# 金融商品取引法 / Financial Instruments and Exchange Act — 第七十七条 (Article 77) - 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: 第七十七条 (Article 77)（投資者からの苦情に対する対応等） — address `art-77` - 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-77 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-77 - 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. --- ### 第七十七条（投資者からの苦情に対する対応等） — (Responding to Complaints from Investors) caption: Ministry of Justice translation — Japanese Law Translation Database System art-77 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77 · https://japanlaw.org/l/323AC0000000025/art-77 **第一項** 認可協会は、投資者から協会員又は金融商品仲介業者の行う業務に関する苦情について解決の申出があつたときは、その相談に応じ、申出人に必要な助言をし、その苦情に係る事情を調査するとともに、当該協会員又は金融商品仲介業者に対し、その苦情の内容を通知してその迅速な処理を求めなければならない。 art-77/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-1 · https://japanlaw.org/l/323AC0000000025/art-77/par-1 If an investor files for the resolution of a complaint involving business carried out by an association member or a financial instruments intermediary service provider, in addition to providing the claimant with the necessary advice and investigating the circumstances to which the complaint pertains based on its consultation with the claimant, the authorized association must notify the association member or financial instruments intermediary service provider of the substance and content of the complaint and request that it process the complaint expeditiously. Ministry of Justice translation — Japanese Law Translation Database System **第二項** 認可協会は、前項の申出に係る苦情の解決について必要があると認めるときは、当該協会員又は金融商品仲介業者に対し、文書若しくは口頭による説明を求め、又は資料の提出を求めることができる。 art-77/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-2 · https://japanlaw.org/l/323AC0000000025/art-77/par-2 If an authorized association finds that it is necessary in connection with the resolution of a complaint under a filing referred to in the preceding paragraph, it may request the relevant association member or financial instruments intermediary service provider to provide a written or oral explanation or submit materials. Ministry of Justice translation — Japanese Law Translation Database System **第三項** 協会員又は金融商品仲介業者は、認可協会から前項の規定による求めがあつたときは、正当な理由がないのに、これを拒んではならない。 art-77/par-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-3 · https://japanlaw.org/l/323AC0000000025/art-77/par-3 If an association member or financial instruments intermediary service provider has had a request under the preceding paragraph from an authorized association, it must not refuse this request without just cause for doing so. Ministry of Justice translation — Japanese Law Translation Database System **第四項** 認可協会は、第一項の申出、当該苦情に係る事情及びその解決の結果について協会員又は金融商品仲介業者に周知させなければならない。 art-77/par-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-4 · https://japanlaw.org/l/323AC0000000025/art-77/par-4 An authorized association must fully inform its association members and financial instruments intermediary service providers about any filing as referred to in paragraph (1), the circumstances to which the complaint pertains, and the outcome of its resolution. Ministry of Justice translation — Japanese Law Translation Database System **第五項** 第一項の規定は、認可協会が第百五十六条の三十九第一項の規定による指定を受けている場合において、第一項の申出が当該指定に係る紛争解決等業務の種別（第百五十六条の三十八第十二項に規定する紛争解決等業務の種別をいう。次条第九項（第七十九条の十三において準用する場合を含む。）において同じ。）に関する苦情に係るものであるときは、適用しない。 art-77/par-5 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-5 · https://japanlaw.org/l/323AC0000000025/art-77/par-5 The provisions of paragraph (1) do not apply if an authorized association has obtained a designation under Article 156-39, paragraph (1) and the filing referred to in paragraph (1) is for a complaint in the category of dispute resolution services (meaning a category of dispute resolution services as prescribed in Article 156-38, paragraph (12); the same applies in paragraph (9) of the following Article (including as applied mutatis mutandis pursuant to Article 79-13) to which that designation pertains). Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-77/par-2: 前項 → 金融商品取引法 第七十七条第一項 (Article 77, paragraph (1)), art-77/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-1 · https://japanlaw.org/l/323AC0000000025/art-77/par-1 - art-77/par-3: 前項 → 金融商品取引法 第七十七条第二項 (Article 77, paragraph (2)), art-77/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-2 · https://japanlaw.org/l/323AC0000000025/art-77/par-2 - art-77/par-4: 第一項 → 金融商品取引法 第七十七条第一項 (Article 77, paragraph (1)), art-77/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-1 · https://japanlaw.org/l/323AC0000000025/art-77/par-1 - art-77/par-5: 第一項 → 金融商品取引法 第七十七条第一項 (Article 77, paragraph (1)), art-77/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-1 · https://japanlaw.org/l/323AC0000000025/art-77/par-1 - art-77/par-5: 第百五十六条の三十九第一項 → 金融商品取引法 第百五十六条の三十九第一項 (Article 156-39, paragraph (1)), art-156-39/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-156-39/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-39/par-1 - art-77/par-5: 第百五十六条の三十八第十二項 → 金融商品取引法 第百五十六条の三十八第十二項 (Article 156-38, paragraph (12)), art-156-38/par-12 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-156-38/par-12 · https://japanlaw.org/l/323AC0000000025/art-156-38/par-12 - art-77/par-5: 次条第九項 → 金融商品取引法 第七十七条の二第九項 (Article 77-2, paragraph (9)), art-77-2/par-9 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77-2/par-9 · https://japanlaw.org/l/323AC0000000025/art-77-2/par-9 - art-77/par-5: 第七十九条の十三 → 金融商品取引法 第七十九条の十三 (Article 79-13), art-79-13 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-79-13 · https://japanlaw.org/l/323AC0000000025/art-79-13 ## Cited by 11 provisions cite this one. No official source publishes this direction. - 金融商品取引法 第七十七条第二項（投資者からの苦情に対する対応等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-2 · https://japanlaw.org/l/323AC0000000025/art-77/par-2 - 金融商品取引法 第七十七条第三項（投資者からの苦情に対する対応等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-3 · https://japanlaw.org/l/323AC0000000025/art-77/par-3 - 金融商品取引法 第七十七条第四項（投資者からの苦情に対する対応等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-4 · https://japanlaw.org/l/323AC0000000025/art-77/par-4 - 金融商品取引法 第七十七条第五項（投資者からの苦情に対する対応等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77/par-5 · https://japanlaw.org/l/323AC0000000025/art-77/par-5 - 金融商品取引法 第七十七条の三第一項（あつせん業務の第三者への委託） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-77-3/par-1 - 金融商品取引法 第七十七条の三第四項（あつせん業務の第三者への委託） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77-3/par-4 · https://japanlaw.org/l/323AC0000000025/art-77-3/par-4 - 金融商品取引法 第七十七条の七第一項（内閣府令への委任） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-77-7/par-1 · https://japanlaw.org/l/323AC0000000025/art-77-7/par-1 - 金融商品取引法 第七十八条の六第一項（投資者からの苦情に対する対応等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78-6/par-1 · https://japanlaw.org/l/323AC0000000025/art-78-6/par-1 - 金融商品取引法 第七十八条の八第一項（あつせん業務の第三者への委託） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78-8/par-1 · https://japanlaw.org/l/323AC0000000025/art-78-8/par-1 - 金融商品取引法 第七十八条の八第四項（あつせん業務の第三者への委託） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78-8/par-4 · https://japanlaw.org/l/323AC0000000025/art-78-8/par-4 - 金融商品取引法 第七十九条の十二第一項（認定団体による苦情の処理） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-79-12/par-1 · https://japanlaw.org/l/323AC0000000025/art-79-12/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 - This site's parser, version 212 — 金融商品取引法 — structure, counts, cross-references and defined terms, computed 2026-10-22