# 金融商品取引法 / Financial Instruments and Exchange Act — 第六十六条の七十四 (Article 66-74)

- 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: 第六十六条の七十四 (Article 66-74)（登録の拒否） — address `art-66-74`
- 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-66-74
- Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-66-74
- 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.

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### 第六十六条の七十四（登録の拒否） — Refusal of Registration
<sup>caption: machine translation, not official</sup>
<sup>art-66-74 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74 · https://japanlaw.org/l/323AC0000000025/art-66-74</sup>

  **第一項**  内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。
  <sup>art-66-74/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1</sup>
  The Prime Minister must refuse to effect a registration if the applicant for registration falls under any of the following items, or if the written application for registration or a document or electronic or magnetic record that is required to accompany it contains a false statement or record or omits a statement or record of a material fact:
  <sup>machine translation, not official</sup>

    **一**  第二十九条の四第一項第一号イからハまでのいずれかに該当する者
    <sup>art-66-74/par-1/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-1</sup>
    a person that falls under any of Article 29-4, paragraph (1), item (i), (a) through (c);
    <sup>machine translation, not official</sup>

    **二**  他に行う事業が公益に反すると認められる者
    <sup>art-66-74/par-1/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-2</sup>
    a person that performs another business which is found to be contrary to the public interest;
    <sup>machine translation, not official</sup>

    **三**  次のいずれかに該当する者
    <sup>art-66-74/par-1/item-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-3</sup>
    a person falling under any of the following:
    <sup>machine translation, not official</sup>

      **イ**  暴力団員による不当な行為の防止等に関する法律第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らし、投資運用関係業務受託業の信用を失墜させるおそれがあると認められる者
      <sup>art-66-74/par-1/item-3/sub-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-3/sub-1 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-3/sub-1</sup>
      a person found likely to cause the investment management-related services contracting business to lose credibility, in light of the person's relationship with an organized crime group prescribed in Article 2, item (ii) of the Act on Prevention of Unjust Acts by Organized Crime Group Members or an organized crime group member prescribed in item (vi) of that Article, and other circumstances;
      <sup>machine translation, not official</sup>

      **ロ**  その他投資運用関係業務受託業を適確に遂行するに足りる人的構成を有しない者として内閣府令で定める基準に該当する者
      <sup>art-66-74/par-1/item-3/sub-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-3/sub-2 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-3/sub-2</sup>
      any other person that falls under the criteria specified by Cabinet Office Order as a person that does not have a sufficient personnel structure to perform the investment management-related services contracting business in an appropriate manner;
      <sup>machine translation, not official</sup>

    **四**  その行おうとする投資運用関係業務受託業を適確に遂行するための必要な体制が整備されていると認められない者
    <sup>art-66-74/par-1/item-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-4</sup>
    a person found not to have in place the necessary system for performing the investment management-related services contracting business that it seeks to conduct in an appropriate manner;
    <sup>machine translation, not official</sup>

    **五**  財産的基礎を有しない者
    <sup>art-66-74/par-1/item-5 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-5</sup>
    a person that does not have a financial basis;
    <sup>machine translation, not official</sup>

    **六**  国内に営業所又は事務所を有しない者
    <sup>art-66-74/par-1/item-6 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-6</sup>
    a person that does not have a business office or office in Japan.
    <sup>machine translation, not official</sup>

    **七**  法人である場合においては、次のいずれかに該当する者
    <sup>art-66-74/par-1/item-7 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-7</sup>
    if the person is a corporation, a person that falls under any of the following persons:
    <sup>machine translation, not official</sup>

      **イ**  役員のうちに次のいずれかに該当する者のある者
      <sup>art-66-74/par-1/item-7/sub-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-7/sub-1 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-7/sub-1</sup>
      a person that has an officer falling under any of the following persons:
      <sup>machine translation, not official</sup>

        **（１）**  心身の故障により投資運用関係業務受託業に係る業務を適正に行うことができない者として内閣府令で定める者
        <sup>art-66-74/par-1/item-7/sub-1/sub2-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-7/sub-1/sub2-1 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-7/sub-1/sub2-1</sup>
        a person specified by Cabinet Office Order as being unable to properly perform the business pertaining to the investment management-related services contracting business due to a mental or physical disorder; or
        <sup>machine translation, not official</sup>

        **（２）**  第二十九条の四第一項第二号ロからリまでのいずれかに該当する者
        <sup>art-66-74/par-1/item-7/sub-1/sub2-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-7/sub-1/sub2-2 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-7/sub-1/sub2-2</sup>
        a person falling under any of Article 29-4, paragraph (1), item (ii), (b) through (i);
        <sup>machine translation, not official</sup>

      **ロ**  外国法人であつて国内における代表者又は国内における代理人を定めていない者
      <sup>art-66-74/par-1/item-7/sub-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-7/sub-2 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-7/sub-2</sup>
      a foreign corporation that has not designated a domestic representative or a domestic agent.
      <sup>machine translation, not official</sup>

