# 金融商品取引法 / Financial Instruments and Exchange Act — 第四十条 (Supplementary Provisions, Article 40) - 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: 第四十条 (Supplementary Provisions, Article 40) — address `suppl-4101-107/art-40` - 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-4101-107/art-40 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/suppl-4101-107/art-40 - 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. --- ### 第四十条 suppl-4101-107/art-40 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4101-107/art-40 · https://japanlaw.org/l/323AC0000000025/suppl-4101-107/art-40 **第一項** 新証券取引法第七十九条の二十一に規定する投資者保護基金（以下「基金」という。）の発起人又は会員になろうとする証券会社（旧証券取引法第二条第九項に規定する証券会社をいう。附則第四十三条第一項において同じ。）又は外国証券会社（第三条の規定による改正前の外国証券業者に関する法律（以下「旧外国証券業者法」という。）第二条第二号に規定する外国証券会社をいう。附則第四十三条第一項において同じ。）は、施行日前においても、新証券取引法第七十九条の二十二、第七十九条の二十三、第七十九条の二十五、第七十九条の二十六、第七十九条の二十七第一項、第七十九条の二十九第二項から第八項まで、第七十九条の三十、第七十九条の三十二、第七十九条の三十四、第七十九条の三十五、第七十九条の三十七、第七十九条の三十八、第七十九条の四十二、第七十九条の五十一及び第七十九条の六十五並びに新証券取引法附則第五条の規定の例により、定款の作成、創立総会の開催その他基金の設立に必要な行為、基金への加入に必要な行為及び基金の成立の日を含む事業年度の業務の運営に必要な行為をすることができる。 suppl-4101-107/art-40/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4101-107/art-40/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4101-107/art-40/par-1 A securities company (meaning a securities company prescribed in Article 2, paragraph (9) of the Former Securities and Exchange Act; the same applies in Article 43, paragraph (1) of the Supplementary Provisions) or foreign securities company (meaning a foreign securities company prescribed in Article 2, item (ii) of the Act on Foreign Securities Firms prior to amendment by the provisions of Article 3 (hereinafter referred to as the "Former Foreign Securities Firms Act"); the same applies in Article 43, paragraph (1) of the Supplementary Provisions) that intends to become a founder or member of an investor protection fund prescribed in Article 79-21 of the New Securities and Exchange Act (hereinafter referred to as a "fund") may, even before the effective date, in accordance with the provisions of Articles 79-22, 79-23, 79-25, 79-26, 79-27, paragraph (1), 79-29, paragraphs (2) through (8), 79-30, 79-32, 79-34, 79-35, 79-37, 79-38, 79-42, 79-51, and 79-65 of the New Securities and Exchange Act and Article 5 of the Supplementary Provisions of the New Securities and Exchange Act, prepare the articles of incorporation, hold an organizational meeting, and perform other acts necessary for the establishment of the fund, acts necessary for joining the fund, and acts necessary for the operation of business in the business year that includes the day of establishment of the fund. machine translation, not official **第二項** 基金の発起人は、施行日前においても、新証券取引法第七十九条の三十及び第七十九条の三十一並びに新証券取引法附則第九条の規定の例により、基金の設立の認可並びに基金のために基金の成立の日を含む事業年度の予算及び資金計画の認可の申請をし、大蔵大臣の認可を受けることができる。この場合において、これらの認可の効力は、施行日から生ずるものとする。 suppl-4101-107/art-40/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4101-107/art-40/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4101-107/art-40/par-2 A founder of a fund may, even before the effective date, in accordance with the provisions of Articles 79-30 and 79-31 of the New Securities and Exchange Act and Article 9 of the Supplementary Provisions of the New Securities and Exchange Act, apply for authorization of the establishment of the fund and, for the fund, for authorization of the budget and financial plan for the business year that includes the day of establishment of the fund, and obtain the authorization of the Minister of Finance. In this case, the authorizations take effect from the effective date. machine translation, not official --- ## Cites - suppl-4101-107/art-40/par-1: 附則第四十三条第一項 → 金融商品取引法 附則第四十三条第一項 (Supplementary Provisions, Article 43, paragraph (1)), suppl-4101-107/art-43/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4101-107/art-43/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4101-107/art-43/par-1 ## Cited by 1 provision cites this one. No official source publishes this direction. - 金融商品取引法 附則第一条第一項第一号（施行期日） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4101-107/art-1/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/suppl-4101-107/art-1/par-1/item-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-20261023T035921-030, 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