券: 1000 Terms and Phrases
- 券
- ticket
- coupon
- bond
- certificate
- 証券
- securities
- bonds
- certificates
- Shouken
- Security
- 車券
- bike-race (betting) ticket
- 舟券
- boat race betting ticket
- 食券
- meal ticket
- meal coupon
- 株券
- stock certificate
- share certificate
- stock (share) certificate
- 債券
- bond
- debenture
- debenture certificate
- debt securities
- obligation
- peculiar
- Bonds
- Bond (finance)
- 券面
- the face of a bond, draft (draught) or certificate
- 硬券
- train ticket printed on thick paper
- 金券
- gold certificate
- tradeable coupon redeemable for goods or services
- 估券
- dignity
- credit
- public estimation
- face
- honor
- reputation
- deed of sale (for a land, forest or house)
- sale value
- selling price
- 沽券
- dignity
- credit
- public estimation
- face
- honor
- reputation
- deed of sale (for a land, forest or house)
- sale value
- selling price
- 證券
- securities
- bonds
- certificates
- 旅券
- passport
- Passport.
- Passport;
- 軟券
- train ticket printed on soft paper, etc. (usu. dispensed from a vending machine as part of a roll)
- 仮証券
- interim certificate
- global bond
- 解除券
- right to rescind
- right of rescission
- 質証券
- pledge certificate
- instrument of pledge
- 証券局
- Securities Bureau (of Ministry of Finance)
- 社債券
- bond certificate
- company bond certificate
- debenture
- 証券化
- securitization
- securitisation
- 招待券
- complimentary ticket
- invitation card
- invitation ticket
- 指定券
- ticket (reserved seat)
- reserved ticket
- 整理券
- numbered ticket (e.g. to determine order of service in shop, etc.)
- zone ticket
- boarding ticket
- bus ticket dispensed at boarding, used to show where one boarded
- 前売券
- ticket sold in advance
- 図書券
- gift certificate for books
- book token
- 乗車券
- passenger ticket
- Train ticket
- 乗船券
- boat ticket
- passage ticket
- boarding card
- 診察券
- patient's registration ticket
- 寝台券
- ticket (sleeping car)
- berth ticket
- 仕立券
- free dressmaking ticket (with a purchase of cloth)
- 仮株券
- scrip
- interim certificate
- 回数券
- book of tickets
- coupon
- Books of tickets
- 引換券
- exchange ticket
- claim tag
- coupon
- 割引券
- discount coupon or ticket
- 航空券
- airline ticket
- plane ticket
- air ticket
- 銀行券
- bank note
- a bank (or banker's) bill
- 兌換券
- convertible banknotes
- 旅行券
- travel voucher
- travel coupon
- 当選券
- winning ticket (in a lottery, etc.)
- 特急券
- special-express ticket
- 当籤券
- winning ticket (in a lottery, etc.)
- 搭乗券
- boarding passes
- boarding tickets
- boarding card
- 通し券
- ticket good for multiple performances (e.g. a whole day, including matinee and evening performances)
- season ticket
- through ticket
- 通行券
- pass (e.g. in public transportation)
- 指図債券
- obligation-right payable to order
- 融通証券
- negotiable instrument
- 寄託証券
- deposit note
- certificate of deposit
- 喪失株券
- lost share certificate
- 利潤証券
- profit certificate
- profit bond
- 抵当証券
- hypothec certificate
- mortgage bond
- 出資証券
- investment securities
- Capital Contribution Securities
- 野村証券
- Nomura Securities
- Nomura Securities Co.
- 上場株券
- listed share certificate
- 投資証券
- investment certificate
- an investment certificate
- investment securities
- 不良債券
- bad loan
- a bad credit
- 証券業者
- securities firm
- broker-dealer
- 山一証券
- Yamaichi Securities Co.
- 日興証券
- Nikko Securities Co.
- 証券会社
- brokerage
- brokerage firm
- broking house
- securities company
- brokerage house
- Broker-dealer
- 証券市場
- securities market
- Stock market
- 受益証券
- beneficiary certificate
- beneficiary certificates
- trust certificate
- unit certificate
- Certificates of Beneficial Interest
- 前売り券
- ticket sold in advance
- 数次旅券
- multiple journey passport
- 学校債券
- school bond or debenture
- 引替え券
- exchange ticket
- claim tag
- coupon
- 債券発行
- debt issuance
- bond issuance
- 券取出口
- ticket dispensing slot (on ticket machines or ticket barriers)
- 丸八証券
- Maruhachi Securities
- 山一證券
- Yamaichi Securities Company, Limited
- 三菱証券
- Mitsubishi Securities
- 松井証券
- Matsui Securities (Japanese online securities firm)
- 大和証券
- Daiwa Securities
- Daiwa Securities Co.
- 店頭債券
- over-the-counter bond (financial)
- 株券不所持
- non-issuance of stock certificate
- 株券不発行
- stock without certificate
- 株券預り証
- receipt for stock certificate
- 証券業協会
- association of securities firms
- 証券の発行
- issuance of securities
- 外貨建債券
- a foreign currency denominated bond
- 券賞金付き
- lottery
- time deposit
- 貯蓄者証券
- all savers certificate
- 担保付債券
- debenture
- mortgage bond
- 証券取引法
- Securities and Exchange Act
- Securities Exchange Law
- 自動券売機
- automatic ticket machine
- Automatic ticket vending machines
- 証券取引所
- securities exchange
- stock exchange
- bourse
- Shoukentorihikijo
- Stock market
- Stock exchanges
- 大災害債券
- catastrophe bond
- cat bond
- 地域振興券
- local (regional) promotion coupons
- 格安航空券
- discount airline ticket
- 往復航空券
- round trip (airplane) ticket
- 割り引き券
- discount coupon or ticket
- 往復乗車券
- round-trip ticket (for a train, bus, etc.)
- グリーン券
- green (car) ticket
- green car (seat) reservation
- 引き換え券
- exchange ticket
- claim tag
- coupon
- 座席指定券
- reserved-seat ticket
- 定期乗車券
- season ticket
- commutation (commuter) ticket
- 譲渡不可証券
- non-negotiable instrument
- 外国証券業者
- Foreign Securities Broker
- 証券専門会社
- Specialized Securities Intermediation Companies;
- Companies Specialized in Securities Business;
- 政府保証証券
- bond guaranteed by the government
- 適用除外証券
- exempted securities
- 証券金融会社
- securities finance company
- 株券発行会社
- share certificate-issuing company
- 証券投資信託
- securities investment trust
- 株券喪失登録
- registration of lost share certificate
- 有価証券利息
- Interest on securities
- 資産の証券化
- asset securitization
- off-balance sheet securitization
- 公営企業債券
- municipal utility bond
- 欧州預託証券
- European Depositary Receipts
- 政府短期証券
- financing bill
- FB
- short-term government security
- 資産担保証券
- asset-backed securities
- ABS
- Asset-backed security
- 確定利付証券
- fixed interest-bearing securities
- 債務担保証券
- Collateralized Debt Obligation
- CDO
- 金券ショップ
- shop where one can buy and sell gift certificates and other coupons
- 券取り出し口
- ticket dispensing slot (on ticket machines or ticket barriers)
- 日本相互証券
- Japan Bond Trading Company
- 沽券に関わる
- to be a point of honor
- to affect someone's good name
- 東海東京証券
- Tokai Tokyo Securities
- 証券業者協会
- Securities Industry Association
- 証券経済学会
- Society for the Economic Studies of Securities
- SESS
- 投資有価証券
- investments in securities
- Investment securities
- みなし有価証券
- deemed securities
- 有価証券の売買
- sales and purchase of Securities; and
- 有価証券偽造等
- Counterfeiting of Securities
- 無記名式の株券
- bearer share certificate
- 株券不発行制度
- non-issuance of stock certificate
- 有価証券通知書
- securities notification statement
- 証券取引審議会
- Securities Counseling Commission
- 有価証券評価損
- loss on revaluation of securities
- 有価証券届出書
- registration statement (for listing on stock exchange)
- securities registration statement
- 有価証券の購入
- Purchase of marketable securities
- 有価証券報告書
- securities report
- (periodic) securities report
- 無記名預託証券
- bearer depository receipts
- 証券取引委員会
- Securities and Exchange Commission
- U.S. Securities and Exchange Commission
- 証券アナリスト
- securities analyst
- security analyst
- Financial analysis
- Financial analyst
- Financial statement analysis
- 全米証券業協会
- National Association of Securities Dealers
- NASD
- 大阪証券取引所
- Osaka Securities Exchange
- the Osaka Securities Exchange
- 国際返信切手券
- international reply-paid coupon
- International reply coupon
- 沽券にかかわる
- to be a point of honor
- to affect someone's good name
- can discredit oneself
- 日本証券業協会
- Japan Security Dealers Association
- JSDA
- Japan Securities Dealers Association
- 東京証券取引所
- Tokyo Stock Exchange
- TSE
- the Tokyo Stock Exchange
- 株券等の登録命令
- Order for Registration of Share Certificates, etc.
- 適用除外有価証券
- Exempted Securities
- 証券仲介専門会社
- Companies Specialized in Securities Intermediation;
- Companies Company Specialized in Securities Intermediary Services;
- 有価証券偽造の罪
- Crimes of Counterfeiting of Securities
- 有価証券の貸付け
- Loans of securities;
- Loan of securities;
- 日本銀行券の発行
- Issuance of Bank of Japan Notes
- 株券等の上場命令
- Order to List Share Certificates, etc.
- 有価証券の売出し
- Secondary Distribution of Securities;
- 長期債券及び投資
- Investments and Long-Term Loans
- 変動利付中期債券
- money market note
- ロンドン預託証券
- London Depositary Receipts
- 日本抵当証券協会
- Japan Mortgage Association
- 国際証券取引連合
- International Federation of Stock Exchanges
- UFJつばさ証券
- UFJ Tsubasa Securities
- 日本債券信用銀行
- Nippon Credit Bank
- 全米証券業者協会
- National Association of Securities Dealers
- 証券広報センター
- Japan Institute for Securities Education and Public Relations
- 証券発行商社協会
- Issuing Houses Association
- 証券保管振替機構
- Japan Securities Depository Center, Inc.
- 偽造有価証券行使等
- Uttering Counterfeit Securities
- 日本銀行券の引換え
- Exchange of Bank of Japan Notes
- 上場有価証券報告書
- periodic report on listed securities
- ロンドン証券取引所
- the London Stock Exchange
- London Stock Exchange Group
- 売出(有価証券の)
- secondary distribution (of securities)
- 証券処理調整協議会
- Securities Coordinating Liquidation Committee
- 証券取引責任準備金
- securities transaction liability reserve
- 証券取引調整協議会
- Securities Exchange Commission
- 長期債券および投資
- investments and long-term loans
- 投資有価証券評価損
- Loss on revaluation of investments in securities
- 米国証券取引委員会
- US Securities and Exchange Commission (SEC)
- ゼロ・クーポン債券
- zero-coupon bond
- 住宅ローン担保証券
- residential mortgage-backed security
- 国際証券取引所連合
- World Federation of Exchanges
- 有価証券届出書の提出
- Submission of Securities Registration Statement
- 有価証券報告書の提出
- Submission of Annual Securities Report
- 同一種類の有価証券等
- Same Class of Securities, etc.
- 当該対象証券の発行者
- the Issuer of the relevant Target Securities; and
- 抵当証券に関する登記
- Registration of Mortgage Securities
- 国際債券取引業者協会
- Association of International Bond Dealers
- SMBCフレンド証券
- SMBC Friend Securities
- 大和証券グループ本社
- Daiwa Securities Group
- 証券取引等監視委員会
- Securities and Exchange Surveillance Commission
- 有価証券の売買等の禁止
- Prohibition of Sales and Purchase of Securities, etc.
- 有価証券の私募の取扱い
- Handling of Private Placement of Securities;
- 受益証券の権利者の権利
- Rights of Beneficiary Certificate Holders
- 学校債券に表示する事項
- Matters to Be Indicated on School Bonds
- 券売機で購入できます。
- It can be purchased at ticket vending machines.
- ニューヨーク証券取引所
- New York Stock Exchange
- NYSE
- the New York Stock Exchange
- ジャスダック証券取引所
- JASDAQ Securities Exchange, Inc.
- 銀行券の発行に関する事項
- Matters concerning the issuance of banknotes;
- 日本銀行券の種類及び様式
- Types and Forms of Bank of Japan Notes
- 日本銀行券に係る経過措置
- Transitional Measures Pertaining to Bank of Japan Notes
- 日本銀行券の製造及び消却
- Printing and Cancellation of Bank of Japan Notes
- 抵当証券 次に掲げる事項
- Mortgage Securities: the following matters:
- 日本の4大証券会社の一つ
- Nikko Securities Co.
- Nomura Securities Co.
- Yamaichi Securities Co.
- みずほインベスターズ証券
- Mizuho Investors Securities
- 有価証券に関する顧客の代理
- agency service for customers concerning Securities;
- 有価証券届出書等の公衆縦覧
- Public Inspection of Securities Registration Statement, etc.
