# 金融商品取引法 / Financial Instruments and Exchange Act — 附　則 (Supplementary Provisions) - 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: 附　則 (Supplementary Provisions) — address `suppl-4041-87` - Text in force since: 2026-08-12 - URL (the page that opens at this provision): https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/suppl-4041-87 - 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. --- ## 附　則 平成四年六月二六日法律第八七号 suppl-4041-87 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87 ### 第一条（施行期日） — Effective Date caption: machine translation, not official suppl-4041-87/art-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-1 **第一項** この法律は、公布の日から起算して一年を超えない範囲内において政令で定める日から施行する。 suppl-4041-87/art-1/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-1/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-1/par-1 This Act comes into effect as of the date specified by Cabinet Order within a period not exceeding 1 year from the date of promulgation. machine translation, not official ### 第十四条（証券取引法の一部改正に伴う経過措置） — Transitional Measures Accompanying the Partial Amendment of the Securities and Exchange Act caption: machine translation, not official suppl-4041-87/art-14 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-14 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-14 **第一項** 第十五条の規定による改正後の証券取引法（以下「新証券取引法」という。）第二章の規定は、この附則に別段の定めのある場合を除き、施行日以後に開始する新証券取引法第二条第一項各号に掲げる有価証券及び同条第二項各号に掲げる権利（以下「新有価証券」という。）の取得の申込みの勧誘（新証券取引法第二条第三項に規定する取得の申込みの勧誘をいう。以下同じ。）又は売付けの申込み若しくは買付けの申込みの勧誘（以下「取得の申込みの勧誘等」という。）及び当該取得の申込みの勧誘等に係る新有価証券の取引について適用し、施行日前に開始した第十五条の規定による改正前の証券取引法（以下「旧証券取引法」という。）第二条第一項各号に掲げる有価証券（以下「旧有価証券」という。）の取得の申込みの勧誘等及び当該取得の申込みの勧誘等に係る旧有価証券の取引については、なお従前の例による。 suppl-4041-87/art-14/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-14/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-14/par-1 Unless otherwise provided in these Supplementary Provisions, the provisions of Chapter II of the Securities and Exchange Act as amended by the provisions of Article 15 (hereinafter referred to as the "New Securities and Exchange Act") apply to the solicitation of an offer to acquire (meaning the solicitation of an offer to acquire prescribed in Article 2, paragraph (3) of the New Securities and Exchange Act; the same applies hereinafter) the securities listed in the items of Article 2, paragraph (1) of the New Securities and Exchange Act and the rights listed in the items of paragraph (2) of that Article (hereinafter referred to as "new securities"), or an offer to sell or the solicitation of an offer to purchase (hereinafter referred to as the "solicitation of an offer to acquire, etc."), commenced on or after the effective date, and to transactions in new securities pertaining to that solicitation of an offer to acquire, etc., and the provisions then in force continue to govern the solicitation of an offer to acquire, etc. of the securities listed in the items of Article 2, paragraph (1) of the Securities and Exchange Act prior to the amendment by the provisions of Article 15 (hereinafter referred to as the "Former Securities and Exchange Act") (hereinafter referred to as "former securities") commenced before the effective date, and transactions in former securities pertaining to that solicitation of an offer to acquire, etc. machine translation, not official **第二項** 前項の規定にかかわらず、施行日前にした旧証券取引法第四条第一項の規定による届出及び旧証券取引法第二十三条の三第一項の規定による登録に係る旧有価証券の取得の申込みの勧誘等並びに当該取得の申込みの勧誘等に係る旧有価証券の取引については、なお従前の例による。 suppl-4041-87/art-14/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-14/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-14/par-2 Notwithstanding the provisions of the preceding paragraph, the provisions then in force continue to govern the solicitation of an offer to acquire, etc. of former securities pertaining to a notification under the provisions of Article 4, paragraph (1) of the Former Securities and Exchange Act and a registration under the provisions of Article 23-3, paragraph (1) of the Former Securities and Exchange Act made before the effective date, and transactions in former securities pertaining to that solicitation of an offer to acquire, etc. machine translation, not official ### 第十五条 suppl-4041-87/art-15 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-15 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-15 **第一項** 施行日前に発行された新有価証券で、その発行の際にその取得の申込みの勧誘が新証券取引法第二条第三項の規定が適用されていたとした場合に同項第二号イに掲げる場合に該当するものであったものの施行日以後における売付けの申込み又は買付けの申込みの勧誘については、なお従前の例による。 