# 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-4141-65` - 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-4141-65 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/suppl-4141-65 - 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 平成一四年六月一二日法律第六五号 suppl-4141-65 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65 ### 第一条（施行期日） — Effective Date caption: machine translation, not official suppl-4141-65/art-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-1 **第一項** この法律は、平成十五年一月六日から施行する。 suppl-4141-65/art-1/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-1/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-1/par-1 This Act comes into effect on January 6, 2003. machine translation, not official ### 第四条（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-4141-65/art-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4 **第一項** この法律の施行の際現に有価証券債務引受業（第八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。）第二条第二十六項に規定する有価証券債務引受業をいう。以下この条及び次条第一項において同じ。）を営んでいる者（証券取引所（新証券取引法第二条第十四項に規定する証券取引所をいう。次条において同じ。）を除く。）は、施行日から六月間（当該期間内に新証券取引法第百五十六条の二の免許の拒否の処分があったとき、又は次項の規定により読み替えて適用する新証券取引法第百五十六条の十七第二項の規定により有価証券債務引受業の廃止を命じられたときは、当該処分のあった日又は当該廃止を命じられた日までの間）は、新証券取引法第百五十六条の二の規定にかかわらず、引き続き有価証券債務引受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の申請をした場合において、その期間を経過したときは、その申請について免許又は免許の拒否の処分があるまでの間も、同様とする。 suppl-4141-65/art-4/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-1 A person who, at the time this Act comes into force, is conducting securities obligation assumption business (meaning securities obligation assumption business prescribed in Article 2, paragraph (26) of the Securities and Exchange Act as amended by Article 8 (hereinafter referred to as the "New Securities and Exchange Act"); the same applies hereinafter in this Article and paragraph (1) of the following Article) (excluding a securities exchange (meaning a securities exchange prescribed in Article 2, paragraph (14) of the New Securities and Exchange Act; the same applies in the following Article)) may, notwithstanding the provisions of Article 156-2 of the New Securities and Exchange Act, continue to conduct securities obligation assumption business for six months from the effective date (or, if a disposition refusing the license under Article 156-2 of the New Securities and Exchange Act is made within that period, or the person is ordered to abolish securities obligation assumption business pursuant to Article 156-17, paragraph (2) of the New Securities and Exchange Act as applied with the replacement of terms pursuant to the provisions of the following paragraph, until the day on which that disposition was made or on which the person was ordered to abolish it). If that person has filed an application for the license under Article 156-2 of the New Securities and Exchange Act within that period and that period has elapsed, the same applies until a disposition granting or refusing the license is made on that application. machine translation, not official **第二項** 前項の規定により引き続き有価証券債務引受業を営むことができる場合においては、その者を新証券取引法第二条第二十七項に規定する証券取引清算機関とみなして、新証券取引法第百五十六条の八、第百五十六条の十四第三項、第百五十六条の十五、第百五十六条の十六、第百五十六条の十七第二項、第百五十六条の二十二、第百八十八条及び第百九十条の規定（これらの規定に係る罰則を含む。）を適用する。この場合において、新証券取引法第百五十六条の十四第三項中「内閣総理大臣は、不正の手段により証券取引清算機関の取締役若しくは監査役となつた者のあることを発見したとき、又は」とあるのは「内閣総理大臣は、」と、新証券取引法第百五十六条の十七第二項中「第百五十六条の二の免許若しくは第百五十六条の六第二項ただし書若しくは第百五十六条の十九の承認を取り消し」とあるのは「有価証券債務引受業の廃止を命じ」とする。 suppl-4141-65/art-4/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-2 In the case where a person may continue to conduct securities obligation assumption business pursuant to the provisions of the preceding paragraph, that person is deemed to be a securities clearing organization prescribed in Article 2, paragraph (27) of the New Securities and Exchange Act, and the provisions of Article 156-8, Article 156-14, paragraph (3), Article 156-15, Article 156-16, Article 156-17, paragraph (2), Article 156-22, Article 188, and Article 190 of the New Securities and Exchange Act (including the penal provisions pertaining to these provisions) apply. In this case, the phrase "The Prime Minister, upon discovering that a person has become a director or company auditor of a securities clearing organization by wrongful means, or" in Article 156-14, paragraph (3) of the New Securities and Exchange Act is deemed to be replaced with "The Prime Minister,", and the phrase "revoke the license under Article 156-2 or the approval under the proviso to Article 156-6, paragraph (2) or under Article 156-19" in Article 156-17, paragraph (2) of the New Securities and Exchange Act is deemed to be replaced with "order the abolition of securities obligation assumption business". machine translation, not official **第三項** 前項の規定により読み替えて適用する新証券取引法第百五十六条の十七第二項の規定により有価証券債務引受業の廃止を命じられた場合における新証券取引法第百五十六条の四第二項の規定の適用については、当該廃止を命じられた者を新証券取引法第百五十六条の十七第二項の規定により新証券取引法第百五十六条の二の免許を取り消された者と、当該廃止を命じられた日を新証券取引法第百五十六条の十七第二項の規定による新証券取引法第百五十六条の二の免許の取消しの日とみなす。 