- 買付予定の株券等の数の減少
- to reduce the Number of Share Certificates, etc. Planned to be Purchased;
- 有価証券の利率に準ずるもの
- Equivalent of Interest Rates for Securities
- 外国貸付債権信託受益証券等
- Foreign Loan Trust Beneficiary Certificates, etc.
- 引受け(有価証券の...)
- underwriting (for securities)
- 自己株券買付状況報告書の提出
- Submission of Share Buyback Report
- 製造業者構外動産包括保険証券
- manufacturer's output policy
- 指定証券会社を指定すること。
- To designate a designated securities company
- 前項第六号に掲げる証券の売買
- Buying and selling of securities listed in item (vi) of the preceding paragraph
- 有価証券関連デリバティブ取引
- securities-related derivative transaction
- 有価証券等管理業務に関する特則
- Special Provisions Concerning Securities, etc. Management Business
- 日本銀行は、銀行券を発行する。
- The Bank of Japan shall issue banknotes.
- 出資及び出資証券に係る経過措置
- Transitional Measures Pertaining to Contribution and Investment Securities
- 非居住者に対する国債証券の譲渡
- Negotiation of national government bond securities to a non-resident
- 鉄道バス乗車券の販売カウンター
- bus and rail ticket sales counters
- 金銭又は有価証券の貸付け等の禁止
- Prohibition of Loan, etc. of Money or Securities
- Prohibition of Loan of Money or Securities, etc.
- 金融機関の有価証券関連業の禁止等
- Prohibition, etc. of Securities-Related Business by Financial Institutions
- 店頭売買有価証券市場に関する事項
- matters related to an Over-the-Counter Securities Market;
- 店頭売買有価証券登録原簿への登録
- Registration in the Registry of Over-the-Counter Traded Securities
- 株券保有状況通知書の作成及び交付
- Preparation and Delivery of Written Notice of Status of Shareholding
- 当該社債券に表示される権利の内容
- the details of the rights which are to be indicated on the relevant corporate bond certificates;
- 当該学校債券に係る金銭債権の金額
- the amount of monetary claims pertaining to said School Bonds;
- 株券発行会社であるときは、その旨
- if the Stock Company is a Company Issuing Share Certificates, a statement to that effect;
- 外国証券業者が行うことのできる業務
- Businesses Which Foreign Securities Broker May Conduct
- 株券等の大量保有の状況に関する開示
- Disclosure of Status of Large Volume Holding of Share Certificates, etc.
- 有価証券をもつて対価とする買付け等
- Purchase, etc. in Which Securities are Delivered as the Consideration Therefor
- 発行者による上場株券等の公開買付け
- Tender Offer for Share Certificates, etc. by Issuer
- 第二項有価証券 次のいずれかの場合
- Paragraph (2) Securities: any of the following:
- 第一項有価証券 次のいずれかの場合
- Paragraph (1) Securities: any of the following:
- 日本銀行券の種類は、政令で定める。
- The types of Bank of Japan notes shall be specified by a Cabinet Order.
- 銀行券、政府紙幣、小額紙幣及び硬貨
- Banknotes, government money bills, small money bills, and coins
- 当該有価証券に表示される権利の内容
- the details of the rights to be indicated on the relevant Securities;
- the details of the rights to be indicated on the relevant Securities.
- ハに掲げる有価証券 ハに定める要件
- the Securities set forth in sub-item (c): the requirements specified in sub-item (c).
- ロに掲げる有価証券 ロに定める要件
- the Securities set forth in sub-item (b): the requirements specified in sub-item (b); and
- 当該有価証券と同一の銘柄を所有する者
- the consenting person already holds the same Securities; or
- 発行登録に係る有価証券の発行予定期間
- Planned Issue Period of Securities for Which Shelf Registration has been Made
- 株券 株式に係る剰余金の配当等の内容
- share certificates: the details of the Payment of Dividend of Surplus, etc. Pertaining to Shares;
- 株主、役員又は従業員に対する短期債券
- Short-term loans to shareholders, officers and/or employees
- 金銭又は有価証券の預託の受入れ等の禁止
- Prohibition of Receiving of Deposit of Money or Securities, etc.
- 有価証券の貸借又はその媒介若しくは代理
- lending and borrowing of Securities, or intermediary or agency service thereof;
- 既に開示された有価証券 次に掲げる事項
- Already Disclosed Securities: the following matters:
- 発行者以外の者による株券等の公開買付け
- Tender Offer for Share Certificates, etc. by Person Other than Issuer
- 金融商品取引所に上場されている有価証券
- Securities listed in a Financial Instruments Exchange;
- 有価証券、貴金属その他の物品の保護預り
- Safe deposit of securities, precious metal or other goods;
- Taking safe custody of securities, precious metals, and other articles;
- Safekeeping of securities, precious metals and any other articles
- 金銭を担保とする国債その他の債券の貸借
- Lending and borrowing of national government securities and other bonds against cash collateral;
- 日本銀行券 (第四十六条―第四十九条)
- Bank of Japan Notes (Article 46 - Article 49)
- 法第二条第一項第十八号に掲げる有価証券
- the Securities set forth in Article 2, paragraph (1), item (xviii) of the Act; and
- 米国政府が低所得者に配る食料引き換え券
- food stamp
- TBやCDなどの短期流通証券の取引市場
- money market
- 受益証券 (第二百七条―第二百十一条)
- Certificates of Beneficial Interest (Article 207 to Article 211)
- 顧客の有価証券を担保に供する行為等の制限
- Restriction on Act of Furnishing Customer's Securities as Security
- 海外発行証券の少人数向け勧誘の条件の明示
- Clear Indication of Conditions for Solicitation for Small Number of Investors for Foreign Securities
- 抵当証券発行の定めがあるときは、その定め
- if there is a provision on the issue of mortgage securities, such provision; and
- 入場時に手渡されたくじ・抽選券の当選賞品
- door prize
- 特例対象株券等の大量保有者による報告の特例
- Special Provisions for Report by Large Volume Holder of Share Certificates, etc. Subject to Special Provisions
- 取引所金融商品市場における有価証券の売買等
- (Sales and Purchase of Securities, etc. in Financial Instruments Exchange Market)
- 有価証券報告書の記載内容に係る確認書の提出
- Submission of Confirmation Letter for Annual Securities Report
- 財務省証券その他の融通証券の応募又は引受け
- Subscribing or underwriting financing bills and other financing securities;
- 受益証券発行信託の受益証券 次に掲げる事項
- the Beneficiary Certificates of a Trust That Issues Beneficiary Certificates: the following matters:
- 破産債権、更生債券その他これらに準ずる債券
- Claims in bankruptcy, reorganization claims, and similar claims
- 第二条第一項第一号及び第二号に掲げる有価証券
- Securities set forth in Article 2(1)(i) and (ii);
- 日本銀行券の製造及び消却の手続に係る経過措置
- Transitional Measures Pertaining to Procedures for Printing and Canceling Bank of Japan Notes
- 売戻し条件付きの国債証券の非居住者からの取得
- Acquisition of national government bond securities with sell-back conditions from a non-resident
- 自己株券買付状況報告書及びその訂正報告書 一年
- a Share Buyback Report and an amendment report submitted therefor: one year; and
- 証券子会社等 銀行の子会社である次に掲げる会社
- A Securities Subsidiary Company, etc.: A Bank's Subsidiary Company which falls under any of the following categories:
- 地方債又は社債その他の債券の募集又は管理の受託
- Entrusted operations of public offering or management of local government bonds, corporate bonds or other bond certificates;
- Acceptance of entrustment for solicitation or management of local government bonds, company bonds or any other bonds
- Entrusted operations of public offering or management of local government bonds, bonds or other debentures;
- 当該学校債券に係る金銭債権の償還の方法及び期限
- the method and due date for the redemption of monetary claims pertaining to said School Bonds; and
- ロに掲げる有価証券 ロに定める要件に該当する場合
- the Securities set forth in sub-item (b): cases where the relevant Securities fall under the requirements specified in sub-item (b); and
- ハに掲げる有価証券 ハに定める要件に該当する場合
- the Securities set forth in sub-item (c): cases where the relevant Securities fall under the requirements specified in sub-item (c).
- 全米証券業協会が店頭取引証券について出す相場情報
- NASD automated quotations
- 有価証券その他の財産権に係る証券又は証書の保護預り
- Taking safe custody of securities and other instruments pertaining to property rights, or certificates;
- 外国公社債等、国債証券又は流動化証券の取得又は譲渡
- Acquisition or negotiation of the foreign public or corporate bonds, etc., national government bond securities or liquid securities
- 有価証券の売買又は市場デリバティブ取引の受託の条件
- the conditions for acceptance of entrustment of sales and purchase of Securities or Market Transactions of Derivatives;
- 有価証券の元引受けであって、イに掲げるもの以外のもの
- Wholesale Underwriting of Securities other than those listed in (a); or
- 有価証券の募集若しくは売出しの取扱い又は私募の取扱い
- dealing in Public Offering or Secondary Distribution of Securities or dealing in Private Placement of Securities;
- 金融商品取引所に上場されている株券の発行者である会社
- a company that issues share certificates which are listed on a Financial Instruments Exchange;
- 資産対応証券及び特定目的借入れに関する次に掲げる事項
- the following matters concerning Asset-Backed Securities and Specific Purpose Borrowings:
- 日本銀行券の様式は、財務大臣が定め、これを公示する。
- The Minister of Finance shall decide the forms of Bank of Japan notes and publicly notify them.
- 譲渡した買戻し条件付きの国債証券の非居住者からの取得
- Acquisition of transferred national government bond securities with buy-back conditions from a non-resident
- 有価証券の売買又は市場デリバティブ取引の種類及び期限
- the kind and period of sales and purchase of Securities or Market Transactions of Derivatives;
- 有価証券の売買の受託についての信用の供与に関する事項
- matters concerning credit granting for acceptance of entrustment of sales and purchase of Securities; and
- 私募の取扱い(政令で定める有価証券に係るものを除く。)
- Dealing of Private Placement (excluding what pertains to Securities specified by a Cabinet Order); and
- 届出の効力発生前の有価証券の取引禁止及び目論見書の交付
- Prohibition of Transaction of Securities for Which Notification has Not Yet Come into Effect, and Delivery of Prospectus
- 前各号に掲げる有価証券以外の有価証券で政令で定めるもの
- among Securities other than Securities set forth in the above items, those specified by a Cabinet Order.
- 第一項の「株券等所有割合」とは、次に掲げる割合をいう。
- The term 'Share Certificates, etc. Holding Rate' as used in paragraph (1) means either of the following:
- 有価証券関連店頭デリバティブ取引の媒介、取次ぎ又は代理
- Intermediation, brokerage or agency for Over-the-Counter Derivative Securities Transactions.
- Acting as an intermediary, an introducing broker or an agent in carrying out over-the-counter transactions of securities-related derivatives
- Intermediary, brokerage or agency service of Over-the-Counter Transactions of Securities-Related Derivatives.
- 特別の法律により設立された法人の発行する出資証券の取得
- The acquisition of investment securities which are issued by juridical persons established under special acts.
- 外国公社債等又は流動化証券の保有に伴うデリバティブ取引
- Derivative transactions accompanying the possession of the foreign public or corporate bonds, etc. or liquid securities
- 流動化証券の非居住者からの取得又は非居住者に対する譲渡
- Acquisition of liquid securities from a non-resident or negotiation thereof to a non-resident
- 定期券に記名されたご本人以外は、ご利用いただけません。
- Commuter passes cannot be used by anyone other than the person registered on the pass.
- 有価証券の売買の媒介(第八項第十号に掲げるものを除く。)
- intermediary for sales and purchase of Securities (excluding those specified in item (x) of paragraph (8));
- 政府が元本の償還及び利息の支払について保証している社債券
- bonds for which the government guarantees the redemption of principals or the payment of interests; and
- 金融商品取引所に上場されている株券等 当該金融商品取引所
- Share Certificates, etc. listed in a Financial Instruments Exchange: the Financial Instruments Exchange; and
- 虚偽記載のある有価証券報告書の提出会社の役員等の賠償責任
- Liability for Damages of Officers of the Company Which Submits Annual Securities Report Containing Fake Statement and Other Persons
- 日本銀行は、前条第一項の出資に対し、出資証券を発行する。
- The Bank of Japan shall issue investment securities for capital contribution pursuant to paragraph 1 of the preceding Article.