suppl-4041-87/art-15/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-15/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-15/par-1 With regard to an offer to sell or the solicitation of an offer to purchase made on or after the effective date for new securities issued before the effective date, which were, at the time of issuance, such that the solicitation of an offer to acquire them would have fallen under the case listed in Article 2, paragraph (3), item (ii), (a) of the New Securities and Exchange Act had the provisions of paragraph (3) of that Article applied, the provisions then in force continue to govern. machine translation, not official ### 第十六条 suppl-4041-87/art-16 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-16 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-16 **第一項** 新証券取引法第二十四条の規定は、施行日以後に終了する事業年度（同条第四項において準用する同条第一項に規定する特定期間を含む。以下この条及び附則第十八条において同じ。）に係る新証券取引法第二十四条第一項（同条第四項において準用する場合を含む。次条において同じ。）の規定による有価証券報告書（その添付書類及びこれらの訂正報告書を含む。）又は施行日以後に新証券取引法第二十四条第二項（同条第四項において準用する場合を含む。）に規定する事実が生じた場合について適用し、施行日前に終了した事業年度に係る旧証券取引法第二十四条第一項の規定による有価証券報告書（その添付書類及びこれらの訂正報告書を含む。）又は施行日前に同条第二項に規定する事実が生じた場合については、なお従前の例による。 suppl-4041-87/art-16/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-16/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-16/par-1 The provisions of Article 24 of the New Securities and Exchange Act apply to an annual securities report (including its accompanying documents and the amended reports of these) under the provisions of Article 24, paragraph (1) of the New Securities and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (4) of that Article; the same applies in the following Article) for a business year that ends on or after the effective date (including the specified period prescribed in paragraph (1) of that Article as applied mutatis mutandis pursuant to paragraph (4) of that Article; hereinafter the same applies in this Article and Article 18 of the Supplementary Provisions), or to the case where a fact prescribed in Article 24, paragraph (2) of the New Securities and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (4) of that Article) arises on or after the effective date, and the provisions then in force continue to govern an annual securities report (including its accompanying documents and the amended reports of these) under the provisions of Article 24, paragraph (1) of the Former Securities and Exchange Act for a business year that ended before the effective date, or the case where a fact prescribed in paragraph (2) of that Article arises before the effective date. machine translation, not official ### 第十七条 suppl-4041-87/art-17 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-17 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-17 **第一項** 施行日前にその募集又は売出しにつき旧証券取引法第四条第一項の規定による届出があった旧有価証券の発行者である会社は、施行日において新証券取引法第四条第一項本文の規定の適用を受けた新有価証券の発行者である会社とみなして、新証券取引法第二十四条第一項の規定を適用する。 suppl-4041-87/art-17/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-17/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-17/par-1 A company that is an issuer of former securities for whose public offering or secondary distribution a notification under the provisions of Article 4, paragraph (1) of the Former Securities and Exchange Act was made before the effective date is deemed to be a company that is an issuer of new securities to which the main clause of Article 4, paragraph (1) of the New Securities and Exchange Act applied on the effective date, and the provisions of Article 24, paragraph (1) of the New Securities and Exchange Act apply. machine translation, not official ### 第十八条 suppl-4041-87/art-18 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-18 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-18 **第一項** 新証券取引法第二十四条の五第一項（同条第二項において準用する場合を含む。以下この条において同じ。）の規定は、事業年度開始の日から六月を経過する日が施行日以後である場合における同条第一項の規定による半期報告書（その訂正報告書を含む。）について適用し、事業年度開始の日から六月を経過する日が施行日前である場合における旧証券取引法第二十四条の五第一項の規定による半期報告書（その訂正報告書を含む。）については、なお従前の例による。 