suppl-4141-65/art-4/par-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-3 With regard to the application of the provisions of Article 156-4, paragraph (2) of the New Securities and Exchange Act in the case where a person is ordered to abolish securities obligation assumption business pursuant to the provisions of Article 156-17, paragraph (2) of the New Securities and Exchange Act as applied with the replacement of terms pursuant to the provisions of the preceding paragraph, the person ordered to abolish it is deemed to be a person whose license under Article 156-2 of the New Securities and Exchange Act has been revoked pursuant to the provisions of Article 156-17, paragraph (2) of the New Securities and Exchange Act, and the day on which the person was so ordered is deemed to be the day of revocation of the license under Article 156-2 of the New Securities and Exchange Act pursuant to the provisions of Article 156-17, paragraph (2) of the New Securities and Exchange Act. machine translation, not official ### 第五条 suppl-4141-65/art-5 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5 **第一項** この法律の施行の際現に有価証券債務引受業を営んでいる証券取引所は、施行日において新証券取引法第百五十六条の十九の承認を受けたものとみなす。 suppl-4141-65/art-5/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5/par-1 A securities exchange that, at the time this Act comes into force, is conducting securities obligation assumption business is deemed to have received the approval under Article 156-19 of the New Securities and Exchange Act on the effective date. machine translation, not official **第二項** 前項の規定により新証券取引法第百五十六条の十九の承認を受けたとみなされる証券取引所は、施行日から三十日以内に新証券取引法第百五十六条の七第一項に規定する業務方法書を内閣総理大臣に提出しなければならない。 suppl-4141-65/art-5/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5/par-2 A securities exchange that is deemed to have received the approval under Article 156-19 of the New Securities and Exchange Act pursuant to the provisions of the preceding paragraph must submit the business rules prescribed in Article 156-7, paragraph (1) of the New Securities and Exchange Act to the Prime Minister within 30 days from the effective date. machine translation, not official ### 第八条（権限の委任） — Delegation of Authority caption: machine translation, not official suppl-4141-65/art-8 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-8 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-8 **第一項** 内閣総理大臣は、附則第五条第二項及び前条第二項の規定による権限を金融庁長官に委任する。 suppl-4141-65/art-8/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-8/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-8/par-1 The Prime Minister is to delegate the authority under Article 5, paragraph (2) of the Supplementary Provisions and paragraph (2) of the preceding Article to the Commissioner of the Financial Services Agency. machine translation, not official ### 第八十四条（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-4141-65/art-84 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-84 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-84 **第一項** この法律（附則第一条各号に掲げる規定にあっては、当該規定。以下この条において同じ。）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場合におけ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-4141-65/art-84/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-84/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-84/par-1 With regard to the application of penal provisions to acts committed before this Act (or, for the provisions set forth in the items of Article 1 of the Supplementary Provisions, those provisions; the same applies hereinafter in this Article) comes into effect and to acts committed after this Act comes into effect in the cases where the provisions then in force continue to govern pursuant to the provisions of these Supplementary Provisions, the provisions then in force continue to govern. machine translation, not official ### 第八十五条（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-4141-65/art-85 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-85 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-85 **第一項** この附則に規定するもののほか、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-4141-65/art-85/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-85/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-85/par-1 Beyond what is provided for in these Supplementary Provisions, transitional measures necessary in connection with the enforcement of this Act are specified by Cabinet Order. machine translation, not official ### 第八十六条（検討） — Review caption: machine translation, not official suppl-4141-65/art-86 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-86 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-86 **第一項** 政府は、この法律の施行後五年を経過した場合において新社債等振替法、金融商品取引法の施行状況、社会経済情勢の変化等を勘案し、新社債等振替法第二条第十一項に規定する加入者保護信託、金融商品取引法第二条第二十九項に規定する金融商品取引清算機関に係る制度について検討を加え、必要があると認めるときは、その結果に基づいて所要の措置を講ずるものとする。 