# 金融商品取引法 / Financial Instruments and Exchange Act — 第二十八条 (Supplementary Provisions, Article 28) - 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: 第二十八条 (Supplementary Provisions, Article 28) — address `suppl-4181-65/art-28` - 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-4181-65/art-28 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28 - 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. --- ### 第二十八条 suppl-4181-65/art-28 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28 **第一項** この法律の施行の際現に金融商品取引業者（有価証券関連業を行う者に限る。以下この項から第三項までにおいて同じ。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員）、監査役又は執行役である者で当該金融商品取引業者の親銀行等（新金融商品取引法第三十一条の四第五項に規定する親銀行等をいう。以下この項において同じ。）の取締役、会計参与、監査役若しくは執行役（理事、監事その他これに準ずる者を含む。以下この項において同じ。）又は使用人を兼ねている者が、施行日から一月以内に内閣府令で定めるところにより内閣総理大臣に届出をしたときは、同条第一項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銀行等の取締役、会計参与、監査役若しくは執行役又は使用人を兼ねることができる。 suppl-4181-65/art-28/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-1 If a person who, at the time of the enforcement of this Act, is a director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties), company auditor or executive officer of a financial instruments business operator (limited to a person engaged in securities-related services; hereinafter the same applies in this paragraph through paragraph (3)) and who concurrently serves as a director, accounting advisor, company auditor or executive officer (including a board member, auditor and any other person equivalent thereto; hereinafter the same applies in this paragraph) or employee of the parent bank, etc. of that financial instruments business operator (meaning the parent bank, etc. prescribed in Article 31-4, paragraph (5) of the New Financial Instruments and Exchange Act; hereinafter the same applies in this paragraph) makes a notification to the Prime Minister within one month from the effective date pursuant to Cabinet Office Order, then, notwithstanding the provisions of Article 31-4, paragraph (1) of the New Financial Instruments and Exchange Act, the person may continue to concurrently serve as the director, accounting advisor, company auditor or executive officer, or employee of that parent bank, etc. pertaining to that notification until the day on which one year has passed counting from the effective date. machine translation, not official **第二項** この法律の施行の際現に金融商品取引業者の取締役、会計参与、監査役若しくは執行役又は使用人である者で当該金融商品取引業者の子銀行等（新金融商品取引法第三十一条の四第六項に規定する子銀行等をいう。以下この項において同じ。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員。以下この項において同じ。）、監査役又は執行役（理事、監事その他これに準ずる者を含む。以下この項において同じ。）を兼ねている者が、施行日から一年以内に内閣府令で定めるところにより内閣総理大臣に届出をしたときは、施行日から起算して一年を経過する日までの間は、同条第二項の規定にかかわらず、引き続き当該届出に係る当該子銀行等の取締役、会計参与、監査役又は執行役を兼ねることができる。 suppl-4181-65/art-28/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-2 If a person who, at the time of the enforcement of this Act, is a director, accounting advisor, company auditor or executive officer, or employee of a financial instruments business operator and who concurrently serves as a director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties; hereinafter the same applies in this paragraph), company auditor or executive officer (including a board member, auditor and any other person equivalent thereto; hereinafter the same applies in this paragraph) of the subsidiary bank, etc. of that financial instruments business operator (meaning the subsidiary bank, etc. prescribed in Article 31-4, paragraph (6) of the New Financial Instruments and Exchange Act; hereinafter the same applies in this paragraph) makes a notification to the Prime Minister within one year from the effective date pursuant to Cabinet Office Order, then, until the day on which one year has passed counting from the effective date, notwithstanding the provisions of Article 31-4, paragraph (2) of the New Financial Instruments and Exchange Act, the person may continue to concurrently serve as the director, accounting advisor, company auditor or executive officer of that subsidiary bank, etc. pertaining to that notification. machine translation, not official **第三項** この法律の施行の際現に金融商品取引業者の常務に従事する取締役（委員会設置会社にあっては、執行役）である者で銀行、協同組織金融機関その他政令で定める金融機関の常務に従事している者が、前二項の規定の適用がある場合を除き、施行日から一年以内に内閣府令で定めるところにより内閣総理大臣に届出をしたときは、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銀行、協同組織金融機関その他政令で定める金融機関の常務に従事することができる。 suppl-4181-65/art-28/par-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-3 If a person who, at the time of the enforcement of this Act, is a director (in the case of a company with committees, an executive officer) engaged in the ordinary business of a financial instruments business operator and who is engaged in the ordinary business of a bank, cooperative financial institution or any other financial institution specified by Cabinet Order makes a notification to the Prime Minister within one year from the effective date pursuant to Cabinet Office Order, excluding a case where the provisions of the preceding two paragraphs apply, then, until the day on which one year has passed counting from the effective date, the person may continue to be engaged in the ordinary business of that bank, cooperative financial institution or other financial institution specified by Cabinet Order pertaining to that notification. machine translation, not official **第四項** 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。以下同じ。）の取締役又は執行役が施行日前に旧証券取引法第三十二条第四項の規定により行った届出は、新金融商品取引法第三十一条の四第四項の規定により行った届出とみなす。 suppl-4181-65/art-28/par-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-4 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-4 A notification made by a director or executive officer of a securities company (meaning a securities company prescribed in Article 2, paragraph (9) of the Former Securities and Exchange Act; the same applies hereinafter) pursuant to the provisions of Article 32, paragraph (4) of the Former Securities and Exchange Act before the effective date is deemed to be a notification made pursuant to the provisions of Article 31-4, paragraph (4) of the New Financial Instruments and Exchange Act. machine translation, not official **第五項** この法律の施行の際現に附則第十七条第一項の規定により施行日以後引き続き金融商品取引業を行っている者（第一種金融商品取引業（新金融商品取引法第二十八条第一項に規定する第一種金融商品取引業をいう。