suppl-4041-87/art-18/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-18/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-18/par-1 The provisions of Article 24-5, paragraph (1) of the New Securities and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (2) of that Article; the same applies hereinafter in this Article) apply to a semiannual securities report under the provisions of paragraph (1) of that Article (including its amended report) in the case where the day on which six months elapse from the day of commencement of the business year is on or after the effective date, and the provisions then in force continue to govern a semiannual securities report under the provisions of Article 24-5, paragraph (1) of the Former Securities and Exchange Act (including its amended report) in the case where the day on which six months elapse from the day of commencement of the business year is before the effective date. machine translation, not official ### 第十九条 〔削除 / repealed〕 suppl-4041-87/art-19 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-19 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-19 **第一項** 削除 suppl-4041-87/art-19/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-19/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-19/par-1 ### 第二十条 suppl-4041-87/art-20 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-20 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-20 **第一項** この法律の施行の際現に新有価証券（旧有価証券に該当するものを除く。）につき新証券取引法第二条第八項に規定する証券業を営んでいる者については、施行日から三月間（当該期間内に新証券取引法第三十二条の規定による免許の拒否の処分があったときは、当該処分のあった日までの間）は、新証券取引法第二十八条の規定にかかわらず、引き続き当該証券業を営むことができる。その者がその期間内に同条の免許を申請した場合において、その申請について免許をする旨の通知を受ける日又はその申請についてその期間の経過後免許をしない旨の通知を受ける日までの間も、同様とする。 suppl-4041-87/art-20/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-20/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-20/par-1 With regard to a person who is, at the time this Act comes into effect, actually engaged in the securities business prescribed in Article 2, paragraph (8) of the New Securities and Exchange Act in respect of new securities (excluding those that fall under former securities), the person may, notwithstanding the provisions of Article 28 of the New Securities and Exchange Act, continue to engage in that securities business for three months from the effective date (or, if a disposition refusing a license under the provisions of Article 32 of the New Securities and Exchange Act is made within that period, until the day of that disposition). The same applies, where that person has applied for the license under Article 28 of the New Securities and Exchange Act within that period, until the day on which the person receives notice that the license will be granted on that application, or the day on which the person receives, after that period has elapsed, notice that the license will not be granted on that application. machine translation, not official ### 第二十一条 suppl-4041-87/art-21 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-21 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-21 **第一項** この法律の施行の際現に旧証券取引法第二十八条第二項第四号の免許を受けている証券会社は、新証券取引法第二条第八項第六号に掲げる私募の取扱いを営業として行おうとするときは、大蔵省令で定めるところにより、施行日から三月以内に業務の内容その他の事項を大蔵大臣に届け出ることができる。 suppl-4041-87/art-21/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-21/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-21/par-1 A securities company that actually holds the license under Article 28, paragraph (2), item (iv) of the Former Securities and Exchange Act at the time this Act comes into effect may, if it intends to carry on, as a business, dealings in a private placement listed in Article 2, paragraph (8), item (vi) of the New Securities and Exchange Act, notify the Minister of Finance of its business outline and other particulars within three months from the effective date, as provided by Ministry of Finance Order. machine translation, not official **第二項** 前項の規定による届出をした証券会社は、施行日において新証券取引法第二十八条第二項第四号の免許及び新証券取引法第三十三条の規定による同条第三号に係る認可を受けたものとみなす。 suppl-4041-87/art-21/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-21/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-21/par-2 A securities company that has made the notification under the provisions of the preceding paragraph is deemed to have obtained, on the effective date, the license under Article 28, paragraph (2), item (iv) of the New Securities and Exchange Act and the authorization under the provisions of Article 33 of the New Securities and Exchange Act pertaining to item (iii) of that Article. machine translation, not official ### 第二十二条 suppl-4041-87/art-22 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-22 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-22 **第一項** この法律の施行の際現にその過半数の株式が他の一の法人その他の団体によって所有されている証券会社は、施行日において新証券取引法第三十七条第一項第七号に該当することとなったものとみなして同項の規定を適用する。この場合において、同項中「遅滞なく」とあるのは、「金融制度及び証券取引制度の改革のための関係法律の整備等に関する法律（平成四年法律第八十七号）の施行の日から三月以内に」とする。 