- 証券の売買(本邦通貨を対価とする居住者間の売買を除く。)
- Buying and selling of securities (excluding buying and selling between residents in exchange for Japanese currency)
- 有価証券の売買又は市場デリバティブ取引の契約の締結の方法
- the methods of conclusion of a contract for sales and purchase of Securities or Market Transactions of Derivatives;
- 公開買付けに応じて株券等を公開買付者に対して譲渡する場合
- cases where the relevant person transfers Share Certificates, etc. to a Tender Offeror in response to a Tender Offer;
- 取得勧誘における多数の者への有価証券の譲渡に関する制限等
- Restriction, etc. on the Transfer of Securities to Many Persons in the Solicitation of Offers to Acquire
- 国債その他内閣総理大臣及び財務大臣の指定する有価証券の保有
- holding national government bonds or other Securities designated by the Prime Minister and the Minister of Finance;
- 金融商品取引所に上場されている有価証券 当該金融商品取引所
- Securities listed in a Financial Instruments Exchange: the Financial Instruments Exchange; and
- この章の規定は、次に掲げる有価証券については、適用しない。
- The provisions of this Chapter shall not apply to the following Securities:
- 前項の出資証券その他出資に関し必要な事項は、政令で定める。
- Other matters concerning investment securities set forth in the preceding paragraph, as well as matters concerning capital contribution in general, shall be specified by a Cabinet Order.
- 特定投資家向け取得勧誘に係る有価証券の譲渡に係る契約の内容
- Contents of Contracts on the Transfer of Securities Related to the Exclusive Solicitation of Professional Investors for Offers to Acquire
- 特定投資家向け取得勧誘における有価証券の譲渡に関する制限等
- Restrictions, etc. on the Transfer of Securities in the Exclusive Solicitation of Professional Investors for Offers to Acquire
- 第二十四条第一項第一号に掲げる有価証券 同号の金融商品取引所
- Securities falling under the category specified in Article 24(1)(i): the Financial Instruments Exchange referred to in Article 24(1)(i); or
- 有価証券報告書及びその添付書類並びにこれらの訂正報告書 五年
- an Annual Securities Report and documents attached thereto, and an amendment report submitted for any of these documents: five years;
- 支援センターは、長期借入金及び債券発行をすることができない。
- The JLSC shall neither borrow long-term funds nor issue bonds.
- 約束手形(次項に規定する証券又は証書に該当するものを除く。)
- Promissory notes (excluding those falling under securities or certificates prescribed in the following paragraph)
- 手形、国債その他の有価証券又は電子記録債権を担保とする貸付け
- Making loans against collateral in the form of negotiable instruments, national government securities and other securities, or electronically recorded claims;
- 投資口又は投資法人債の発行の日前に投資証券等を発行したとき。
- When the person has issued Investment Securities, etc. prior to the day of issue of Investment Equity or Investment Corporation Bonds;
- 当該学校債券に係る金銭債権の利息並びにその支払の方法及び期限
- the interest on monetary claims pertaining to said School Bonds, as well as the payment method and due date thereof.
- 売付け勧誘等における多数の者への有価証券の譲渡に関する制限等
- Restriction, etc. on the Transfer of Securities to Many Persons in an Offer to Sell, etc.
- なお、小切手その他の証券類による送金資金等の受入はしません。
- The Bank shall not accept the Remittance Funds in the form of checks or other instruments.
- 虚偽記載のある有価証券届出書の届出後一年内の届出の効力の停止等
- Suspension of the Effect of the Notifications Made Within One Year from the Submission of Securities Registration Statement Containing Fake Statement
- 前号の時前に当該有価証券を処分した場合においては、その処分価額
- disposal value of the Securities, if the Securities have been disposed of before the time referred to in the preceding item.
- 虚偽記載のある有価証券報告書の提出後一年内の届出の効力の停止等
- Suspension of the Effect of the Notifications Made Within One Year from the Submission of Annual Securities Report Containing Fake Statement
- 有価証券の売買又は市場デリバティブ取引の開始及び終了並びに停止
- the starting, ending and suspension of sales and purchase of Securities or Market Transactions of Derivatives;
- 有価証券の売買又は市場デリバティブ取引の受渡しその他の決済方法
- the method of transfer and other settlement for sales and purchase of Securities or Market Transactions of Derivatives; and
- the method of transfer and other settlement of sales and purchase of Securities or Market Transactions of Derivatives;
- 特定投資家向け売付け勧誘等における有価証券の譲渡に関する制限等
- Restrictions, etc. on Transfer of Securities upon Offers to Sell, etc. Exclusively to Professional Investors
- 特定投資家向け売付け勧誘等に係る有価証券の譲渡に係る契約の内容
- Contents of Contracts on the Transfer of Securities in Connection With Offers to Sell, etc. Exclusively to Professional Investors
- 公開買付けに係る応募株券等の数等の公告及び公開買付報告書等の提出
- Public Notice of the Number of Share Certificates, etc. Offered to Sell and Submission of Tender Offer Report
- 証券専門会社、証券仲介専門会社又は有価証券関連業を営む外国の会社
- A Specialized Securities Company, Specialized Securities Intermediation Company or foreign company which engages in Securities Services;
- A Company Specialized in Securities Business, Company Specialized in Securities Intermediary Services or foreign company which engages in Securities-Related Business;
- 行使の目的で、有価証券に虚偽の記入をした者も、前項と同様とする。
- The same shall apply to a person who, for the purpose of uttering, makes a false entry in a security.
- 投資証券等に記載すべき事項を記載せず、又は虚偽の記載をしたとき。
- When the person has failed to state the matters to be stated on Investment Securities, etc., or has made a false statement;
- 当該申請に係る行為に係る有価証券に関し予定されている次に掲げる事項
- with regard to the Securities related to the acts pertaining to the application, the following matters which are being scheduled:
- 外国証券業者に関する法律第二十二条第一項第八号及び第三十三条第一項
- Article 22, paragraph (1), item (viii) and Article 33, paragraph (1) of the Act on Foreign Securities Brokers;
- Articles 22(1)(viii) and 33(1) of the Act on Foreign Securities Brokers;
- 取得勧誘における適格機関投資家以外への有価証券の譲渡に関する制限等
- Restriction, etc. on the Transfer of Securities to Persons Other Than Qualified Institutional Investors upon Solicitation of Offers to Acquire
- 第二条第八項第六号に掲げる行為であって、有価証券の元引受け以外のもの
- acts listed in Article 2(8)(vi) that are other than Wholesale Underwriting of Securities.
- 流通状況が前号に掲げる有価証券に準ずるものとして政令で定める有価証券
- Securities specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Securities referred to in the preceding item;
- 他の一会社もしくは諸会社の証券の少なくとも一部を所有することによって
- holding company
- 外国公社債等又は流動化証券の保有に伴う非居住者との間のデリバティブ取引
- Derivative transactions with a non-resident accompanying the possession of the foreign public or corporate bonds, etc. or liquid securities
- 直近日における当該個人が保有する有価証券の残高が十億円以上であること。
- that the balance of the Securities held by said individual as of the Latest Date is one billion yen or more; and
- 第一種金融商品取引業(有価証券関連業に該当するものに限る。) 五千万円
- Type I Financial Instruments Services (limited to business which falls under the category of Securities Services): 50 million yen;
- 売付け勧誘等における適格機関投資家以外への有価証券の譲渡に関する制限等
- Restriction, etc. on the Transfer of Securities to Persons Other Than Qualified Institutional Investors in an Offer to Sell, etc.
- 協会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘に関する事項
- matters related to sales and purchase or other transactions of Securities solicited by Member Firms or Financial Instruments Intermediary Service Providers;
- 競売買の方法(有価証券の売買高が政令で定める基準を超えない場合に限る。)
- a method of auction (limited to cases where the trading volume of Securities does not exceed the criteria specified by a Cabinet Order);
- 信認金は、定款の定めるところにより、有価証券をもつて充てることができる。
- Securities may, in accordance with the articles of incorporation, be deposited instead of the guarantee funds.
- 第百六十二条(有価証券偽造等)及び第百六十三条(偽造有価証券行使等)の罪
- The crimes prescribed under Articles 162 (Counterfeiting of Securities) and 163 (Uttering of Counterfeit Securities);
- 有価証券関連業を営む外国の会社(前号に掲げる会社に該当するものを除く。)
- Foreign companies that engage in Securities Services (excluding those that fall under the category of companies specified in the preceding item);
- Foreign companies which engage in Securities Services (excluding those that fall under the category of companies specified in the preceding item);
- Foreign companies which engage in Securities-Related Business (excluding those that fall under the category of companies specified in the preceding item);
- イ及びロに掲げる場合以外の場合 当該有価証券に係る信託の委託者及び受託者
- cases other than those listed in sub-items (a) and (b): the settlor and the trustee of the trust pertaining to said Securities.
- 第二十四条第一項第二号に掲げる有価証券 政令で定める認可金融商品取引業協会
- Securities falling under the category specified in Article 24(1)(ii): the Authorized Financial Instruments Firms Association specified by a Cabinet Order.
- 次に掲げる買付けが行われることを目的として、株券を取得するものであること。
- that the acquisition of share certificates is made for the purpose of implementing the following purchases:
- 法第二条第一項第二十号に掲げる有価証券 当該有価証券に表示される権利の内容
- the Securities listed in Article 2, paragraph (1), item (xx) of the Act: the details of the rights to be indicated on the relevant Securities.
- 法第二条第一項第二十号に掲げる有価証券 次のいずれかの要件に該当すること。
- the Securities set forth in Article 2, paragraph (1), item (xx) of the Act: that the relevant case falls under any of the following requirements:
- 法第二条第一項第十九号に掲げる有価証券 次のいずれかの要件に該当すること。
- the Securities set forth in Article 2, paragraph (1), item (xix) of the Act: that the relevant case falls under any of the following requirements:
- 法第二条第一項第二十号に掲げる有価証券 次のいずれかの場合に該当すること。
- the Securities set forth in Article 2, paragraph (1), item (xx) of the Act: that the relevant Securities fall under any of the following cases:
- the Securities set forth in Article 2, paragraph (1), item (xx) of the Act: that the relevant case falls under any of the following requirements:
- 法第二条第一項第十九号に掲げる有価証券 次のいずれかの場合に該当すること。
- the Securities set forth in Article 2, paragraph (1), item (xix) of the Act: that the relevant Securities fall under any of the following cases:
- the Securities set forth in Article 2, paragraph (1), item (xix) of the Act: that the relevant case falls under any of the following cases:
- 前各号に掲げる事項のほか、店頭売買有価証券の売買その他の取引に関し必要な事項
- in addition to the matters listed in each of the preceding items, necessary matters related to sales and purchase or other transactions of the Over-the-Counter Traded Securities.
- 売付け勧誘等に該当しない有価証券の売付けの申込み又はその買付けの申込みの勧誘
- Offers to Sell and Solicitation of Offers to Buy Securities Which Do Not Fall Under the Category of Offers to Sell, etc.
- 有価証券の売買又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理
- sales and purchase of Securities, or intermediary, brokerage (excluding Brokerage for Clearing of Securities, etc.), or agency service therefor;
- 転換特定社債券(資産流動化法に規定する転換特定社債券をいう。) 次に掲げる事項
- Convertible Specified Corporate Bonds (meaning the convertible specified corporate bonds provided in the Asset Securitization Act): the following matters:
- 特定投資家向け有価証券 法第四条第三項に規定する特定投資家向け有価証券をいう。
- of the Act;
- 法第二条第一項第十七号に掲げる有価証券で前号に掲げる有価証券の性質を有するもの
- the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities set forth in the preceding item;
- 令第一条の十九第二号に掲げる取引 貸借の別、有価証券の銘柄、数又は金額及び受渡日
- transactions listed in Article 1-19, item (ii) of the Cabinet Order: lending or borrowing of Securities, and the issue, the volumes or amounts, and the date of delivery of the Securities; and
- この法律において「資産対応証券」とは、優先出資、特定社債及び特定約束手形をいう。
- The term 'Asset-Backed Security' as used in this Act means Preferred Equity, a Specified Bond, or a Specified Promissory Note.
- 「貨物」とは、貴金属、支払手段及び証券その他債権を化体する証書以外の動産をいう。
- The term 'goods' shall mean movables other than precious metal, means of payment, securities or other certificates embodying claims.
- 法第二条第一項第十九号に掲げる有価証券 当該有価証券に表示されるオプションの内容
- the Securities listed in Article 2, paragraph (1), item (xix) of the Act: the details of the Option to be indicated on the relevant Securities; and
- 前各号に掲げる事項のほか、有価証券の売買又は市場デリバティブ取引に関し必要な事項
- in addition to the matters listed in each of the preceding items, the matters necessary for sales and purchase of Securities or Market Transactions of Derivatives.
- 前項各号に掲げる有価証券のうち、第四十三条の四第一項の規定により担保に供されたもの
- the Securities listed in the items of the preceding paragraph that have been furnished as security under Article 43-4(1).