      **ハ**  登録申請の対象となる投資運用関係業務受託業に係る業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有する役員又は使用人を確保していないと認められる者
      <sup>art-66-74/par-1/item-7/sub-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-7/sub-3 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-7/sub-3</sup>
      a person found not to have secured, for each business pertaining to the investment management-related services contracting business subject to the application for registration, officers or employees who have sufficient knowledge and experience necessary for its execution;
      <sup>machine translation, not official</sup>

    **八**  個人である場合においては、次のいずれかに該当する者
    <sup>art-66-74/par-1/item-8 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-8 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-8</sup>
    if the person is an individual, a person that falls under any of the following persons:
    <sup>machine translation, not official</sup>

      **イ**  第二十九条の四第一項第二号ロからチまで若しくはリ（同項第一号ハに規定する法律の規定に係る部分を除く。）又は前号イ（１）のいずれかに該当する者
      <sup>art-66-74/par-1/item-8/sub-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-8/sub-1 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-8/sub-1</sup>
      a person that falls under any of Article 29-4, paragraph (1), item (ii), (b) through (h), or (i) (excluding the part that involves the provisions of Acts prescribed in item (i), (c) of that paragraph) or (a), 1. of the preceding item;
      <sup>machine translation, not official</sup>

      **ロ**  外国に住所を有する個人であつて国内における代理人を定めていない者
      <sup>art-66-74/par-1/item-8/sub-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-8/sub-2 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-8/sub-2</sup>
      an individual domiciled in a foreign country that has not designated a domestic agent; or
      <sup>machine translation, not official</sup>

      **ハ**  登録申請の対象となる投資運用関係業務受託業に係る業務のそれぞれにつき、その執行について必要となる十分な知識及び経験を有していないと認められる者
      <sup>art-66-74/par-1/item-8/sub-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-8/sub-3 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-8/sub-3</sup>
      a person found not to have sufficient knowledge and experience necessary for the execution of each business pertaining to the investment management-related services contracting business subject to the application for registration.
      <sup>machine translation, not official</sup>

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## Cites
- art-66-74/par-1/item-1: 第二十九条の四第一項第一号 → 金融商品取引法 第二十九条の四第一項第一号 (Article 29-4, paragraph (1), item (i)), art-29-4/par-1/item-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-29-4/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-1
- art-66-74/par-1/item-3/sub-1: 暴力団員による不当な行為の防止等に関する法律第二条第二号 → e-Gov law 403AC0000000077, 第二条第一項第二号 (Article 2, paragraph (1), item (ii)), art-2/par-1/item-2 — not held in this collection
- art-66-74/par-1/item-3/sub-1: 同条第六号 → e-Gov law 403AC0000000077, 第二条第一項第六号 (Article 2, paragraph (1), item (vi)), art-2/par-1/item-6 — not held in this collection
- art-66-74/par-1/item-7/sub-1/sub2-2: 第二十九条の四第一項第二号 → 金融商品取引法 第二十九条の四第一項第二号 (Article 29-4, paragraph (1), item (ii)), art-29-4/par-1/item-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-29-4/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-2
- art-66-74/par-1/item-8/sub-1: 第二十九条の四第一項第二号 → 金融商品取引法 第二十九条の四第一項第二号 (Article 29-4, paragraph (1), item (ii)), art-29-4/par-1/item-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-29-4/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-2
- art-66-74/par-1/item-8/sub-1: 同項第一号 → 金融商品取引法 第二十九条の四第一項第一号 (Article 29-4, paragraph (1), item (i)), art-29-4/par-1/item-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-29-4/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-1
- art-66-74/par-1/item-8/sub-1: 前号 → 金融商品取引法 第六十六条の七十四第一項第七号 (Article 66-74, paragraph (1), item (vii)), art-66-74/par-1/item-7 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-7

## Cited by

8 provisions cite this one. No official source publishes this direction.

- 金融商品取引法 第二十九条の四第一項第一号の二（登録の拒否） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-29-4/par-1/item-1-2 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-1-2
- 金融商品取引法 第六十六条の七十二第二項第一号（登録の申請） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-72/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-66-72/par-2/item-1
- 金融商品取引法 第六十六条の七十三第一項（登録簿への登録） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-73/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-73/par-1
- 金融商品取引法 第六十六条の七十四第一項第八号イ（登録の拒否） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-74/par-1/item-8/sub-1 · https://japanlaw.org/l/323AC0000000025/art-66-74/par-1/item-8/sub-1
- 金融商品取引法 第六十六条の七十五第五項（変更登録等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-75/par-5 · https://japanlaw.org/l/323AC0000000025/art-66-75/par-5
- 金融商品取引法 第六十六条の八十五第一項第一号（監督上の処分） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-85/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-66-85/par-1/item-1
- 金融商品取引法 第六十六条の八十五第二項（監督上の処分） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-85/par-2 · https://japanlaw.org/l/323AC0000000025/art-66-85/par-2
- 金融商品取引法 第六十六条の九十二第一項（内閣府令への委任） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-92/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-92/par-1

---

## 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-20261023T035921-009, translated 2026-10-23
- claude-sonnet-5-5 — Machine translation, batch financial-instruments-and-exchange-act-20261023T035921-010, 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