以下同じ。）又は投資運用業（新金融商品取引法第二十八条第四項に規定する投資運用業をいう。以下同じ。）を行う者に限り、みなし登録第一種業者を除く。）の取締役又は執行役である者で他の会社の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員。以下この項において同じ。）、監査役又は執行役に就任している場合（他の会社の取締役、会計参与、監査役又は執行役が金融商品取引業者の取締役又は執行役を兼ねている場合を含む。）には、施行日以後、遅滞なく、その旨及び当該就任をした日を内閣総理大臣に届け出なければならない。 suppl-4181-65/art-28/par-5 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-5 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-5 If a person who is a director or executive officer of a person who, at the time of the enforcement of this Act, is continuing to engage in financial instruments business on or after the effective date pursuant to the provisions of Article 17, paragraph (1) of the Supplementary Provisions (limited to a person engaged in type-I financial instruments business (meaning the type-I financial instruments business prescribed in Article 28, paragraph (1) of the New Financial Instruments and Exchange Act; the same applies hereinafter) or investment management business (meaning the investment management business prescribed in Article 28, paragraph (4) of the New Financial Instruments and Exchange Act; the same applies hereinafter), and excluding a deemed registered type-I financial instruments business operator) has assumed the position of director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties; hereinafter the same applies in this paragraph), company auditor or executive officer of another company (including a case where a director, accounting advisor, company auditor or executive officer of another company concurrently serves as a director or executive officer of a financial instruments business operator), the person must notify the Prime Minister of that fact and the date of that assumption without delay on or after the effective date. machine translation, not official --- ## Cites - suppl-4181-65/art-28/par-1: この項 → 金融商品取引法 附則第二十八条第一項 (Supplementary Provisions, Article 28, paragraph (1)), suppl-4181-65/art-28/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-1 - suppl-4181-65/art-28/par-1: 第三項 → 金融商品取引法 附則第二十八条第三項 (Supplementary Provisions, Article 28, paragraph (3)), suppl-4181-65/art-28/par-3 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-3 - suppl-4181-65/art-28/par-1: 新金融商品取引法第三十一条の四第五項 → 金融商品取引法 第三十一条の四第五項 (Article 31-4, paragraph (5)), art-31-4/par-5 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-31-4/par-5 · https://japanlaw.org/l/323AC0000000025/art-31-4/par-5 - suppl-4181-65/art-28/par-1: 同条第一項 → 金融商品取引法 第三十一条の四第一項 (Article 31-4, paragraph (1)), art-31-4/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-31-4/par-1 · https://japanlaw.org/l/323AC0000000025/art-31-4/par-1 - suppl-4181-65/art-28/par-2: この項 → 金融商品取引法 附則第二十八条第二項 (Supplementary Provisions, Article 28, paragraph (2)), suppl-4181-65/art-28/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-2 - suppl-4181-65/art-28/par-3: 前二項 → 金融商品取引法 附則第二十八条第一項 (Supplementary Provisions, Article 28, paragraph (1)), suppl-4181-65/art-28/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-1 - suppl-4181-65/art-28/par-3: 前二項 → 金融商品取引法 附則第二十八条第二項 (Supplementary Provisions, Article 28, paragraph (2)), suppl-4181-65/art-28/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-2 - suppl-4181-65/art-28/par-4: 新金融商品取引法第三十一条の四第四項 → 金融商品取引法 第三十一条の四第四項 (Article 31-4, paragraph (4)), art-31-4/par-4 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-31-4/par-4 · https://japanlaw.org/l/323AC0000000025/art-31-4/par-4 - suppl-4181-65/art-28/par-5: 附則第十七条第一項 → 金融商品取引法 附則第十七条第一項 (Supplementary Provisions, Article 17, paragraph (1)), suppl-4181-65/art-17/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-17/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-17/par-1 - suppl-4181-65/art-28/par-5: 新金融商品取引法第二十八条第一項 → 金融商品取引法 第二十八条第一項 (Article 28, paragraph (1)), art-28/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-28/par-1 · https://japanlaw.org/l/323AC0000000025/art-28/par-1 - suppl-4181-65/art-28/par-5: 新金融商品取引法第二十八条第四項 → 金融商品取引法 第二十八条第四項 (Article 28, paragraph (4)), art-28/par-4 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-28/par-4 · https://japanlaw.org/l/323AC0000000025/art-28/par-4 - suppl-4181-65/art-28/par-5: この項 → 金融商品取引法 附則第二十八条第五項 (Supplementary Provisions, Article 28, paragraph (5)), suppl-4181-65/art-28/par-5 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-5 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-5 ## Cited by 7 provisions cite this one. No official source publishes this direction. - 金融商品取引法 附則第二十八条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-1 - 金融商品取引法 附則第二十八条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-2 - 金融商品取引法 附則第二十八条第三項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-3 - 金融商品取引法 附則第二十八条第五項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4181-65/art-28/par-5 · https://japanlaw.org/l/323AC0000000025/suppl-4181-65/art-28/par-5 - 金融商品取引法 附則第三条第一項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4201-65/art-3/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4201-65/art-3/par-1 - 金融商品取引法 附則第三条第二項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4201-65/art-3/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4201-65/art-3/par-2 - 金融商品取引法 附則第三条第三項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4201-65/art-3/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4201-65/art-3/par-3 --- ## 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-20261023T035921-041, 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