# 金融商品取引法 / Financial Instruments and Exchange Act — 第七十八条 (Article 78) - 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: 第七十八条 (Article 78)（認定金融商品取引業協会の認定） — address `art-78` - 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-78 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-78 - 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. --- ### 第七十八条（認定金融商品取引業協会の認定） — (Certification of Certified Financial Instruments Business Associations) caption: Ministry of Justice translation — Japanese Law Translation Database System art-78 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78 · https://japanlaw.org/l/323AC0000000025/art-78 **第一項** 内閣総理大臣は、政令で定めるところにより、金融商品取引業者が設立した一般社団法人であつて、次に掲げる要件に該当すると認められるものを、その申請により、次項に規定する業務を行う者として認定することができる。 art-78/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1 · https://japanlaw.org/l/323AC0000000025/art-78/par-1 The Prime Minister, pursuant to the provisions of Cabinet Order, may certify a general incorporated association that has been incorporated by a financial instruments business operator and that is found to satisfy the following requirements, to conduct the services set forth in the following paragraph, at the application of such a general incorporated association: Ministry of Justice translation — Japanese Law Translation Database System **一** 有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的とすること。 art-78/par-1/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-78/par-1/item-1 its aim is to ensure fair and smooth purchase and sales and other transactions of securities and to ensure fair and smooth derivatives transactions, etc., as well as contributing to the sound development of the financial instruments business and to the protection of investors; Ministry of Justice translation — Japanese Law Translation Database System **二** 金融商品取引業者を会員とする旨の定款の定めがあること。 art-78/par-1/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-1/item-2 its articles of incorporation stipulate that its members be financial instruments business operators; Ministry of Justice translation — Japanese Law Translation Database System **三** 次項に規定する業務を適正かつ確実に行うに必要な業務の実施の方法を定めているものであること。 art-78/par-1/item-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-78/par-1/item-3 it has established the necessary methods of business implementation for it to perform the services prescribed in the following paragraph properly and reliably; and Ministry of Justice translation — Japanese Law Translation Database System **四** 次項に規定する業務を適正かつ確実に行うに足りる知識及び能力並びに財産的基礎を有するものであること。 art-78/par-1/item-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-78/par-1/item-4 it has the necessary knowledge, ability, and financial basis for performing the services prescribed in the following paragraph properly and reliably. Ministry of Justice translation — Japanese Law Translation Database System **第二項** 前項の規定により認定された一般社団法人（以下この項及び次条において「認定金融商品取引業協会」という。）は、次に掲げる業務を行うものとする。 art-78/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2 A general incorporated association certified pursuant to the preceding paragraph (hereinafter referred to as a "certified financial instruments business association" in this paragraph and the following Article) is to conduct the following services: Ministry of Justice translation — Japanese Law Translation Database System **一** 金融商品取引業を行うに当たり、この法律その他法令の規定を遵守させるための会員及び金融商品仲介業者（会員を所属金融商品取引業者等とするものに限る。以下この節において同じ。）に対する指導、勧告その他の業務 art-78/par-2/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-1 providing its members and financial instruments intermediary service providers (limited to those whose entrusting financial instruments business operators, etc. are its members; hereinafter the same applies in this Section) with guidance, recommendations, and other services in order to have them comply the provisions of this Act and other laws and regulations while operating in financial instruments business; Ministry of Justice translation — Japanese Law Translation Database System **二** 会員及び金融商品仲介業者の行う金融商品取引業に関し、契約の内容の適正化、資産運用の適正化、その他投資者の保護を図るため必要な調査、指導、勧告その他の業務 art-78/par-2/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-2 conducting the necessary investigations and providing the necessary guidance, recommendations, and other services for ensuring the propriety of contracts and of asset management, and for otherwise protecting investors with regard to the financial instruments business in which its members and financial instruments intermediary service providers operate; Ministry of Justice translation — Japanese Law Translation Database System **三** 会員及び金融商品仲介業者のこの法律若しくはこの法律に基づく命令若しくはこれらに基づく処分若しくは定款その他の規則又は取引の信義則の遵守の状況の調査 