- 売買又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理の申込みの勧誘
- solicitation for application for sales or purchase, or intermediary, brokerage (excluding Brokerage for Clearing of Securities, etc.) or agency service thereof;
- 第二十四条第一項第一号、第二号又は第四号に掲げる有価証券に該当する有価証券の発行者
- the Issuer of Securities falling under any of the categories specified in Article 24(1)(i), (ii) or (iv);
- 第一項有価証券 組織再編成対象会社株主等が多数の者である場合として政令で定める場合
- Paragraph (1) Securities: in cases where, as specified by a Cabinet Order, there is a large number of Shareholders, etc. of the Reorganized Company; and
- 非居住者による本邦通貨をもつて表示され又は支払われる証券の外国における発行又は募集
- Issue or offer for subscription of securities denominated or payable in Japanese currency in a foreign state by a non-resident
- 当該有価証券に表示される権利の行使により有価証券の売買その他の取引が行われない場合
- the cases where the purchase and sale or other transactions of Securities shall not be conducted upon the exercise of the Options indicated on the relevant Securities; and
- cases where the purchase and sale or other transactions of Securities are not to be conducted upon the exercise of the rights indicated on the relevant Securities;
- cases where the purchase and sale or other transaction of Securities is not to be conducted upon the exercise of the rights indicated on the relevant Securities;
- 抵当証券 抵当証券法(昭和六年法律第十五号)第一条第一項に規定する抵当証券をいう。
- mortgage securities: mortgage securities prescribed in Article 1, paragraph (1) of the Mortgage Securities Act (Act No. 15 of 1931)
- 有価証券の元引受けであって、損失の危険の管理の必要性の高いものとして政令で定めるもの
- Wholesale Underwriting of Securities that are specified by a Cabinet Order as those for which management of risks of loss is highly necessary;
- 有価証券信託受益証券 当該有価証券に係る受託有価証券を発行し、又は発行しようとする者
- Beneficiary Certificates of Securities in Trust: the person who issues, or intends to issue, the Entrusted Securities pertaining to said Securities;
- 当該有価証券の償還期限及び利率(割引の方法により発行されるものにあっては、償還期限)
- the due date for redemption and the interest rates of the relevant Securities (in cases of Securities issued on a discount basis, the due date for redemption); and
- 当該有価証券に表示される権利の行使により有価証券の売買その他の取引が行われないこと。
- that the purchase and sale or other transactions of Securities shall not be conducted upon the exercise of the rights indicated on the relevant Securities;
- that the purchase and sale or other transaction of Securities is not to be conducted upon the exercise of the rights indicated on the relevant Securities;
- 登記官は、抵当証券を交付したときは、職権で、抵当証券交付の登記をしなければならない。
- When a registrar has issued mortgage securities, he/she shall, by his/her own authority, make a registration of the issue of mortgage securities.
- 株券、新株予約権証券又は社債券に記載すべき事項を記載せず、又は虚偽の記載をしたとき。
- when the person fails to state matters to be stated in share certificates, Share Option certificates or Bond certificates or states false matters;
- 株式、新株予約権又は社債の発行の日前に株券、新株予約権証券又は社債券を発行したとき。
- when the person issues share certificates, Share Option certificates or Bond certificates prior to the day of issue of the shares, Share Options or Bonds;
- 第二条第一項第十七号に掲げる有価証券のうち同項第一号の性質を有するもの 次に掲げる行為
- Securities listed in Article 2(1)(xvii) that have the nature set forth in Article 2(1)(i): the following acts:
- 前三号に掲げる事項のほか、有価証券の売買又は市場デリバティブ取引の受託に関し必要な事項
- in addition to the matters listed in the preceding three items, the matters necessary for acceptance of entrustment of sales and purchase of Securities or Market Transactions of Derivatives.
- 第二条第八項第十四号に規定する有価証券に表示される権利その他の政令で定める権利に係る契約
- the contract pertaining to the rights indicated on Securities or other rights specified by a Cabinet Order as prescribed in Article 2(8)(xiv); and
- この章において「有価証券関連業」とは、次に掲げる行為のいずれかを業として行うことをいう。
- The term 'Securities-Related Business' as used in this Chapter means conducting any of the following acts in the course of trade:
- 取引所金融商品市場又は外国金融商品市場における有価証券の売買の委託の媒介、取次ぎ又は代理
- intermediary, brokerage, or agency service for the entrustment of sales and purchase of Securities on Financial Instruments Exchange Markets or Foreign Financial Instruments Markets;
- 証券取引法第五十四条第一項第七号、第六十四条の十第一項及び第七十九条の五十三第一項第二号
- Article 54, paragraph (1), item (vii), Article 64-10, paragraph (1) and Article 79-53, paragraph (1), item (ii) of the Securities and Exchange Act;
- Articles 54(1)(vii), 64-10(1) and 79-53(1)(ii) of the Securities and Exchange Act;
- 証券専門関連業務 専ら有価証券関連業に付随し、又は関連する業務として内閣府令で定めるもの
- Specialized Securities Services: Business specified by Cabinet Office Ordinance as those being incidental or related exclusively to Securities Services;
- Specialized Securities-Related Business: Business specified by a Cabinet Office Ordinance as those being incidental or related exclusively to Securities-Related Business;
- 行使の目的で、偽造又は変造の貨幣、紙幣又は銀行券を収得した者は、三年以下の懲役に処する。
- A person, who acquires a counterfeit or altered coin, bank note or bill for the purpose of uttering, shall be punished by imprisonment with work for not more than 3 years.
- 法第二条第一項第十七号に掲げる有価証券で抵当証券の性質を有するもの 第十五号に定める事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of Mortgage Securities: the matters specified in item (xv);
- 当該有価証券に表示されるオプションの行使により有価証券の売買その他の取引が行われない場合
- cases where the purchase and sale or other transactions of Securities shall not be conducted upon the exercise of the Options indicated on the relevant Securities;
- cases where the purchase and sale or other transactions of Securities are not to be conducted upon the exercise of the Options indicated on the relevant Securities;
- 当該信託の受益権に係る資産対応証券を受託者と同一の会社集団に属さない者に取得させること。
- the act of allowing a person who does not belong to the same Company Group as the trustee acquire Asset Backed Securities pertaining to beneficial interest in said trust;
- 顧客から保護預りをしている有価証券を担保とする金銭の貸付け(内閣府令で定めるものに限る。)
- money loan secured by Securities that are deposited for safe custody from customers (limited to those specified by a Cabinet Office Ordinance);
- 有価証券の売買及び有価証券関連デリバティブ取引その他政令で定める取引 有価証券等清算取次ぎ
- sales and purchase of Securities, Transactions of Securities-Related Derivatives, and other transactions specified by a Cabinet Order: Broking for Clearing of Securities, etc.
- 投資一任契約その他の契約又は法律の規定に基づき、株券等の投資をするのに必要な権限を有する者
- a person who has the authority necessary to make investments in Share Certificates, etc., based on a discretionary investment contract or any other contracts or the provisions of the laws.
- 第二項有価証券 組織再編成対象会社株主等が相当程度多数の者である場合として政令で定める場合
- Paragraph (2) Securities: in cases where, as specified by a Cabinet Order, there is a considerably large number of Shareholders, etc. of the Reorganized Company.
- 株券等の買付け等を行う者と、株式の所有関係、親族関係その他の政令で定める特別の関係にある者
- persons having a shareholder relationship, family relationship or other special relationship specified by a Cabinet Order with the person conducting Purchase, etc. of Share Certificates, etc.; and
- 旧法の規定による出資及び出資証券は、それぞれ新法の相当規定による出資及び出資証券とみなす。
- Contribution and investment securities pursuant to the provisions of the Former Act shall be deemed to be contribution and investment securities pursuant to the relevant provisions of the New Act, respectively.
- 金銭担保付きの外国公社債等、国債証券又は流動化証券の貸借契約に基づく債権の発生等に係る取引
- Transactions pertaining to the occurrence, etc. of claims based on a loan contract with a monetary security for the foreign public or corporate bonds, etc., national government bond securities or liquid securities
- 当該有価証券に表示されるオプションの行使により有価証券の売買その他の取引が行われないこと。
- that the purchase and sale or other transactions of Securities shall not be conducted upon the exercise of the Options indicated on the relevant Securities;
- that the purchase and sale or other transaction of Securities is not to be conducted upon the exercise of the Options indicated on the relevant Securities;
- 当該有価証券の発行者又はその特定役員若しくは当該特定役員の被支配法人等に対して譲渡する場合
- cases where the relevant person transfers the Securities to the Issuer of the relevant Securities or the Specified Officer thereof, or the Controlled Juridical Person, etc. of said Specified Officer; and
- 金融商品取引所は、特定の会員等又は有価証券の発行者に対し不当な差別的取扱いをしてはならない。
- A Financial Instruments Exchange shall not provide unjust discriminatory treatment to a particular Member, etc. or a particular Issuer of Securities.
- 既に内閣府令で定める期間継続して有価証券報告書のうち内閣府令で定めるものを提出していること。
- the person must have continuously filed Annual Securities Reports as specified by a Cabinet Office Ordinance during the period specified by a Cabinet Office Ordinance; and
- 第二十条第六号に掲げる資本取引のうち、非居住者による本邦における証券の発行又は募集 非居住者
- Among capital transactions listed in Article 20, item 6, issue or offer for subscription of securities in Japan by a non-resident: A non-resident
- 新株予約権証券 新株予約権の行使により発行され、又は移転される株式に係る剰余金の配当等の内容
- share option certificates: the details of the Payment of Dividend of Surplus, etc. Pertaining to Shares which are to be issued or transferred upon the exercise of share options;
- 令第一条の七の三第九号に規定する内閣府令で定める有価証券は、次の各号に掲げる有価証券とする。
- The Securities specified by Cabinet Office Ordinance as referred to in Article 1-7-3, item (ix) of the Cabinet Order shall be the Securities set forth in the following items:
- 有価証券に関連する情報の提供又は助言(第二条第八項第十一号に掲げる行為に該当するものを除く。)
- provision of information or advice in relation to Securities (excluding acts falling under the category specified in Article 2(8)(xi));
- この法律において「金融商品市場」とは、有価証券の売買又は市場デリバティブ取引を行う市場をいう。
- The term 'Financial Instruments Market' as used in this Act means a market in which sales and purchase of Securities or Market Transactions of Derivatives are conducted.
- 譲渡性預金その他金銭債権(有価証券に該当するものを除く。)の売買又はその媒介、取次ぎ若しくは代理
- sales and purchase of negotiable deposits and other monetary claims (excluding those that fall under the category of Securities), or intermediary, brokerage or agency service thereof; and
- 金融商品取引業者等は、最良執行方針等に従い、有価証券等取引に関する注文を執行しなければならない。
- A Financial Instruments Business Operator, etc. shall execute orders for Transactions of Securities, etc. in accordance with its Best Execution Policy, etc.
- 当該行為により取得した株券に係る議決権が、イの対象従業員の指図に基づき行使されるものであること。
- that the voting rights pertaining to share certificates acquired through the relevant act are those to be exercised under instructions from the Subject Employee set forth in sub-item (a);
- 法第六十七条の十九に規定する通知その他法令上の義務の履行として行う当該有価証券に関する情報の提供
- the giving of notice under the provisions of Article 67-19 of the Act, and the provision of information on the relevant Securities made as the performance of obligations under laws and regulations; and
- 信託法(平成十八年法律第百八号)第百八十五条第三項に規定する受益証券発行信託であるときは、その旨
- if the trust is a trust issuing a beneficiary certificate as prescribed in Article 185, paragraph (3) of the Trust Act (Act No. 108 of 2006), a statement to that effect;
- その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券 次に掲げる事項
- Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4(1) or the main clause of Article 4(2): the following matters:
- 商業手形その他の手形(日本銀行の振出しに係るものを含む。)、国債その他の債券又は電子記録債権の売買
- Buying and selling of commercial bills and other negotiable instruments (including those drawn by the Bank of Japan in this item), national government securities and other bonds, or electronically recorded claims;
- 運用として行う取引に関する情報を利用して、自己の計算において有価証券の売買その他の取引等を行うこと。
- conducting Sales and Purchase or Other Transactions of Securities, etc. based on the account of the Financial Instruments Business Operator, etc. by using the information concerning the transaction conducted as an investment;
- その有価証券に関して開示が行われている場合における当該有価証券の売出し(前二号に掲げるものを除く。)
- a Secondary Distribution of Securities in the Case Where Disclosures Have Been Made with regard to the Securities (excluding those specified in the preceding two items);
- 「外貨証券」とは、外国において支払を受けることができる証券又は外国通貨をもつて表示される証券をいう。
- The term 'foreign securities' shall mean securities receivable in a foreign state or securities denominated in a foreign currency.
- 令第二条の十二の四第二項第四号に規定する役員等に対して同号イからニまでに掲げる有価証券を譲渡する場合
- cases where the relevant person transfers the Securities set forth in Article 2-12-4, paragraph (2), item (iv), sub-items (a) to (d) inclusive of the Cabinet Order to the Officer(s), etc. referred to in that item;
- cases where the relevant person transfers the Securities set forth in Article 2-12-4, paragraph (2), item (iv), sub-items (a) to (d) inclusive to the Officer, etc. referred to in that item;
- 金融商品取引業者等は、顧客に対し、善良な管理者の注意をもつて有価証券等管理業務を行わなければならない。
- A Financial Instruments Business Operator, etc. shall engage in Securities, etc. Management Business with due care of a prudent manager for customers.