suppl-4041-87/art-22/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-22/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-22/par-1 A securities company the majority of whose shares are, at the time this Act comes into effect, actually owned by another single corporation or other organization is deemed to have come to fall under Article 37, paragraph (1), item (vii) of the New Securities and Exchange Act on the effective date, and the provisions of that paragraph apply. In this case, the phrase "without delay" in that paragraph is deemed to be replaced with "within three months from the date of enforcement of the Act on Arrangement of Related Acts, etc. for Reform of the Financial System and the Securities Transaction System (Act No. 87 of 1992)". machine translation, not official ### 第二十三条 suppl-4041-87/art-23 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-23 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-23 **第一項** この法律の施行の際現に証券会社の常務に従事する取締役である者が旧証券取引法第四十二条の規定による承認を受けて他の会社の常務に従事している場合において、当該他の会社が当該証券会社の新証券取引法第四十二条の三に規定する親銀行等又は子銀行等であるときは、当該承認は、施行日の前日を限り、その効力を失う。この場合において、その者が施行日から一月以内に大蔵省令で定めるところにより大蔵大臣に届出をしたときは、新証券取引法第四十二条の規定にかかわらず、施行日から起算して一年を経過する日までの間は、引き続き当該届出に係る当該他の会社の常務に従事することができる。 suppl-4041-87/art-23/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-23/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-23/par-1 If a person who is, at the time this Act comes into effect, a director engaged in the day-to-day business of a securities company is engaged in the day-to-day business of another company with the approval under Article 42 of the Former Securities and Exchange Act, and that other company is a parent bank, etc. or subsidiary bank, etc. of that securities company as prescribed in Article 42-3 of the New Securities and Exchange Act, that approval ceases to be effective as of the day before the effective date; in this case, if that person files a notification with the Minister of Finance as provided by Ministry of Finance Order within one month from the effective date, that person may, notwithstanding Article 42 of the New Securities and Exchange Act, continue to be engaged in the day-to-day business of that other company to which the notification pertains until the day on which one year elapses, counting from the effective date. machine translation, not official ### 第二十四条 suppl-4041-87/art-24 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-24 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-24 **第一項** この法律の施行の際現に証券会社の取締役又は監査役である者で当該証券会社の新証券取引法第四十二条の二第一項に規定する親法人等の取締役若しくは監査役（理事、監事その他これに準ずる者を含む。以下この条において同じ。）又は使用人を兼ねている者（新証券取引法第四十二条の承認を受けている者を除く。）が、施行日から一月以内に大蔵省令で定めるところにより大蔵大臣に届出をしたときは、同項本文の規定にかかわらず、施行日から起算して一年を経過する日までの間は、引き続き当該届出に係る当該親法人等の取締役若しくは監査役又は使用人を兼ねることができる。 suppl-4041-87/art-24/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-24/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-24/par-1 If a person who, at the time this Act comes into effect, is a director or company auditor of a securities company and concurrently serves as a director or company auditor (including a board member, auditor, or other person equivalent thereto; the same applies hereinafter in this Article) or employee of a parent corporation, etc. of that securities company prescribed in Article 42-2, paragraph (1) of the New Securities and Exchange Act (excluding a person who has received the approval under Article 42 of the New Securities and Exchange Act) files a notification with the Minister of Finance as provided by Ministry of Finance Order within one month from the effective date, that person may, notwithstanding the main clause of Article 42-2, paragraph (1) of the New Securities and Exchange Act, continue to concurrently serve as a director or company auditor or employee of that parent corporation, etc. to which the notification pertains until the day on which one year elapses, counting from the effective date. machine translation, not official **第二項** この法律の施行の際現に証券会社の取締役若しくは監査役又は使用人である者で当該証券会社の新証券取引法第四十二条の二第二項に規定する子法人等の取締役又は監査役を兼ねている者（新証券取引法第四十二条の承認を受けている者を除く。）が、施行日から一月以内に大蔵省令で定めるところにより大蔵大臣に届出をしたときは、同項本文の規定にかかわらず、施行日から起算して一年を経過する日までの間は、引き続き当該届出に係る当該子法人等の取締役又は監査役を兼ねることができる。 