# 金融商品取引法 / Financial Instruments and Exchange Act — 第三条 (Supplementary Provisions, Article 3) - 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: 第三条 (Supplementary Provisions, Article 3) — address `suppl-4211-58/art-3` - 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-4211-58/art-3 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3 - 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. --- ### 第三条 suppl-4211-58/art-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3 **第一項** この法律の施行の際現に旧金融商品取引法第三十四条の二第五項の規定により特定投資家（旧金融商品取引法第二条第三十一項に規定する特定投資家をいう。以下同じ。）以外の顧客とみなされている特定投資家であって、旧金融商品取引法第三十四条の二第二項の規定による承諾をした金融商品取引業者等（旧金融商品取引法第三十四条に規定する金融商品取引業者等をいう。以下同じ。）に対して施行日以後に新金融商品取引法第三十四条の二第一項の規定による申出をしていない者については、旧金融商品取引法第三十四条の二第三項及び第五項から第八項までの規定は、なおその効力を有する。 suppl-4211-58/art-3/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-1 With regard to a professional investor who, at the time this Act comes into effect, is deemed pursuant to Article 34-2, paragraph (5) of the Former Financial Instruments and Exchange Act to be a customer other than a professional investor (meaning a professional investor prescribed in Article 2, paragraph (31) of the Former Financial Instruments and Exchange Act; the same applies hereinafter) and who has not, on or after the effective date, made the application under Article 34-2, paragraph (1) of the New Financial Instruments and Exchange Act to a financial instruments business operator, etc. (meaning a financial instruments business operator, etc. prescribed in Article 34 of the Former Financial Instruments and Exchange Act; the same applies hereinafter) that gave consent under Article 34-2, paragraph (2) of the Former Financial Instruments and Exchange Act, the provisions of Article 34-2, paragraph (3) and paragraphs (5) through (8) of the Former Financial Instruments and Exchange Act remain in force. machine translation, not official **第二項** 前項の特定投資家が、施行日から期限日（旧金融商品取引法第三十四条の二第三項第二号に規定する期限日をいう。以下同じ。）までの間において、内閣府令で定めるところにより、前項の金融商品取引業者等に対して新金融商品取引法第三十四条の二第一項の規定による申出をした場合には、当該特定投資家は、当該申出をした日において同条第二項の規定により当該金融商品取引業者等の承諾を得たものとみなす。この場合において、同条第三項の規定は、適用しない。 suppl-4211-58/art-3/par-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-2 If a professional investor referred to in the preceding paragraph makes, during the period from the effective date to the end date (meaning the end date prescribed in Article 34-2, paragraph (3), item (ii) of the Former Financial Instruments and Exchange Act; the same applies hereinafter), the application under Article 34-2, paragraph (1) of the New Financial Instruments and Exchange Act to the financial instruments business operator, etc. referred to in the preceding paragraph, as prescribed by Cabinet Office Order, that professional investor is deemed to have obtained the consent of that financial instruments business operator, etc. under paragraph (2) of that Article on the day on which the application was made. In this case, the provisions of paragraph (3) of that Article do not apply. machine translation, not official **第三項** 第一項の金融商品取引業者等は、同項の特定投資家から期限日後最初に対象契約（新金融商品取引法第三十四条の二第二項に規定する対象契約をいう。以下同じ。）の申込みを受けた場合には、当該申込みに係る対象契約を締結するまでに、当該特定投資家に対し、対象契約に関して当該特定投資家を特定投資家として取り扱うこととなる旨を告知しなければならない。 suppl-4211-58/art-3/par-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-3 When the financial instruments business operator, etc. referred to in paragraph (1) receives, for the first time after the end date, an application for a subject contract (meaning a subject contract prescribed in Article 34-2, paragraph (2) of the New Financial Instruments and Exchange Act; the same applies hereinafter) from a professional investor referred to in that paragraph, it must, before concluding the subject contract pertaining to that application, notify that professional investor to the effect that the professional investor will be treated as a professional investor with regard to subject contracts. machine translation, not official **第四項** 前三項の規定は、この法律の施行の際現に第三条の規定による改正前の金融機関の信託業務の兼営等に関する法律第二条の二、第四条の規定による改正前の農業協同組合法第十一条の二の四及び第十一条の十の三、附則第八条の規定による改正前の消費生活協同組合法（昭和二十三年法律第二百号）第十二条の三第二項、第五条の規定による改正前の水産業協同組合法第十一条の九（同法第九十二条第一項、第九十六条第一項及び第百条第一項において準用する場合を含む。）及び第十五条の七（同法第九十六条第一項及び第百条の八第一項において準用する場合を含む。）、第六条の規定による改正前の中小企業等協同組合法第九条の七の五第二項（同法第九条の九第五項及び第八項において準用する場合を含む。）、附則第九条の規定による改正前の協同組合による金融事業に関する法律（昭和二十四年法律第百八十三号）第六条の五の二、第七条の規定による改正前の信用金庫法第八十九条の二、第八条の規定による改正前の長期信用銀行法第十七条の二、第九条の規定による改正前の労働金庫法第九十四条の二、第十条の規定による改正前の銀行法第十三条の四及び第五十二条の二の五、第十二条の規定による改正前の保険業法第三百条の二、第十三条の規定による改正前の農林中央金庫法第五十九条の三及び第五十九条の七、第十四条の規定による改正前の信託業法第二十四条の二（第十二条の規定による改正前の保険業法第九十九条第八項（同法第百九十九条において準用する場合を含む。）において準用する場合を含む。）並びに第十五条の規定による改正前の株式会社商工組合中央金庫法第二十九条において準用する旧金融商品取引法第三十四条の二第五項の規定により特定投資家以外の顧客とみなされている特定投資家について準用する。この場合において、必要な技術的読替えは、政令で定める。 