- 有価証券約定数値と有価証券現実数値の差に基づいて算出される金銭の授受を約する取引又はこれに類似する取引
- transactions wherein the parties thereto promise to pay or receive the amount of money calculated based on the difference between the Agreed Figure for Securities and the Actual Figure for Securities, or transactions similar thereto;
- 行使の目的で、通用する貨幣、紙幣又は銀行券を偽造し、又は変造した者は、無期又は三年以上の懲役に処する。
- A person who counterfeits or alters a current coin, bank note or bill for the purpose of uttering shall be punished by imprisonment with work for life or for a definite term of not less than 3 years.
- 受託有価証券が令第一条の八の二第二号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Entrusted Securities fall under the Securities set forth in Article 1-8-2, item (ii) of the Cabinet Order, and fall under the case specified in sub-item (a) of that item; or
- 受託有価証券が令第一条の八の二第一号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Entrusted Securities fall under the Securities set forth in Article 1-8-2, item (i) of the Cabinet Order, and fall under the case specified in sub-item (a) of that item;
- 有価証券信託受益証券 当該有価証券が前号に定める要件に該当し、かつ、次のいずれかの場合に該当すること。
- Beneficiary Certificates of Securities in Trust: that the relevant Securities fall under the requirements specified in the preceding item and fall under any of the following cases:
- Beneficiary Certificates of Securities in Trust: that the relevant Securities fall under the requirements specified in the preceding item, and fall under any of the following cases:
- 有価証券(第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利を除く。)に係る次に掲げる行為
- the following acts pertaining to Securities (excluding rights listed in the items of Article 2(2) that shall be deemed to be Securities under the provisions of said paragraph):
- 流通状況が前号に掲げる有価証券に準ずるものとして政令で定める有価証券 政令で定める認可金融商品取引業協会
- Securities specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Securities referred to in the preceding item: the Authorized Financial Instruments Firms Association specified by the Cabinet Order.
- 日本銀行は、我が国の中央銀行として、銀行券を発行するとともに、通貨及び金融の調節を行うことを目的とする。
- The purpose of the Bank of Japan, or the central bank of Japan, is to issue banknotes and to carry out currency and monetary control.
- 第六条第六項又は第五十条第二項に規定する事項を記載しない受益証券又は虚偽の記載をした受益証券を発行した者
- A person who has issued Beneficiary Securities that do not state the matters prescribed in Article 6, paragraph (6) or Article 50, paragraph (2) or who has issued Beneficiary Certificates containing false statements;
- 当該取得しようとする者が当該取得勧誘に応じて取得した当該有価証券を特定投資家等以外の者に譲渡しないこと。
- that the relevant person who wishes to acquire the Securities shall not transfer the Securities acquired in response to the relevant Solicitation of Offers to Acquire to persons other than Professional Investors, etc.; and
- この法律において「証券金融会社」とは、第百五十六条の二十四の規定により内閣総理大臣の免許を受けた者をいう。
- The term 'Securities Finance Company' as used in this Act means a person who has been granted the license by the Prime Minister under Article 156-24.
- 金融関連業務 銀行業、有価証券関連業、保険業又は信託業に付随し、又は関連する業務として内閣府令で定めるもの
- Financial Services: Business specified by Cabinet Office Ordinance as being incidental or related to Banking, Securities Services, Insurance Services or Trust Business;
- Finance-Related Business: Business specified by a Cabinet Office Ordinance as those being incidental or related to Banking Business, Securities-Related Business, Insurance Business or Trust Business;
- 非居住者との間の金銭担保付きの外国公社債等、国債証券又は流動化証券の貸借契約に基づく債権の発生等に係る取引
- Transactions pertaining to the occurrence, etc. of claims based on a loan contract with a monetary security for the foreign public or corporate bonds, etc., national government bond securities or liquid securities with a non-resident
- 前号ロの制限が付されている旨が当該有価証券に記載され、当該有価証券の取得者に当該有価証券が交付されること。
- that a statement to the effect that the relevant Securities are subject to the restriction set forth in sub-item (b) of the preceding item is made thereupon, and that such Securities are to be delivered to the acquirer thereof;
- 第二項第四号の「政府保証債」とは、政府が元本の償還及び利息の支払について保証している社債その他の債券をいう。
- The term 'Government-Guaranteed Bonds' as used in paragraph (2), item (iv) means corporate bonds and other bond certificates for which redemption of the principal and payment of interest are guaranteed by the government.
- 'Government-Guaranteed Bonds' set forth in paragraph (2)(iv) means bonds and other debentures for which redemption of the principal and payment of interest are guaranteed by the government.
- この政令は、証券取引法及び金融先物取引法の一部を改正する法律の施行の日(平成十二年十二月一日)から施行する。
- This Cabinet Order shall come into effect as from the date of enforcement (December 1, 2000) of the Act on the Partial Revision of the Securities and Exchange Act and the Financial Futures Trading Act.
- 当該個人が金融商品取引業者等に有価証券の取引を行うための口座を開設した日から起算して一年を経過していること。
- that a period of one year has passed from the date when said individual opened an account with the Financial Instruments Specialist, etc. for transactions in Securities;
- 受託有価証券が令第一条の五の二第二項第二号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Entrusted Securities fall under the Securities set forth in Article 1-5-2, paragraph (2), item (ii) of the Cabinet Order, and fall under the case specified in sub-item (a) of that item; or
- 受託有価証券が令第一条の五の二第二項第一号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Entrusted Securities fall under the Securities set forth in Article 1-5-2, paragraph (2), item (i) of the Cabinet Order, and fall under the case specified in sub-item (a) of that item;
- その他の会社であつて、当該銀行の子会社である証券専門会社又は証券仲介専門会社の子会社のうち内閣府令で定めるもの
- Any other company which is a Subsidiary Company of a Specialized Securities Company or Specialized in Securities Intermediations that is a Subsidiary Company of that Bank, and is specified by Cabinet Office Ordinance.
- Any other company which is a Subsidiary Company of a Company Specialized in Securities Business or Specialized in Securities Intermediary Services that is a Subsidiary Company of that Bank, and is specified by a Cabinet Office Ordinance.
- 金融商品取引業者(第一種金融商品取引業(有価証券関連業に該当するものに限る。)又は投資運用業を行う者に限る。)
- a Financial Instruments Specialist (limited to a specialist engaged in Type I Financial Instruments Services (limited to business which falls under Securities Services) or in Investment Management);
- 法第二条第一項第十七号に掲げる有価証券で同項第一号及び第二号に掲げる有価証券の性質を有するもの 次に掲げる事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities listed in items (i) and (ii) of that paragraph: the following matters:
- 前条第二項各号に掲げる有価証券又は取引についての当該各号に定める行為(同条第一項ただし書に該当するものを除く。)
- acts specified in the items of paragraph (2) of the preceding Article pertaining to Securities or transactions listed in each said item (excluding those falling under the proviso to the paragraph (1) of that Article);
- 会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘の適正化に必要な業務のため必要な規則の制定その他の業務
- to establish rules or conduct other activities necessary for ensuring appropriateness in solicitation for sales and purchase or other transactions of Securities conducted by its members and Financial Instruments Intermediary Service Providers;
- 第百一条の十六第三項において準用する会社法第二百七条第九項第三号に掲げる場合には、有価証券の市場価格を証する書面
- in the case set forth in Article 207(9)(iii) of the Companies Act as applied mutatis mutandis pursuant to Article 101-16(3), the document proving the market price of Securities;
- 第一項第四号において「元引受契約」とは、有価証券の募集又は売出しに際して締結する次の各号のいずれかの契約をいう。
- The term 'Wholesale Underwriting Contract' as used in item (iv) of paragraph (1) means a contract concluded for a Public Offering or Secondary Distribution of Securities and falling under either of the categories specified in the following items:
- 偽造又は変造の貨幣、紙幣又は銀行券を行使し、又は行使の目的で人に交付し、若しくは輸入した者も、前項と同様とする。
- The same shall apply to a person who utters, or delivers or imports for the purpose of uttering, a counterfeited or altered coin, bank note or bill.
- 令第一条の十九第三号又は第四号に掲げる取引 受渡しの別、有価証券の銘柄及び数若しくは金額又は金銭の額並びに受渡日
- transactions listed in Article 1-19, item (iii) or (iv) of the Cabinet Order: delivery or receipt of Securities, and the issue, the volumes or amounts, the amount of money and the date of delivery of the Securities.
- 特定目的信託の受益証券(法第二条第一項第十三号に掲げる特定目的信託の受益証券をいう。以下同じ。) 次に掲げる事項
- the Beneficiary Certificate of a Special Purpose Trust (meaning the beneficiary certificate of a special purpose trust as set forth in Article 2, paragraph (1), item (xiii) of the Act; the same shall apply hereinafter): the following matters:
- 当該募集に係る有価証券の発行者又は第二号に掲げる者のいずれかと元引受契約を締結した金融商品取引業者又は登録金融機関
- the Financial Instruments Business Operator or Registered Financial Institution that has concluded a Wholesale Underwriting Contract with the Issuer of the Securities for which the Public Offering was made or either the person specified in item (ii).
- 貨幣、紙幣又は銀行券の偽造又は変造の用に供する目的で、器械又は原料を準備した者は、三月以上五年以下の懲役に処する。
- A person who prepares implements or materials for the purpose of counterfeiting or altering a coin, money bill or bank note or bill shall be punished by imprisonment with work for not less than 3 months but not more than 5 years.
- 法第二条第一項第二十号に掲げる有価証券 当該有価証券に表示される権利に係る有価証券を発行し、又は発行しようとする者
- the Securities listed in Article 2, paragraph (1), item (xx) of the Act: the person who issues, or intends to issue, the Securities pertaining to the rights indicated on said Securities.
- 有価証券の発行者その他の者が行う資産の運用その他これに類似する事業の遂行能力に関する評価の結果について表示した等級
- grades indicating the results of an assessment of the capability of the issuer of Securities or any other person in performing the investment of assets or any other business similar thereto;
- 旧法第二十九条第一項の規定により発行された銀行券は、新法第四十六条第一項の規定により発行された日本銀行券とみなす。
- Banknotes issued pursuant to Article 29, paragraph 1 of the Former Act shall be deemed to be Bank of Japan notes issued pursuant to Article 46, paragraph 1 of the New Act.
- 令第一条の八の四第四号イに規定する内閣府令で定める事項は、譲渡制限のない海外発行証券に関する次に掲げる事項とする。
- The matters specified by Cabinet Office Ordinance as referred to in Article 1-8-4, item (iv), sub-item (a) of the Cabinet Order shall be the following matters related to Foreign Securities With No Restriction on Transfer:
- 新優先出資引受権付特定社債券(令第一条の四第二号ニに規定する新優先出資引受権付特定社債券をいう。) 次に掲げる事項
- Specified Corporate Bond Certificates with a Rights to Subscribe for Preferred Equity (meaning a Specified Corporate Bond Certificate with a Right to Subscribe for Preferred Equity as prescribed in Article 1-4, item (ii), sub-item (d) of the Cabinet Order): the following matters:
- 法第二条第一項第十七号に掲げる有価証券で特定目的信託の受益証券の性質を有するもの 第十三号に定める事項に準ずる事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Beneficiary Certificates of a Special Purpose Trust: the matters equivalent to the matters specified in item (xiii);
- 当該買付けを行おうとする者が当該売付け勧誘等に応じて買い付けた当該有価証券を特定投資家等以外の者に譲渡しないこと。
- that the relevant person who intends to make the purchase will not transfer the Securities purchased in response to the relevant Offers to Sell, etc. to persons other than Professional Investors, etc.; and
- 第二条第八項第十四号に掲げる行為を行う業務 同号に規定する有価証券に表示される権利その他の政令で定める権利を有する者
- business of conducting the act specified in Article 2(8)(xiv): the person who holds rights indicated on Securities listed in said item or other rights specified by a Cabinet Order; and
- 第二条第八項第五号に掲げる行為であつて、有価証券の売買、有価証券関連デリバティブ取引その他政令で定める取引に係るもの
- acts listed in Article 2(8)(v) that are pertaining to sales and purchase of Securities, Transactions of Securities-Related Derivatives, or other transactions specified by a Cabinet Order; or
- 発行価額又は売出価額の総額が一億円未満の有価証券の募集又は売出しで内閣府令で定めるもの(前各号に掲げるものを除く。)
- among Public Offerings or Secondary Distributions of Securities of which the total issue price or total distribution price is less than 100 million yen, those which are specified by a Cabinet Office Ordinance (excluding those specified in the preceding items).