suppl-4041-87/art-24/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-24/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-24/par-2 If a person who, at the time this Act comes into effect, is a director, company auditor, or employee of a securities company and concurrently serves as a director or company auditor of a subsidiary corporation, etc. of that securities company prescribed in Article 42-2, paragraph (2) of the New Securities and Exchange Act (excluding a person who has received the approval under Article 42 of the New Securities and Exchange Act) files a notification with the Minister of Finance as provided by Ministry of Finance Order within one month from the effective date, that person may, notwithstanding the main clause of Article 42-2, paragraph (2) of the New Securities and Exchange Act, continue to concurrently serve as a director or company auditor of that subsidiary corporation, etc. to which the notification pertains until the day on which one year elapses, counting from the effective date. machine translation, not official ### 第二十五条 suppl-4041-87/art-25 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25 **第一項** この法律の施行の際現に証券会社が外国において銀行、信託会社その他新証券取引法第四十三条の二第一項に規定する政令で定める金融機関が営む業務と同種類の業務を営む者又は同項の大蔵省令で定める会社（次項において「外国銀行等」という。）の過半数の株式又は過半数の出資（新証券取引法第四十三条の二第一項に規定する過半数の出資をいう。次項において同じ。）を所有しているときは、当該証券会社は、施行日から起算して三月以内にその旨を大蔵大臣に届け出なければならない。 suppl-4041-87/art-25/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-1 If, at the time this Act comes into effect, a securities company owns a majority of the shares or a majority of the equity investment (meaning the majority of the equity investment prescribed in Article 43-2, paragraph (1) of the New Securities and Exchange Act; the same applies in the following paragraph) of a person that engages in a foreign country in the same kind of business as that conducted by a bank, trust company, or other financial institution specified by Cabinet Order prescribed in Article 43-2, paragraph (1) of the New Securities and Exchange Act, or of a company specified by Ministry of Finance Order in that paragraph (referred to as a "foreign bank, etc." in the following paragraph), that securities company must notify the Minister of Finance to that effect within three months from the effective date. machine translation, not official **第二項** この法律の施行の際証券会社が第一号に掲げる許可を受け、又は第二号に掲げる届出をしている株式又は出資の取得（施行日において実行していないものに限る。）による当該証券会社の株式又は出資の所有が、外国銀行等の過半数の株式又は過半数の出資の所有となるときは、当該証券会社は、施行日から起算して三月以内にその旨を大蔵大臣に届け出なければならない。 suppl-4041-87/art-25/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2 If, at the time this Act comes into effect, the holding by a securities company of shares or equity investment through the acquisition of shares or equity investment (limited to one not yet executed on the effective date) for which the securities company has received the permission set forth in item (i) or has made the notification set forth in item (ii) would become the holding of a majority of the shares or a majority of the equity investment of a foreign bank, etc., that securities company must notify the Minister of Finance to that effect within three months from the effective date. machine translation, not official **一** 外国為替及び外国貿易管理法第二十一条第二項の規定による許可 suppl-4041-87/art-25/par-2/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2/item-1 permission under Article 21, paragraph (2) of the Foreign Exchange and Foreign Trade Control Act; machine translation, not official **二** 外国為替及び外国貿易管理法第二十二条第一項第四号の規定による届出（当該届出につき、同法第二十三条第二項の規定による大蔵大臣の勧告を受けることなく同条第一項の規定により当該届出に係る当該株式又は出資の取得を行ってはならない期間を経過している場合又は当該勧告を受け同条第四項の規定により当該勧告を応諾する旨の通知がされている場合に限る。） suppl-4041-87/art-25/par-2/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2/item-2 a notification under Article 22, paragraph (1), item (iv) of the Foreign Exchange and Foreign Trade Control Act (limited to a case where, with regard to that notification, the period during which the acquisition of the shares or equity investment pertaining to that notification must not be carried out under Article 23, paragraph (1) of that Act has elapsed without receiving a recommendation by the Minister of Finance under paragraph (2) of that Article, or a case where, having received that recommendation, a notice of acceptance of the recommendation has been given under paragraph (4) of that Article). machine translation, not official **第三項** 前二項の規定により届出をした証券会社は、当該届出に係る株式又は出資の所有につき、施行日において新証券取引法第四十三条の二第一項の認可を受けたものとみなす。 