# 金融商品取引法 / Financial Instruments and Exchange Act — 第十一条 (Supplementary Provisions, Article 11) - 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: 第十一条 (Supplementary Provisions, Article 11)（課徴金に関する経過措置） — address `suppl-4161-97/art-11` - 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-4161-97/art-11 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11 - 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. --- ### 第十一条（課徴金に関する経過措置） — Transitional Measures Concerning Surcharges caption: machine translation, not official suppl-4161-97/art-11 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4161-97/art-11 · https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11 **第一項** 新証券取引法第百七十二条第一項及び第二項の規定は施行日以後に提出される同条第一項又は第二項に規定する開示書類に基づく募集又は売出し（新証券取引法第四条第三項に規定する有価証券の売出しをいう。以下この項において同じ。）により有価証券を取得させ、又は売り付ける行為について、新証券取引法第百七十二条第四項及び第五項の規定は施行日以後に開始する売出しにより有価証券を売り付ける行為について、それぞれ適用する。 suppl-4161-97/art-11/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4161-97/art-11/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11/par-1 The provisions of Article 172, paragraphs (1) and (2) of the New Securities and Exchange Act apply to the act of causing the acquisition of securities, or selling securities, by a public offering or secondary distribution (meaning a secondary distribution of securities prescribed in Article 4, paragraph (3) of the New Securities and Exchange Act; the same applies hereinafter in this paragraph) based on a disclosure document prescribed in paragraph (1) or (2) of Article 172 of that Act that is submitted on or after the effective date, and the provisions of Article 172, paragraphs (4) and (5) of the New Securities and Exchange Act apply to the act of selling securities by a secondary distribution commenced on or after the effective date, respectively. machine translation, not official **第二項** 新証券取引法第百七十三条の規定は、施行日以後に行われる同条第一項に規定する違反行為について適用する。 suppl-4161-97/art-11/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4161-97/art-11/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11/par-2 The provisions of Article 173 of the New Securities and Exchange Act apply to violations prescribed in paragraph (1) of that Article that are committed on or after the effective date. machine translation, not official **第三項** 新証券取引法第百七十四条の規定は、施行日以後に開始される同条第一項に規定する違反行為について適用する。 suppl-4161-97/art-11/par-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4161-97/art-11/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11/par-3 The provisions of Article 174 of the New Securities and Exchange Act apply to violations prescribed in paragraph (1) of that Article that commence on or after the effective date. machine translation, not official **第四項** 新証券取引法第百七十五条の規定は、施行日以後に行われる新証券取引法第百六十六条第一項に規定する売買等又は新証券取引法第百六十七条第一項に規定する特定株券等若しくは関連株券等に係る買付け等若しくは同項に規定する株券等に係る売付け等について適用する。 suppl-4161-97/art-11/par-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4161-97/art-11/par-4 · https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11/par-4 The provisions of Article 175 of the New Securities and Exchange Act apply to the sale or purchase, etc. prescribed in Article 166, paragraph (1) of the New Securities and Exchange Act, the purchase, etc. of the specified share certificates, etc. or related share certificates, etc. prescribed in Article 167, paragraph (1) of the New Securities and Exchange Act, or the sale, etc. of the share certificates, etc. prescribed in that paragraph, that are conducted on or after the effective date. machine translation, not official --- ## Cites - suppl-4161-97/art-11/par-1: この項 → 金融商品取引法 附則第十一条第一項 (Supplementary Provisions, Article 11, paragraph (1)), suppl-4161-97/art-11/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4161-97/art-11/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11/par-1 ## Cited by 1 provision cites this one. No official source publishes this direction. - 金融商品取引法 附則第十一条第一項（課徴金に関する経過措置） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4161-97/art-11/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4161-97/art-11/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-20261023T035921-037, 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