- 登録金融機関の代理を行う者のうち政令で定める者 第三十三条第二項第二号に掲げる有価証券につき同号に定める行為を行う業務
- a person who conducts agency service for a Registered Financial Institution and who is specified by a Cabinet Order: business to conduct acts specified in Article 33(2)(ii) with regard to Securities listed in said item;
- 前条の規定に違反して有価証券を取得させた者は、これを取得した者に対し当該違反行為に因り生じた損害を賠償する責に任ずる。
- A person who has another person acquire Securities in violation of the preceding Article shall be held liable to compensate damage arisen from the violation and sustained by the person who acquires the Securities.
- 裁判所は、有価証券又は裁判所の適当と認める被告人以外の者の差し出した保証書を以て保証金に代えることを許すことができる。
- The court may permit the bail bond to be paid in securities or with a written guarantee issued by an appropriate person other than the accused, in place of cash.
- 行使の目的で、日本国内に流通している外国の貨幣、紙幣又は銀行券を偽造し、又は変造した者は、二年以上の有期懲役に処する。
- A person who counterfeits or alters a foreign coin, bank note or bill which is used in transaction in Japan for the purpose of uttering shall be punished by imprisonment with work for a definite term of not less than 2 years.
- 偽造又は変造の外国の貨幣、紙幣又は銀行券を行使し、又は行使の目的で人に交付し、若しくは輸入した者も、前項と同様とする。
- The same shall apply to a person who utters, or delivers or imports for the purpose of uttering, a counterfeit or altered foreign coin, bank note or bill.
- 社債券で、第一号、第二号、第四号及び前号に掲げる有価証券に表示される権利以外の権利が表示されているもの 次に掲げる事項
- corporate bond certificates on which the rights other than the rights indicated on the Securities listed in items (i), (ii), and (iv), and the preceding item are indicated: the following matters:
- 法第二条第一項第十七号に掲げる有価証券で受益証券発行信託の受益証券の性質を有するもの 第十四号に定める事項に準ずる事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Beneficiary Certificates of a Trust That Issues Beneficiary Certificates: the matters equivalent to the matters specified in item (xiv);
- 第十五条第三項の規定により交付しなければならない場合 次のイ又はロに掲げる有価証券の区分に応じ、当該イ又はロに定める事項
- in cases where delivery of the Prospectus is required under Article 15(3): according to the categories of Securities specified in the following (a) and (b), the matters specified in the following (a) or (b):
- その行う第一号から第十号までに掲げる行為に関して、顧客から金銭又は第一項各号に掲げる証券若しくは証書の預託を受けること。
- acceptance of deposits of money or securities or certificates listed in the items of paragraph (1) from the customers in relation to acts listed in items (i) to (x) of this paragraph;
- 直近日において保有する有価証券の残高(第一項第二十三号イ若しくはロ又は同項第二十四号イ若しくはロに該当する場合に限る。)
- the balance of the Securities held at the Latest Date (limited to cases falling under paragraph (1), item (xxiii), sub-item (a) or (b), or item (xxiv), sub-item (a) or (b) of that paragraph); and
- 当該償還により取得する有価証券が令第一条の八の二第一号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Securities to be acquired upon the relevant redemption fall under the Securities set forth in Article 1-8-2, item (i) of the Cabinet Order, and fall under the case set forth in sub-item (a) of that item;
- 当該償還により取得する有価証券が令第一条の八の二第二号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Securities to be acquired upon the relevant redemption fall under the Securities set forth in Article 1-8-2, item (ii) of the Cabinet Order, and fall under the case set forth in sub-item (a) of that item;
- この章において「有価証券等管理業務」とは、第一種金融商品取引業に係る業務のうち、第一項第五号に掲げる行為に係る業務をいう。
- The term 'Securities, etc. Management Business' as used in this Chapter means business pertaining to acts listed in paragraph (1), item (v) among business pertaining to the Type I Financial Instruments Business.
- 当該有価証券の全部又は一部につき他にこれを取得する者がない場合にその残部を発行者又は所有者から取得することを内容とする契約
- a contract in which it is agreed that, with regard to all or part of the Securities, a party will acquire all of the remaining Securities which are not acquired by any other person.
- 預金契約に基づく債権その他の権利又は当該権利を表示する証券若しくは証書であつて政令で定めるもの(前号に掲げるものを除く。)
- among claims based on a deposit contract or other rights, or securities or certificates indicating these claims or rights, those which are specified by a Cabinet Order (excluding those specified in the preceding item);
- 既に、第二十四条第一項本文に規定する事項を記載した有価証券報告書又は前項に規定する事項を記載した半期報告書を提出している者
- a person who has already submitted an Annual Securities Report containing descriptions on the matters specified in the main clause of Article 24(1) or a Semiannual Securities Report containing descriptions on the matters specified in the preceding paragraph; and
- 行使の目的で、公債証書、官庁の証券、会社の株券その他の有価証券を偽造し、又は変造した者は、三月以上十年以下の懲役に処する。
- A person who, for the purpose of uttering, counterfeits or alters a public bond, securities of a government agency, share certificate of a corporation or other securities shall be punished by imprisonment with work for not less than 3 months but not more than 10 years.
- 公務員に対し虚偽の申立てをして、免状、鑑札又は旅券に不実の記載をさせた者は、一年以下の懲役又は二十万円以下の罰金に処する。
- A person, who makes a false statement before a public officer and thereby causes the official to make a false entry in a license, permit or passport, shall be punished by imprisonment with work for not more than 1 year or a fine of not more than 200,000 yen.
- 当該有価証券及び当該有価証券と同一種類の他の有価証券が、法第二十四条第一項各号に掲げる有価証券のいずれにも該当しないこと。
- that the relevant Securities and other Securities of the same class as the relevant Securities do not fall under the category of any of the Securities set forth in the items of Article 24, paragraph (1) of the Act; and
- 法第二条第一項第二十号に掲げる有価証券 当該有価証券が第一号に定める要件に該当し、かつ、次のいずれかの場合に該当すること。
- the Securities set forth in Article 2, paragraph (1), item (xx) of the Act: that the relevant Securities fall under the requirements specified in item (i), and fall under any of the following cases:
- the Securities set forth in Article 2, paragraph (1), item (xx) of the Act: that the relevant Securities fall under the requirements set forth in item (i), and fall under any of the following cases:
- 法第二条第一項第十九号に掲げる有価証券 当該有価証券が第一号に定める要件に該当し、かつ、次のいずれかの場合に該当すること。
- the Securities set forth in Article 2, paragraph (1), item (xix) of the Act: that the relevant Securities fall under the requirements set forth in item (i), and fall under any of the following cases:
- 第十五条第二項本文の規定により交付しなければならない場合 次のイ又はロに掲げる有価証券の区分に応じ、当該イ又はロに定める事項
- in cases where delivery of the Prospectus is required under the main clause of Article 15(2): according to the categories of Securities specified in the following (a) and (b), the matters specified in the following (a) or (b):
- 当該対象証券が株券の場合にあっては株式に係る剰余金の配当等の内容、株券以外の有価証券の場合にあっては当該有価証券の権利の内容
- the details of the Payment of Dividend of Surplus, etc. Pertaining to Shares in cases where the relevant Target Securities are share certificates, and the details of the right in the relevant Securities in cases of Securities other than share certificates;
- the details of the Payment of Dividend of Surplus, etc. Pertaining to Shares in cases where the relevant Target Securities are share certificates, and the details of the rights in the relevant Securities in cases of Securities other than share certificates;
- 社債等振替法の規定により加入者が当該有価証券に転売制限が付されていることを知ることができるようにする措置がとられていること。
- that measures have been taken that enable the Members to become aware that a Restriction on Resale has been imposed on the relevant Securities pursuant to the provisions of the Corporate Bonds, etc. Transfer Act; and
- that measures have been taken to enable the Members to learn that a Restriction on Resale has been imposed on the relevant Securities pursuant to the provisions of the Corporate Bonds, etc. Transfer Act.
- that measures have been taken to enable the Members to learn that a Restriction on Resale has been imposed on the relevant Securities pursuant to the provisions of the Corporate Bonds, etc. Transfer Act; and
- 対象有価証券関連取引に関し、顧客の計算に属する金銭又は金融商品取引業者等が顧客から預託を受けた金銭(前号に掲げる金銭を除く。)
- the money belonging to the account of a customer or money deposited to the Financial Instruments Business Operator, etc. from a customer (excluding the money specified in the preceding item), with regard to a Subject Securities-Related Transactions; and
- 前項本文に規定する公開買付けによる株券等の買付け等は、政令で定める期間の範囲内で買付け等の期間を定めて、行わなければならない。
- Purchase, etc. of Share Certificates, etc. by means of Tender Offer required under the main clause of the preceding paragraph shall be made by setting a period for Purchase, etc. which may not exceed the period specified by a Cabinet Order.
- ハ又はニに掲げる取引の担保の目的で行う外国公社債等、国債証券又は流動化証券の貸借契約又は寄託契約に基づく債権の発生等に係る取引
- Transactions pertaining to the occurrence, etc. of claims based on a loan contract or a deposit contract for the foreign public or corporate bonds, etc., national government bond securities or liquid securities, which are conducted for the purpose of securing the transactions listed in (c) or (d)
- 当該譲渡制限のない海外発行証券を識別するために必要な事項として認可金融商品取引業協会が定める事項(前三号に掲げる事項を除く。)
- the matters specified by the Authorized Financial Instruments Firms Association as the matters necessary for identifying the relevant Foreign Securities With No Restrictions on Transfer (excluding the matters set forth in the preceding three items).
- 当該償還により取得する有価証券が令第一条の五の二第二項第一号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Securities to be acquired upon the relevant redemption fall under the Securities set forth in Article 1-5-2, paragraph (2), item (i) of the Cabinet Order, and fall under the case specified in sub-item (a) of that item;
- 当該償還により取得する有価証券が令第一条の五の二第二項第二号に掲げる有価証券に該当する場合で、同号イに定める場合に該当する場合
- cases where the Securities to be acquired upon the relevant redemption fall under the Securities set forth in Article 1-5-2, paragraph (2), item (ii) of the Cabinet Order, and fall under the case specified in sub-item (a) of that item;
- 組織再編成発行手続に係る新たに発行される有価証券又は組織再編成交付手続に係る既に発行された有価証券に関して開示が行われている場合
- in the Case Where Disclosures Have Been Made with regard to the Securities newly issued in the case of Procedures Relating to Securities Issuance for Reorganization or existing Securities in the case of Procedures Relating to Securities Delivery for Reorganization.
- 当該譲渡制限のない海外発行証券を識別するために必要な事項として認可金融商品取引業協会が定める事項(前二号に規定する事項を除く。)
- the matters specified by the Authorized Financial Instruments Firms Association as the matters necessary for identifying the relevant Foreign Securities With No Restriction on Transfer (excluding the matters set forth in the preceding two items).
- 前条第五号に掲げる資本取引のうち、非居住者が発行する証券(政令で定めるものに限る。)の非居住者からの取得又は非居住者に対する譲渡
- Among capital transactions listed in item 5 of the preceding article, acquisition from a non-resident or transfer to a non-resident of securities (limited to those specified by Cabinet Order) issued by a non-resident
- 社債等振替法の規定により加入者が当該有価証券に前号ロの制限が付されていることを知ることができるようにする措置がとられていること。
- that measures have been taken to enable the Members to learn that a Restriction on Resale has been imposed on the relevant Securities pursuant to the provisions of the Corporate Bonds, etc. Transfer Act.
- 内閣総理大臣は、第五十九条第一項の許可を受けた外国証券業者が次の各号のいずれかに該当する場合には、当該許可を取り消すことができる。
- When a Foreign Securities Broker which has obtained the permission under Article 59(1) falls under any of the following items, the Prime Minister may rescind the permission:
- 市場デリバティブ取引若しくは外国市場デリバティブ取引又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理の申込みの勧誘
- solicitation for application for Market Transactions of Derivatives or Foreign Market Derivatives Transactions, or intermediary, brokerage (excluding Brokerage for Clearing of Securities, etc.) or agency service thereof; and
- 日本銀行は、日本銀行券の製造及び消却の手続を定め、財務大臣の承認を受けなければならない。これを変更しようとするときも、同様とする。
- The Bank of Japan shall determine the procedures for printing and canceling Bank of Japan notes and submit those procedures to the Minister of Finance for approval. The same shall apply when making any change to the procedures.
- 当該譲渡制限のない海外発行証券が第十条の二第一項各号に掲げる有価証券に該当する場合の当該有価証券の区分に応じ、当該各号に定める事項
- the matters specified in the items of Article 10-2, paragraph (1) according to the category of Securities in cases where the relevant Foreign Securities With No Restrictions on Transfer fall under the Securities set forth in said items; and
- the matters specified in the items of Article 10-2, paragraph (1) according to the category of Securities in cases where the relevant Foreign Securities With No Restriction on Transfer fall under the Securities set forth in said items; and
- 発行登録に係る有価証券の発行予定期間は、発行登録の効力が生じた日から起算して二年を超えない範囲内において内閣府令で定める期間とする。
- The Planned Issue Period of Securities for which a Shelf Registration has been made shall be a period specified by a Cabinet Office Ordinance which may not exceed two years from the day when the Shelf Registration comes into effect.