suppl-4041-87/art-25/par-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-3 A securities company that has made a notification pursuant to the provisions of the preceding two paragraphs is deemed to have received, on the effective date, the authorization under Article 43-2, paragraph (1) of the New Securities and Exchange Act with regard to the holding of the shares or equity investment pertaining to that notification. machine translation, not official **第四項** 施行日前に旧証券取引法第三十三条の規定によってした同条第七号に係る認可（この法律の施行の際現に過半数の株式を所有している会社に係るものに限る。）は、新証券取引法第四十三条の二第一項の規定によってした認可とみなす。 suppl-4041-87/art-25/par-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-4 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-4 Authorization pertaining to item (vii) of Article 33 of the Former Securities and Exchange Act that was given pursuant to the provisions of that Article before the effective date (limited to one pertaining to a company of which a majority of the shares is held at the time this Act comes into effect) is deemed to be authorization given pursuant to the provisions of Article 43-2, paragraph (1) of the New Securities and Exchange Act. machine translation, not official ### 第二十六条 suppl-4041-87/art-26 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26 **第一項** この法律の施行の際現に次の各号に掲げる有価証券について、当該各号に定める行為のいずれかを営業として行っている銀行、信託会社その他旧証券取引法第六十五条の二第一項に規定する政令で定める金融機関（次項において「銀行等」という。）は、大蔵省令で定めるところにより、施行日から三月以内に業務の内容その他の事項を大蔵大臣に届け出ることができる。 suppl-4041-87/art-26/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-1 A bank, trust company, or other financial institution specified by Cabinet Order prescribed in Article 65-2, paragraph (1) of the Former Securities and Exchange Act (referred to as a "bank, etc." in the following paragraph) that is, at the time this Act comes into effect, engaged as a business in any of the acts specified in each of the following items with respect to the securities set forth in that item may, as provided by Ministry of Finance Order, notify the Minister of Finance of the business outline and other particulars within three months from the effective date. machine translation, not official **一** 新証券取引法第六十五条第二項第二号又は第三号に掲げる有価証券　新証券取引法第二条第八項各号に掲げる行為（同項第一号から第三号までに掲げる行為については、有価証券の売買及び有価証券の売買に係るものに限る。） suppl-4041-87/art-26/par-1/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-1/item-1 securities set forth in Article 65, paragraph (2), item (ii) or (iii) of the New Securities and Exchange Act: the acts set forth in the items of Article 2, paragraph (8) of the New Securities and Exchange Act (limited, for the acts set forth in items (i) through (iii) of that paragraph, to the purchase and sale of securities and acts pertaining to the purchase and sale of securities); machine translation, not official **二** 新証券取引法第六十五条第二項第四号に掲げる有価証券　新証券取引法第二条第八項第六号に掲げる私募の取扱い suppl-4041-87/art-26/par-1/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-1/item-2 securities set forth in Article 65, paragraph (2), item (iv) of the New Securities and Exchange Act: dealings in a private placement set forth in Article 2, paragraph (8), item (vi) of the New Securities and Exchange Act. machine translation, not official **第二項** 前項の規定による届出をした銀行等は、施行日において新証券取引法第六十五条の二第一項の規定による認可を受けたものとみなす。 suppl-4041-87/art-26/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-2 A bank, etc. that has made a notification under the provisions of the preceding paragraph is deemed to have received, on the effective date, the authorization under the provisions of Article 65-2, paragraph (1) of the New Securities and Exchange Act. machine translation, not official ### 第三十二条（罰則の適用に関する経過措置） — Transitional Measures Concerning the Application of Penal Provisions caption: machine translation, not official suppl-4041-87/art-32 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-32 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-32 **第一項** この法律の施行前にした行為及びこの附則の規定によりなお従前の例によることとされる事項に係るこの法律の施行後にした行為に対する罰則の適用については、なお従前の例による。 suppl-4041-87/art-32/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-32/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-32/par-1 The provisions then in force continue to govern the applicability of penal provisions to acts which a person has committed before this Act comes into effect, as well as to acts which a person commits after this Act comes into effect related to the particulars for which the provisions then in force are to continue to govern pursuant to the provisions of these Supplementary Provisions. machine translation, not official ### 第三十三条（その他の経過措置の政令への委任） — Delegation of Other Transitional Measures to Cabinet Order caption: machine translation, not official suppl-4041-87/art-33 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-33 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-33 **第一項** 附則第二条から前条までに定めるもののほか、この法律の施行に関し必要な経過措置は、政令で定める。 