suppl-4141-65/art-86/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-86/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-86/par-1 When five years have elapsed after this Act comes into effect, the government is to take into account the enforcement status of the New Act on Book-Entry Transfer of Company Bonds, etc. and the Financial Instruments and Exchange Act, changes in socioeconomic conditions, etc., review the system concerning account holder protection trusts prescribed in Article 2, paragraph (11) of the New Act on Book-Entry Transfer of Company Bonds, etc. and financial instruments clearing organizations prescribed in Article 2, paragraph (29) of the Financial Instruments and Exchange Act, and take the required measures based on the results if it finds this to be necessary. machine translation, not official --- ## Cites - suppl-4141-65/art-4/par-1: この条 → 金融商品取引法 附則第四条 (Supplementary Provisions, Article 4), suppl-4141-65/art-4 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4 - suppl-4141-65/art-4/par-1: 次条第一項 → 金融商品取引法 附則第五条第一項 (Supplementary Provisions, Article 5, paragraph (1)), suppl-4141-65/art-5/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5/par-1 - suppl-4141-65/art-4/par-1: 次条 → 金融商品取引法 附則第五条 (Supplementary Provisions, Article 5), suppl-4141-65/art-5 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5 - suppl-4141-65/art-4/par-1: 次項 → 金融商品取引法 附則第四条第二項 (Supplementary Provisions, Article 4, paragraph (2)), suppl-4141-65/art-4/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-2 - suppl-4141-65/art-4/par-2: 前項 → 金融商品取引法 附則第四条第一項 (Supplementary Provisions, Article 4, paragraph (1)), suppl-4141-65/art-4/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-1 - suppl-4141-65/art-4/par-3: 前項 → 金融商品取引法 附則第四条第二項 (Supplementary Provisions, Article 4, paragraph (2)), suppl-4141-65/art-4/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-4/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-2 - suppl-4141-65/art-5/par-2: 前項 → 金融商品取引法 附則第五条第一項 (Supplementary Provisions, Article 5, paragraph (1)), suppl-4141-65/art-5/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5/par-1 - suppl-4141-65/art-8/par-1: 附則第五条第二項 → 金融商品取引法 附則第五条第二項 (Supplementary Provisions, Article 5, paragraph (2)), suppl-4141-65/art-5/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5/par-2 - suppl-4141-65/art-84/par-1: 附則第一条 → 金融商品取引法 附則第一条 (Supplementary Provisions, Article 1), suppl-4141-65/art-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-1 - suppl-4141-65/art-84/par-1: この条 → 金融商品取引法 附則第八十四条 (Supplementary Provisions, Article 84), suppl-4141-65/art-84 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-84 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-84 - suppl-4141-65/art-86/par-1: 金融商品取引法第二条第二十九項 → 金融商品取引法 第二条第二十九項 (Article 2, paragraph (29)), art-2/par-29 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-2/par-29 · https://japanlaw.org/l/323AC0000000025/art-2/par-29 ## Cited by 6 provisions cite this one. No official source publishes this direction. - 金融商品取引法 附則第四条第一項（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-4141-65/art-4/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-1 - 金融商品取引法 附則第四条第二項（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-4141-65/art-4/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-2 - 金融商品取引法 附則第四条第三項（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-4141-65/art-4/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-4/par-3 - 金融商品取引法 附則第五条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-5/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-5/par-2 - 金融商品取引法 附則第八条第一項（権限の委任） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-8/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-8/par-1 - 金融商品取引法 附則第八十四条第一項（罰則の適用に関する経過措置） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4141-65/art-84/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4141-65/art-84/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-20261023T035921-035, 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