- 有価証券報告書には、定款その他の書類で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを添付しなければならない。
- The articles of incorporation or other documents that are specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors shall be attached to an Annual Securities Report.
- 法第二条第三項各号列記以外の部分に規定する内閣府令で定めるものは、次の各号に掲げる有価証券の区分に応じ、当該各号に定めるものとする。
- The acts specified by Cabinet Office Ordinance, referred to in the non-itemized part of Article 2, paragraph (3) of the Act, shall be those specified in the following items according to the categories of Securities listed in the respective items:
- 当該有価証券の性質によりその分割ができない場合を除き、当該有価証券に表示されている単位未満に分割できない旨の制限が付されていること。
- that, except in cases where the relevant Securities cannot be split due to their nature, a restriction prohibiting the splitting of such Securities into units of less than those indicated on said Securities has been imposed on such Securities;
- that, except in cases where the relevant Securities cannot be split due to their nature, a restriction prohibiting the split of such Securities into units of less than those indicated on said Securities has been attached to such Securities;
- 当該有価証券の全部又は一部につき他にこれを取得する者がない場合にその残部を発行者又は所有者から取得することを内容とする契約をすること。
- conclusion of a contract in which, with regard to all or part of the Securities, the underwriter promises the Issuer or holder that he/she will acquire all of the remaining Securities which are not acquired by any other person.
- 第一項又は前項の規定により供託する営業保証金は、国債証券、地方債証券その他の内閣府令で定める有価証券をもつてこれに充てることができる。
- A deposit for operation to be deposited under the provisions of paragraph (1) or the preceding paragraph shall be substituted by national government bonds, municipal bonds, or other Securities specified by a Cabinet Office Ordinance.
- 前条の規定により賠償の責めに任ずべき額は、請求権者が当該有価証券の取得について支払つた額から次の各号の一に掲げる額を控除した額とする。
- The amount of damages to be paid under the preceding Article shall be the amount calculated by deducting the amount specified by either of the following items from the amount paid for acquisition of the Securities by the person who is entitled to claim damages:
- 第十九条第三項の規定による届出をせず、又は虚偽の届出をして、同条第一項に規定する支払手段又は証券若しくは貴金属を輸出し、又は輸入した者
- Any person who has imported or exported means of payment or securities prescribed in Article 19, paragraph 1, or precious metal, failing to give notification pursuant to the provision of Article 19, paragraph 3 or giving a false notification
- 特定信託財産(特定有価証券の内容等の開示に関する内閣府令(平成五年大蔵省令第二十二号)第一条第九号の三に規定する特定信託財産をいう。)
- the Specified Trust Property (meaning Specified Trust Property as prescribed in Article 1, item (ix)-3 of the Cabinet Office Ordinance on Disclosure of Information of Regulated Securities, etc. (Ordinance of the Ministry of Finance No. 22 of 1993)); and
- 令第一条第二号に掲げる証券又は証書(以下「学校債券」という。)を発行する学校法人等(同号に規定する学校法人等をいう。以下同じ。)の名称
- the name of the Incorporated Educational Institution, etc. (meaning an Incorporated Educational Institution, etc. as defined in Article 1, item (ii) of the Cabinet Order; the same shall apply hereinafter) which issues securities or certificates listed in that item (hereinafter referred to as the 'School Bonds');
- 令第一条の八の二第三号に規定する内閣府令で定める要件は、次の各号に掲げる有価証券の区分に応じ、当該各号に定める要件を満たすこととする。
- The requirements specified by Cabinet Office Ordinance as referred to in Article 1-8-2, item (iii) of the Cabinet Order shall be that the relevant case satisfies the requirements specified in the following items according to the category of Securities set forth in the respective items:
- 次に掲げる場合には、当該取得しようとする者が当該取得勧誘に応じて取得した当該有価証券を特定投資家等以外の者に譲渡することができること。
- that, in the following cases, the relevant person who wishes to acquire the Securities may transfer the Securities acquired in response to the relevant Solicitation of Offers to Acquire to persons other than Professional Investors, etc.:
- 第二百二十五条第四項、第二百二十六条第二項、第二百二十七条又は第二百二十九条第二項の規定に違反して、株券喪失登録を抹消しなかったとき。
- when the person fails to cancel a Registration of Lost Share Certificate in violation of the provisions of Article 225(4), Article 226(2), Article 227 or Article 229(2);
- 取引所金融商品市場は、有価証券の売買及び市場デリバティブ取引を公正かつ円滑にし、並びに投資者の保護に資するよう運営されなければならない。
- A Financial Instruments Exchange Market shall be operated so as to achieve the fair and smooth sales and purchase of Securities and Market Transactions of Derivatives, as well as to contribute to the protection of investors.
- 金融商品取引所に上場されている有価証券について、当該金融商品取引所が開設する取引所金融商品市場における当該有価証券の売買価格を用いる方法
- with regard to Securities listed in a Financial Instruments Exchange, a method using the trading price of the Securities in the Financial Instruments Exchange Market operated by the Financial Instruments Exchange;
- 第一項第十四号に掲げる有価証券又は同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)に表示される権利
- rights indicated on Securities specified in item (xiv) of paragraph (1) or Securities specified in item (xvii) of said paragraph (limited to those which have the nature of Securities specified in item (xiv) of said paragraph);
- 組織再編成対象会社が発行者である株券(新株予約権証券その他の政令で定める有価証券を含む。)に関して開示が行われている場合に該当しない場合
- in cases which do not fall under the Case Where Disclosures Have Been Made with regard to shares (including share option certificates and other Securities specified by a Cabinet Order) issued by the Reorganized Company; or
- 第八十五条第一項の規定又は第百三十九条の七において準用する会社法第六百九十六条の規定に違反して、遅滞なく投資証券等を発行しなかつたとき。
- When the person has failed to issue Investment Securities, etc. without delay, in violation of Article 85, paragraph (1) of this Act or the provisions of Article 696 of the Companies Act as applied mutatis mutandis pursuant to Article 139-7;
- 新株予約権付社債券(会社法第二百四十九条第二号に掲げる新株予約権付社債券をいう。第十三条の三第二項第一号において同じ。) 次に掲げる事項
- Corporate Bond Certificates with Share Options (meaning corporate bond certificates with share options as set forth in Article 249, item (ii) of the Companies Act; the same shall apply in Article 13-3, paragraph (2), item (i)): the following matters:
- 前項の認可協会は、店頭売買有価証券登録原簿の写しを、内閣府令で定めるところにより、その事務所に備え置き、公衆の縦覧に供しなければならない。
- The Authorized Association set forth in the preceding paragraph shall keep a copy of the Registry of Over-the-Counter Traded Securities at its office and make the copy available for public inspection, pursuant to the provisions of a Cabinet Office Ordinance.
- 当該公開買付開始公告をした日以後において当該公開買付けに係る株券等の買付け等を公開買付けによらないで行う契約がある場合には、当該契約の内容
- details of the contract concluded for making Purchase, etc. of the Share Certificates, etc. pertaining to the Tender Offer not though the Tender Offer on or after the day when the Public Notice for Commencing Tender Offer is made, if any; and
- 当該公開買付けに応じて当該上場株券等の売付け等をした者が、当該会社に重要事実が生じており又は公表等の内容が虚偽であることを知つていたとき。
- in the case where the person who makes Sales, etc. of Listed Share Certificates, etc. in response to the Tender Offer knew the fact that the Material Fact occurred pertaining to the company or the fact that the Publication, etc. contains untruth; or
- 第一項の規定による登録(以下「発行登録」という。)を行つた有価証券の募集又は売出しについては、第四条第一項及び第二項の規定は、適用しない。
- Article 4(1) and (2) shall not apply to Public Offerings or Secondary Distributions of the Securities for which registration set forth in paragraph (1) (hereinafter referred to as a 'Shelf Registration') has been made.
- 当該届出を行おうとする日の直近の日(以下この条において「直近日」という。)における当該法人が保有する有価証券の残高が十億円以上であること。
- that the balance of the Securities held by said juridical person as of the latest date from the date said juridical person intends to make said notification (hereinafter referred to as the 'Latest Date' in this Article) shall be one billion yen or more;
- 第二百十五条第一項、第二百八十八条第一項又は第六百九十六条の規定に違反して、遅滞なく、株券、新株予約権証券又は社債券を発行しなかったとき。
- when the person fails to issue share certificates, Share Option certificates or Bond certificates without delay in violation of the provisions of Article 215(1), Article 288(1) or Article 696;
- 証券取引法第二十四条第一項の規定により有価証券報告書を内閣総理大臣に提出しなければならない外国会社については、前三項の規定は、適用しない。
- The provisions of the preceding three paragraphs shall not apply to Foreign Companies that shall submit their securities reports to the Prime Minister pursuant to the provisions of Article 24(1) of the Securities and Exchange Act.
- 通貨その他デリバティブ取引(有価証券関連デリバティブ取引を除く。)に関連する資産として政令で定めるものの売買又はその媒介、取次ぎ若しくは代理
- sales and purchase of currencies and other assets specified by a Cabinet Order as being related to Derivative Transactions (excluding Transactions of Securities-Related Derivatives) or intermediary, brokerage or agency service thereof;
- 内閣総理大臣は、前項の規定により第五十九条第一項の許可を取り消そうとする場合には、書面により、その旨を外国証券業者に通知しなければならない。
- When the Prime Minister intends to rescind the permission under Article 59(1) under the provision of the preceding paragraph, he/she shall notify to that effect in writing to the Foreign Securities Broker.
- この章において「特定組織再編成交付手続」とは、次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当する組織再編成交付手続をいう。
- The term 'Specified Procedures Relating to Securities Delivery for Reorganization' as used in this Chapter means Procedures Relating to Securities Delivery for Reorganization in the cases specified in the following items for each kind of Securities set forth in the respective items:
- 前二号に掲げる取引の担保の目的で行う非居住者との間の外国公社債等、国債証券又は流動化証券の貸借契約又は寄託契約に基づく債権の発生等に係る取引
- Transactions pertaining to the occurrence, etc. of claims based on a loan contract or a deposit contract for the foreign public or corporate bonds, etc., national government bond securities or liquid securities with a non-resident, which is concluded for the purpose of securing the transactions listed in the preceding two items
- 原有価証券が令第一条の四各号又は第一条の七の四各号に掲げる有価証券である場合の区分に応じ、令第一条の四各号又は第一条の七の四各号に定める場合
- the cases specified in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order according to the category of cases where the Underlying Securities are the Securities set forth in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order;
- 第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利についての同条第八項第一号から第三号まで、第五号、第八号又は第九号に掲げる行為
- acts listed in Article 2(8)(i) to (iii), (v), (viii), or (ix) with regard to rights listed in the items of Article 2(2) that shall be deemed to be Securities under the provisions of said paragraph;
- 認可協会の定款には、次に掲げる事項(第十三号に掲げる事項にあつては、店頭売買有価証券市場を開設する認可協会に限る。)を記載しなければならない。
- The articles of incorporation of an Authorized Association shall contain the following matters (limited to an Authorized Association that establishes an Over-the-Counter Securities Market, with regard to the matters listed in item (xiii)):
- 当該有価証券の取得者に交付される当該有価証券に関する情報を記載した書面において、当該有価証券に転売制限が付されている旨の記載がされていること。
- that it has been stated, in a document stating the information on the relevant Securities to be delivered to an acquirer of said Securities, that said Securities have a Restriction on Resale; or
- that a statement to the effect that the relevant Securities are subject to a Restriction on Resale has been made in the document containing the information on said Securities which is to be delivered to the acquirer of such Securities; or
- that a statement to the effect that the relevant Securities carry a Restriction on Resale is made in the document containing the information on said Securities that is delivered to the acquirer of such Securities; or
- that a statement to the effect that the relevant Securities are subject to a Restriction on Resale is made in the document containing the information on said Securities which is delivered to the acquirer of such Securities; or
- that a statement to the effect that the relevant Securities are subject to a Restriction on Resale is made in the document containing the information on said Securities which is to be delivered to the acquirer of such Securities; or
- 当該有価証券の発行者の総株主等の議決権の百分の五十を超える議決権に係る株式又は出資を自己又は他人の名義をもって所有する会社に対して譲渡する場合
- cases where the relevant person transfers the Securities to a company that holds shares or equity pertaining to voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of the Issuer of the relevant Securities in its own name or another person's name.
- 令第一条の五の二第二項第三号に規定する内閣府令で定める要件は、次の各号に掲げる有価証券の区分に応じ、当該各号に定める要件に該当することとする。
- The requirements specified by Cabinet Office Ordinance as referred to in Article 1-5-2, paragraph (2), item (iii) of the Cabinet Order shall be that the relevant case falls under the requirements specified in the following items according to the category of Securities set forth in the respective items:
- 抵当証券が発行されている場合における債務者の氏名若しくは名称又は住所についての変更の登記又は更正の登記は、債務者が単独で申請することができる。
- Where mortgage securities are issued, an application for a registration of change or registration of correction regarding the name or address of the obligor may be filed independently by the obligor.