suppl-4041-87/art-33/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-33/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-33/par-1 Beyond what is provided for in Article 2 through the preceding Article of the Supplementary Provisions, the transitional measures necessary for the enforcement of this Act are specified by Cabinet Order. machine translation, not official --- ## Cites - suppl-4041-87/art-14/par-2: 前項 → 金融商品取引法 附則第十四条第一項 (Supplementary Provisions, Article 14, paragraph (1)), suppl-4041-87/art-14/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-14/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-14/par-1 - suppl-4041-87/art-16/par-1: この条 → 金融商品取引法 附則第十六条 (Supplementary Provisions, Article 16), suppl-4041-87/art-16 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-16 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-16 - suppl-4041-87/art-16/par-1: 附則第十八条 → 金融商品取引法 附則第十八条 (Supplementary Provisions, Article 18), suppl-4041-87/art-18 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-18 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-18 - suppl-4041-87/art-16/par-1: 次条 → 金融商品取引法 附則第十七条 (Supplementary Provisions, Article 17), suppl-4041-87/art-17 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-17 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-17 - suppl-4041-87/art-18/par-1: この条 → 金融商品取引法 附則第十八条 (Supplementary Provisions, Article 18), suppl-4041-87/art-18 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-18 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-18 - suppl-4041-87/art-21/par-2: 前項 → 金融商品取引法 附則第二十一条第一項 (Supplementary Provisions, Article 21, paragraph (1)), suppl-4041-87/art-21/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-21/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-21/par-1 - suppl-4041-87/art-24/par-1: この条 → 金融商品取引法 附則第二十四条 (Supplementary Provisions, Article 24), suppl-4041-87/art-24 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-24 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-24 - suppl-4041-87/art-25/par-1: 次項 → 金融商品取引法 附則第二十五条第二項 (Supplementary Provisions, Article 25, paragraph (2)), suppl-4041-87/art-25/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2 - suppl-4041-87/art-25/par-2: 第一号 → 金融商品取引法 附則第二十五条第二項第一号 (Supplementary Provisions, Article 25, paragraph (2), item (i)), suppl-4041-87/art-25/par-2/item-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2/item-1 - suppl-4041-87/art-25/par-2: 第二号 → 金融商品取引法 附則第二十五条第二項第二号 (Supplementary Provisions, Article 25, paragraph (2), item (ii)), suppl-4041-87/art-25/par-2/item-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2/item-2 - suppl-4041-87/art-25/par-3: 前二項 → 金融商品取引法 附則第二十五条第一項 (Supplementary Provisions, Article 25, paragraph (1)), suppl-4041-87/art-25/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-1 - suppl-4041-87/art-25/par-3: 前二項 → 金融商品取引法 附則第二十五条第二項 (Supplementary Provisions, Article 25, paragraph (2)), suppl-4041-87/art-25/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2 - suppl-4041-87/art-26/par-1: 次項 → 金融商品取引法 附則第二十六条第二項 (Supplementary Provisions, Article 26, paragraph (2)), suppl-4041-87/art-26/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-2 - suppl-4041-87/art-26/par-2: 前項 → 金融商品取引法 附則第二十六条第一項 (Supplementary Provisions, Article 26, paragraph (1)), suppl-4041-87/art-26/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-1 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第十四条 (Supplementary Provisions, Article 14), suppl-4041-87/art-14 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-14 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-14 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第十五条 (Supplementary Provisions, Article 15), suppl-4041-87/art-15 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-15 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-15 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第十六条 (Supplementary Provisions, Article 16), suppl-4041-87/art-16 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-16 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-16 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第十七条 (Supplementary