0000000025/art-33-6/par-1 - 金融商品取引法 第三十三条の六第三項（変更の届出） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-6/par-3 · https://japanlaw.org/l/323AC0000000025/art-33-6/par-3 - 金融商品取引法 第三十三条の八第一項（信託業務を営む場合等の特例等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-33-8/par-1 · https://japanlaw.org/l/323AC0000000025/art-33-8/par-1 - 金融商品取引法 第六十五条の四第一項（内閣府令への委任） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-65-4/par-1 · https://japanlaw.org/l/323AC0000000025/art-65-4/par-1 - 金融商品取引法 第六十六条の六十一第二項（廃業等の届出等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-61/par-2 · https://japanlaw.org/l/323AC0000000025/art-66-61/par-2 - 金融商品取引法 第百九十四条の六第二項（農林水産大臣及び経済産業大臣との協議等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-194-6/par-2 · https://japanlaw.org/l/323AC0000000025/art-194-6/par-2 - 金融商品取引法 第百九十八条の六第一項第一号 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-198-6/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-198-6/par-1/item-1 - 金融商品取引法 附則第五十四条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-54/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-54/par-2 - 金融商品取引法 附則第五十四条第三項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-54/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-54/par-3 - 金融商品取引法 附則第百四十八条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-148/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-148/par-2 - 金融商品取引法 附則第百四十八条第三項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-148/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-148/par-3 - 金融商品取引法 附則第二条第一項（経過措置） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4291-37/art-2/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4291-37/art-2/par-1 - 金融商品取引法 附則第八条第二項（投資運用関係業務に関する経過措置） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-5061-32/art-8/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-5061-32/art-8/par-2 --- ## Sources - e-Gov 法令検索, Digital Agency (デジタル庁) — 金融商品取引法 — the text in force from 2026-08-12 (https://laws.e-gov.go.jp/law/323AC0000000025/20260812_508AC0000000064), retrieved 2026-10-22 - Japanese Law Translation Database System, Ministry of Justice (法務省) — Financial Instruments and Exchange Act — Ministry of Justice translation (https://www.japaneselawtranslation.go.jp/en/laws/view/4633/tb), retrieved 2026-10-22 - claude-sonnet-5-5 — Machine translation, batch financial-instruments-and-exchange-act-20261023T035921-006, translated 2026-10-23 - This site's parser, version 212 — 金融商品取引法 — structure, counts, cross-references and defined terms, computed 2026-10-22