art-78/par-2/item-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-3 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-3 investigating members' and financial instruments intermediary service providers' compliance with this Act, orders that are based on this Act, dispositions that are based on this Act or on such orders, the articles of incorporation and other rules, and the principle of good faith in transactions; Ministry of Justice translation — Japanese Law Translation Database System **四** 会員及び金融商品仲介業者の行う金融商品取引業に関する投資者からの苦情の解決 art-78/par-2/item-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-4 resolving complaints filed by investors with regard to the financial instruments business in which its members and financial instruments intermediary service providers operate; Ministry of Justice translation — Japanese Law Translation Database System **五** 会員及び金融商品仲介業者の行う金融商品取引業に関する紛争の解決 art-78/par-2/item-5 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-5 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-5 resolving disputes arisen from the financial instruments business in which its members and financial instruments intermediary service providers operate; Ministry of Justice translation — Japanese Law Translation Database System **六** 第六十四条の七第一項（第六十六条の二十五において準用する場合を含む。）又は第二項の規定により行う登録事務 art-78/par-2/item-6 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-6 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-6 carrying out the registration work that is done pursuant to Article 64-7, paragraph (1) (including as applied mutatis mutandis pursuant to Article 66-25) or Article 64-7, paragraph (2); Ministry of Justice translation — Japanese Law Translation Database System **七** 会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘の適正化に必要な業務のため必要な規則の制定その他の業務 art-78/par-2/item-7 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-7 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-7 establishing the necessary rules and providing other services for ensuring propriety in its members' and financial instruments intermediary service providers' solicitation in respect of purchase and sales and other transactions of securities; Ministry of Justice translation — Japanese Law Translation Database System **八** 投資者に対する広報その他認定金融商品取引業協会の目的を達成するため必要な業務 art-78/par-2/item-8 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-8 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-8 conducting public relations aimed at investors and providing other services that are necessary for the certified financial instruments business association to achieve its purpose; and Ministry of Justice translation — Japanese Law Translation Database System **九** 前各号に掲げるもののほか、金融商品取引業の健全な発展又は投資者の保護に資する業務 art-78/par-2/item-9 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-9 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-9 services beyond what is set forth in the preceding items, which contribute to the sound development of the financial instruments business and to the protection of investors. Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-78/par-1: 次項 → 金融商品取引法 第七十八条第二項 (Article 78, paragraph (2)), art-78/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2 - art-78/par-1/item-3: 次項 → 金融商品取引法 第七十八条第二項 (Article 78, paragraph (2)), art-78/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2 - art-78/par-1/item-4: 次項 → 金融商品取引法 第七十八条第二項 (Article 78, paragraph (2)), art-78/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2 - art-78/par-2: 前項 → 金融商品取引法 第七十八条第一項 (Article 78, paragraph (1)), art-78/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1 · https://japanlaw.org/l/323AC0000000025/art-78/par-1 - art-78/par-2: この項 → 金融商品取引法 第七十八条第二項 (Article 78, paragraph (2)), art-78/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2 - art-78/par-2: 次条 → 金融商品取引法 第七十八条の二 (Article 78-2), art-78-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78-2 · https://japanlaw.org/l/323AC0000000025/art-78-2 - art-78/par-2/item-6: 第六十四条の七第一項 → 金融商品取引法 第六十四条の七第一項 (Article 64-7, paragraph (1)), art-64-7/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-64-7/par-1 · https://japanlaw.org/l/323AC0000000025/art-64-7/par-1 - art-78/par-2/item-6: 第六十六条の二十五 → 金融商品取引法 第六十六条の二十五 (Article 66-25), art-66-25 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-25 · https://japanlaw.org/l/323AC0000000025/art-66-25 - art-78/par-2/item-6: 第二項 → 金融商品取引法 第六十四条の七第二項 (Article 64-7, paragraph (2)), art-64-7/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-64-7/par-2 · https://japanlaw.org/l/323AC0000000025/art-64-7/par-2 