Provisions, Article 17), suppl-4041-87/art-17 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-17 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-17 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第十八条 (Supplementary Provisions, Article 18), suppl-4041-87/art-18 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-18 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-18 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第十九条 (Supplementary Provisions, Article 19), suppl-4041-87/art-19 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-19 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-19 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第二十条 (Supplementary Provisions, Article 20), suppl-4041-87/art-20 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-20 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-20 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第二十一条 (Supplementary Provisions, Article 21), suppl-4041-87/art-21 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-21 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-21 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第二十二条 (Supplementary Provisions, Article 22), suppl-4041-87/art-22 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-22 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-22 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第二十三条 (Supplementary Provisions, Article 23), suppl-4041-87/art-23 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-23 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-23 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第二十四条 (Supplementary Provisions, Article 24), suppl-4041-87/art-24 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-24 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-24 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第二十五条 (Supplementary Provisions, Article 25), suppl-4041-87/art-25 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第二十六条 (Supplementary Provisions, Article 26), suppl-4041-87/art-26 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26 - suppl-4041-87/art-33/par-1: 附則第二条から前条まで → 金融商品取引法 附則第三十二条 (Supplementary Provisions, Article 32), suppl-4041-87/art-32 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-32 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-32 ## Cited by 11 provisions cite this one. No official source publishes this direction. - 金融商品取引法 附則第十四条第二項（証券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-4041-87/art-14/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-14/par-2 - 金融商品取引法 附則第十六条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-16/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-16/par-1 - 金融商品取引法 附則第十八条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-18/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-18/par-1 - 金融商品取引法 附則第二十一条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-21/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-21/par-2 - 金融商品取引法 附則第二十四条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-24/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-24/par-1 - 金融商品取引法 附則第二十五条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-1 - 金融商品取引法 附則第二十五条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-2 - 金融商品取引法 附則第二十五条第三項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-25/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-25/par-3 - 金融商品取引法 附則第二十六条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-1 - 金融商品取引法 附則第二十六条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-26/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-26/par-2 - 金融商品取引法 附則第三十三条第一項（その他の経過措置の政令への委任） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4041-87/art-33/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4041-87/art-33/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-20261023T035921-025, translated 2026-10-23 - claude-sonnet-5-5, corrected on review by claude-opus-5-5 — Machine translation corrected on review, batch financial-instruments-and-exchange-act-20261023T035921-025, translated 2026-10-23 - claude-sonnet-5-5 — Machine translation, batch financial-instruments-and-exchange-act-20261023T035921-026, translated 2026-10-23 - claude-sonnet-5-5, corrected on review by claude-opus-5-5 — Machine translation corrected on review, batch financial-instruments-and-exchange-act-20261023T035921-026, 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