suppl-4211-58/art-3/par-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-4 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-4 The provisions of the preceding three paragraphs apply mutatis mutandis to a professional investor who, at the time this Act comes into effect, is deemed to be a customer other than a professional investor pursuant to Article 2-2 of the Act on Engagement in Trust Business by Financial Institutions prior to amendment by the provisions of Article 3, Articles 11-2-4 and 11-10-3 of the Agricultural Co-operatives Act prior to amendment by the provisions of Article 4, Article 12-3, paragraph (2) of the Consumer Cooperatives Act (Act No. 200 of 1948) prior to amendment by the provisions of Article 8 of the Supplementary Provisions, Article 11-9 of the Fishery Industry Cooperative Act prior to amendment by the provisions of Article 5 (including as applied mutatis mutandis pursuant to Article 92, paragraph (1), Article 96, paragraph (1) and Article 100, paragraph (1) of that Act) and Article 15-7 of that Act (including as applied mutatis mutandis pursuant to Article 96, paragraph (1) and Article 100-8, paragraph (1) of that Act), Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act prior to amendment by the provisions of Article 6 (including as applied mutatis mutandis pursuant to Article 9-9, paragraphs (5) and (8) of that Act), Article 6-5-2 of the Act on Financial Businesses by Cooperative (Act No. 183 of 1949) prior to amendment by the provisions of Article 9 of the Supplementary Provisions, Article 89-2 of the Shinkin Bank Act prior to amendment by the provisions of Article 7, Article 17-2 of the Long Term Credit Bank Act prior to amendment by the provisions of Article 8, Article 94-2 of the Labor Bank Act prior to amendment by the provisions of Article 9, Articles 13-4 and 52-2-5 of the Banking Act prior to amendment by the provisions of Article 10, Article 300-2 of the Insurance Business Act prior to amendment by the provisions of Article 12, Articles 59-3 and 59-7 of the Norinchukin Bank Act prior to amendment by the provisions of Article 13, Article 24-2 of the Trust Business Act prior to amendment by the provisions of Article 14 (including as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Insurance Business Act prior to amendment by the provisions of Article 12 (including as applied mutatis mutandis pursuant to Article 199 of that Act)), and Article 34-2, paragraph (5) of the Former Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 29 of the Shoko Chukin Bank Limited Act prior to amendment by the provisions of Article 15. In this case, the necessary technical replacement of terms is specified by Cabinet Order. machine translation, not official --- ## Cites - suppl-4211-58/art-3/par-1: 新金融商品取引法第三十四条の二第一項 → 金融商品取引法 第三十四条の二第一項 (Article 34-2, paragraph (1)), art-34-2/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-34-2/par-1 · https://japanlaw.org/l/323AC0000000025/art-34-2/par-1 - suppl-4211-58/art-3/par-2: 前項 → 金融商品取引法 附則第三条第一項 (Supplementary Provisions, Article 3, paragraph (1)), suppl-4211-58/art-3/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-1 - suppl-4211-58/art-3/par-2: 新金融商品取引法第三十四条の二第一項 → 金融商品取引法 第三十四条の二第一項 (Article 34-2, paragraph (1)), art-34-2/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-34-2/par-1 · https://japanlaw.org/l/323AC0000000025/art-34-2/par-1 - suppl-4211-58/art-3/par-2: 同条第二項 → 金融商品取引法 第三十四条の二第二項 (Article 34-2, paragraph (2)), art-34-2/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-34-2/par-2 · https://japanlaw.org/l/323AC0000000025/art-34-2/par-2 - suppl-4211-58/art-3/par-2: 同条第三項 → 金融商品取引法 第三十四条の二第三項 (Article 34-2, paragraph (3)), art-34-2/par-3 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-34-2/par-3 · https://japanlaw.org/l/323AC0000000025/art-34-2/par-3 - suppl-4211-58/art-3/par-3: 第一項 → 金融商品取引法 附則第三条第一項 (Supplementary Provisions, Article 3, paragraph (1)), suppl-4211-58/art-3/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-1 - suppl-4211-58/art-3/par-3: 新金融商品取引法第三十四条の二第二項 → 金融商品取引法 第三十四条の二第二項 (Article 34-2, paragraph (2)), art-34-2/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-34-2/par-2 · https://japanlaw.org/l/323AC0000000025/art-34-2/par-2 - suppl-4211-58/art-3/par-4: 前三項 → 金融商品取引法 附則第三条第一項 (Supplementary Provisions, Article 3, paragraph (1)), suppl-4211-58/art-3/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-1 - suppl-4211-58/art-3/par-4: 前三項 → 金融商品取引法 附則第三条第二項 (Supplementary Provisions, Article 3, paragraph (2)), suppl-4211-58/art-3/par-2 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-2 - suppl-4211-58/art-3/par-4: 前三項 → 金融商品取引法 附則第三条第三項 (Supplementary Provisions, Article 3, paragraph (3)), suppl-4211-58/art-3/par-3 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-3 ## Cited by 4 provisions cite this one. No official source publishes this direction. - 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-4211-58/art-3/par-2 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/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-4211-58/art-3/par-3 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-3 - 金融商品取引法 附則第三条第四項 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-3/par-4 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-3/par-4 - 金融商品取引法 附則第二十条第一項（政令への委任） — https://japanlaw.org/ja/financial-instruments-and-exchange-act/suppl-4211-58/art-20/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4211-58/art-20/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-20261023T035921-049, 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