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第一号 (Article 78, paragraph (2), item (i)), art-78/par-2/item-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-1 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第二号 (Article 78, paragraph (2), item (ii)), art-78/par-2/item-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-2 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第三号 (Article 78, paragraph (2), item (iii)), art-78/par-2/item-3 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-3 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-3 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第四号 (Article 78, paragraph (2), item (iv)), art-78/par-2/item-4 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-4 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第五号 (Article 78, paragraph (2), item (v)), art-78/par-2/item-5 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-5 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-5 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第六号 (Article 78, paragraph (2), item (vi)), art-78/par-2/item-6 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-6 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-6 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第七号 (Article 78, paragraph (2), item (vii)), art-78/par-2/item-7 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-7 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-7 - art-78/par-2/item-9: 前各号 → 金融商品取引法 第七十八条第二項第八号 (Article 78, paragraph (2), item (viii)), art-78/par-2/item-8 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-8 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-8 ## Cited by 20 provisions cite this one. No official source publishes this direction. - 住民基本台帳法 別表第一 — https://japanlaw.org/ja/residential-basic-book-act/appdx-1 · https://japanlaw.org/l/342AC0000000081/appdx-1 - 金融商品取引法 第二十九条の四第一項第四号ニ（登録の拒否） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-29-4/par-1/item-4/sub-4 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-4/sub-4 - 金融商品取引法 第六十四条の七第一項（登録事務の委任） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-64-7/par-1 · https://japanlaw.org/l/323AC0000000025/art-64-7/par-1 - 金融商品取引法 第六十六条の四第一項第五号（登録の拒否） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-66-4/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-66-4/par-1/item-5 - 金融商品取引法 第六十七条の二第三項（設立の認可） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-67-2/par-3 · https://japanlaw.org/l/323AC0000000025/art-67-2/par-3 - 金融商品取引法 第七十八条第一項（認定金融商品取引業協会の認定） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1 · https://japanlaw.org/l/323AC0000000025/art-78/par-1 - 金融商品取引法 第七十八条第一項第三号（認定金融商品取引業協会の認定） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-78/par-1/item-3 - 金融商品取引法 第七十八条第一項第四号（認定金融商品取引業協会の認定） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-78/par-1/item-4 - 金融商品取引法 第七十八条第二項（認定金融商品取引業協会の認定） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2 - 金融商品取引法 第七十八条第二項第九号（認定金融商品取引業協会の認定） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78/par-2/item-9 · https://japanlaw.org/l/323AC0000000025/art-78/par-2/item-9 - 金融商品取引法 第七十八条の二第一項（投資者保護の促進等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-78-2/par-1 · https://japanlaw.org/l/323AC0000000025/art-78-2/par-1 - 金融商品取引法 第七十九条の二第一項（定款の必要的記載事項） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-79-2/par-1 · https://japanlaw.org/l/323AC0000000025/art-79-2/par-1 - 金融商品取引法 第七十九条の三第一項第一号（業務規程） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-79-3/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-79-3/par-1/item-1 - 金融商品取引法 第七十九条の五十第一項（業務の委託） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-79-50/par-1 · https://japanlaw.org/l/323AC0000000025/art-79-50/par-1 - 金融商品取引法 第百八十八条第一項（金融商品取引業者の業務等に関する書類の作成、保存及び報告の義務） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-188/par-1 · https://japanlaw.org/l/323AC0000000025/art-188/par-1 - 金融商品取引法 第百九十四条の五第二項（財務大臣への資料提出等） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-194-5/par-2 · https://japanlaw.org/l/323AC0000000025/art-194-5/par-2 - 金融商品取引法 第百九十九条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-199/par-1 · https://japanlaw.org/l/323AC0000000025/art-199/par-1 - 金融商品取引法 第二百三条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-203/par-1 · https://japanlaw.org/l/323AC0000000025/art-203/par-1 - 金融商品取引法 第二百八条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-208/par-1 · https://japanlaw.org/l/323AC0000000025/art-208/par-1 - 金融商品取引法 附則第百五十八条第一項（金融商品取引法の一部改正に伴う経過措置） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-158/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-158/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