- 法第二条第一項第十七号に掲げる有価証券で同項第三号に掲げる有価証券の性質を有するもの(次号及び第二十号に掲げる有価証券を除く。) 次に掲げる事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities listed in item (iii) of that paragraph (excluding the Securities listed in the following item and item (xx)): the following matters:
- 次に掲げる場合には、当該買付けを行おうとする者が当該売付け勧誘等に応じて買い付けた当該有価証券を特定投資家等以外の者に譲渡することができること。
- that, in the following cases, the relevant person who intends to make the purchase may transfer the Securities purchased in response to the relevant Offers to Sell, etc. to persons other than Professional Investors, etc.:
- 有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的とすること。
- the juridical person shall aim at ensuring fair and smooth transaction of Securities, including sales and purchase or other transactions of Securities, and Derivative Transactions, etc. as well as contributing to sound development of Financial Instruments Businesses and protection of investors;
- 偽造若しくは変造の有価証券又は虚偽の記入がある有価証券を行使し、又は行使の目的で人に交付し、若しくは輸入した者は、三月以上十年以下の懲役に処する。
- A person who utters a counterfeit or altered security or security in which a false entry has been made, or who, for the purpose of uttering, delivers to another person or imports such security, shall be punished by imprisonment with work for not less than 3 months but not more than 10 years.
- 第十九条第一項又は第二項の規定に基づく命令の規定による許可を受けないで、同条第一項に規定する支払手段又は証券若しくは貴金属を輸出し、又は輸入した者
- Any person who has imported or exported means of payment or securities, or precious metal prescribed in Article 19, paragraph 1 without obtaining permission pursuant to the provisions of an order pursuant to Article 19, paragraph 1 or 2
- 前条第四項の規定による取引所金融商品市場における有価証券の売買又は市場デリバティブ取引の委託者の優先権は、前項の優先権に対し、優先の効力を有する。
- The priority of a person who entrusted sales and purchase of Securities or Market Transactions of Derivatives in a Financial Instruments Exchange Market under paragraph (4) of the preceding Article shall prevail over the priority under the preceding paragraph.
- 当該有価証券の取得者に交付される当該有価証券に関する情報を記載した書面において、当該有価証券に前号ロの制限が付されている旨の記載がされていること。
- that a statement to the effect that the relevant Securities are subject to a Restriction on Resale is made in the document containing the information on said Securities that is delivered to the acquirer of such Securities; or
- that a statement to the effect that the relevant Securities are subject to the restriction set forth in sub-item (b) of the preceding item is made in the document containing the information on said Securities which is delivered to the acquirer of such Securities; or
- 取引所金融商品市場における有価証券の売買及び市場デリバティブ取引は、当該取引所金融商品市場を開設する金融商品取引所の会員等に限り、行うことができる。
- Only the Member, etc. of the Financial Instruments Exchange which has established the Financial Instruments Exchange Market may conduct sales and purchase of Securities and Market Transactions of Derivatives in said Financial Instruments Exchange Market.
- 第二項、第三項並びに前項において準用する第十七条、第十八条第二項及び第二十一条第三項の規定は、第二十三条の八第二項の有価証券については、適用しない。
- The provisions of paragraphs (2) and (3) and Articles 17, 18(2) and 21(3) as applied mutatis mutandis pursuant to the preceding paragraph shall not apply to Securities referred to in Article 23-8(2).
- 法第二条第五項に規定する有価証券を発行し、又は発行しようとする内閣府令で定める者は、次の各号に掲げる有価証券の区分に応じ、当該各号に定める者とする。
- A person to be specified by Cabinet Office Ordinance who issues or intends to issue the Securities as referred to in Article 2, paragraph (5) of the Act shall be those prescribed in the following items according to the categories of Securities listed in the respective items:
- 株券 当該株券の発行者が会社法(平成十七年法律第八十六号)第百九十九条第一項の規定に基づいて行う当該株券の売付けの申込み又はその買付けの申込みの勧誘
- share certificates: offers to sell and the solicitation of offers to buy the relevant share certificates, by the Issuer of said share certificates pursuant to the provisions of Article 199, paragraph (1) of the Companies Act (Act No. 86 of 2005);
- 株券発行会社は、株券が発行されている株式について株式買取請求があったときは、株券と引換えに、その株式買取請求に係る株式の代金を支払わなければならない。
- If a Company Issuing Share Certificates receives a Share Purchase Demand with respect to shares for which share certificates are issued, the Company must pay the price of the shares relating to such Share Purchase Demand in exchange for the share certificates.
- If a Company Issuing a Share Certificate receives a Share Purchase Demand with respect to shares for which share certificates are issued, the Company must pay the price of the shares relating to such Share Purchase Demand in exchange for the share certificates.
- 有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として、運用財産の運用を行う業務(前項第十五号に掲げる行為を行う業務に該当するものを除く。)
- business of conducting investment of Investment Property (excluding those that fall under the category of the business of conducting the act specified in item (xv) of the preceding paragraph) as an investment in assets other than Securities or rights arising from Derivative Transactions; and
- 第一号に掲げる有価証券(当該有価証券に係る二以上の有価証券の価格に基づき当事者間で取り決めた方法により算出される指数を含む。)に係る店頭デリバティブ取引
- Over-the-Counter Transactions of Derivatives pertaining to Securities listed in item (i) (including indices calculated by the method agreed between the parties based on prices of two or more Securities pertaining to said Securities); and
- 第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利(次に掲げるもの(第二十四条第一項において「有価証券投資事業権利等」という。)を除く。)
- rights set forth in the items of Article 2(2) as those which shall be deemed as Securities under the provisions of Article 2(2) (excluding the following rights (hereinafter referred to as 'Rights in Securities Investment Business, etc.' in Article 24(1)):
- 金額を表示する通貨(当該有価証券に係る金額を表示するものについて単一の通貨で表示することとされている場合に限る。第十七号ロ及び第十八号ロにおいて同じ。)
- the currency in which the amount is indicated (limited to cases where the amount related to the relevant Securities is to be indicated by a single currency; the same shall apply in item (xvii), sub-item (b) and item (xviii), sub-item (b));
- 特定目的信託の受益証券及び法第二条第一項第十七号に掲げる有価証券のうち特定目的信託の受益証券の性質を有するもの 当該有価証券に係る信託の原委託者及び受託者
- the Beneficiary Certificates of a Special Purpose Trust, and the Securities which are listed in Article 2, paragraph (1), item (xvii) of the Act and which have the nature of the Beneficiary Certificates of a Special Purpose Trust: the Originator and trustee of the trust pertaining to said Securities;
- 法第二条第一項第十七号に掲げる有価証券で同項第三号に掲げる有価証券の性質を有するもののうち、前号に規定する特約以外の特約が付されているもの 次に掲げる事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities listed in item (iii) of that paragraph, with special provisions other than the one prescribed in the preceding item: the following matters:
- 前三号に掲げる有価証券以外の有価証券及び第二条第二項の規定により有価証券とみなされる同項第三号及び第四号に掲げる権利であつて政令で定めるもの 次に掲げる行為
- Securities other than those listed in the preceding three items and rights listed in Article 2(2)(iii) and (iv) that are deemed to be Securities under the provisions of Article 2(2) and are specified by a Cabinet Order: the following acts:
- 上場株券等の発行者が外国会社である買付け等のうち、多数の者が当該買付け等に関する事項を知り得る状態に置かれる方法により行われる買付け等として政令で定めるもの
- Purchase, etc. conducted by the Issuer thereof who is a foreign company and by the method specified by a Cabinet Order as that for making available to a large number of persons the matters pertaining to the Purchase, etc.
- 第一項の取引証拠金、第二項の取次証拠金及び第三項の委託証拠金は、内閣府令で定めるところにより、有価証券その他内閣府令で定めるものをもつて充てることができる。
- Securities or other instruments prescribed by a Cabinet Office Ordinance may, pursuant to the provisions of a Cabinet Office Order, be deposited instead of the clearing margin under paragraph (1), broking margin under paragraph (2) and customer margin under paragraph (3).
- 当該売出しに係る有価証券の所有者(その者が当該有価証券を所有している者からその売出しをすることを内容とする契約によりこれを取得した場合には、当該契約の相手方)
- the holder of the Securities for which the Secondary Distribution was made (or, in cases where the holder had acquired the Securities from their previous holder by entering into a contract specifying that the Securities would be sold through Secondary Distribution, the previous holder);
- その募集又は売出しにつき第四条第一項本文若しくは第二項本文又は第二十三条の八第一項本文若しくは第二項の規定の適用を受けた有価証券(前二号に掲げるものを除く。)
- Securities of which Public Offering or Secondary Distribution were subjected to the main clause of Article 4(1) or (2) or the main clause of Article 23-8(1) or (2) (excluding those specified in the preceding two items); or
- 資産流動化法第二条第四項に規定する資産流動化計画の届出日並びに当該資産流動化計画に記載された有価証券の種類及び価額(第一項第二十三号ハに該当する場合に限る。)
- the notification day of the asset securitization plan defined in Article 2, paragraph (4) of the Asset Securitization Act as well as the class and value of the Securities stated in the relevant asset securitization plan (limited to cases falling under paragraph (1), item (xxiii), sub-item (c)).
- 投資信託及び投資法人に関する法律第二条第十一項に規定する投資信託委託会社の第二条第一項第十号に掲げる有価証券に係る収益金、償還金又は解約金の支払に係る業務の代理
- agency service of the business pertaining to payment of earnings, redemption money or cancellation money with regard to Securities listed in Article 2(1)(x) conducted by an investment trust management company defined in Article 2(11) of the Act on Investment Trusts and Investment Corporations;
- 登録金融機関は、有価証券の売買その他の取引又はデリバティブ取引等の取引量に応じ、内閣府令で定めるところにより、金融商品取引責任準備金を積み立てなければならない。
- A Registered Financial Institution shall, pursuant to the provisions of a Cabinet Office Ordinance, set up the financial instruments transaction liability reserve in proportion to the transaction volume of the sales and purchase or other transactions of Securities or Derivative Transactions, etc.
- 前条第一項本文又は第二項本文の規定の適用を受けた有価証券の募集又は売出しにつき前項第二号に掲げる事項を記載した同項の届出書を提出した者(前号に掲げる者を除く。)
- the person who has submitted the statement set forth in the preceding paragraph which contains descriptions on the matters listed in item (ii) of the preceding paragraph for Public Offering or Secondary Distribution of Securities to which the main clause of paragraph (1) or the main clause of paragraph (2) of the preceding Article applied (excluding those specified in the preceding item); or
- デリバティブ取引(有価証券関連デリバティブ取引に該当するものを除く。次号において同じ。)であつて内閣府令で定めるもの(第五号に掲げる業務に該当するものを除く。)
- Derivative Transactions (excluding those that fall under the category of Derivative Securities Transactions; the same shall apply in the following item) that are specified by a Cabinet Office Ordinance (excluding those that fall under the category of the business listed in item (v));
- Derivative Transactions (excluding those that fall under the category of Transactions of Securities-Related Derivatives; the same shall apply in the following item) that are specified by a Cabinet Office Ordinance (excluding those that fall under the category of the business listed in item (v));
- 法第二条第八項第十一号イに規定する内閣府令で定めるものは、有価証券に係る収益その他これに準ずるものの配当率及び割引の方法により発行された有価証券の割引率とする。
- The equivalent specified by Cabinet Office Ordinance, as referred to in Article 2, paragraph (8), item (xi), sub-item (a) of the Act, shall be percentages of the distribution of profit pertaining to Securities or the equivalent thereof, and a discount rate of Securities issued on a discount basis.
- この法律において「受益証券」とは、特定目的信託に係る信託契約に基づく信託の受益権を表示する証券であって、受託者がこの法律の定めるところにより発行するものをいう。
- The term 'Beneficiary Certificate' as used in this Act means a security that represents a beneficial interest in a trust under a trust contract for a Specific Purpose Trust and that is issued by the trustee pursuant to the provisions of this Act.
- 法第二条第一項第十七号に掲げる有価証券で同項第六号に掲げる有価証券の性質を有するもの 出資に係る剰余金の配当、残余財産の分配及び利益を用いて行う出資の消却の方法
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities listed in item (vi) of that paragraph: the payment of dividend of surplus related to a contribution, the distribution of residual assets and the method of cancellation of a contribution by using profits;
- 次に掲げるいずれかの制限(以下この号において「転売制限」という。)が付されている旨が当該有価証券に記載され、当該有価証券の取得者に当該有価証券が交付されること。
- that a statement to the effect that the relevant Securities are subject to any of the following restrictions (hereinafter referred to as a 'Restriction on Resale' in this item) is made thereupon, and that such Securities are delivered to the acquirer thereof;
- that a statement to the effect that the relevant Securities are subject to any of the following restrictions (hereinafter referred to as the 'Restriction on Resale' in this item) is made thereon, and such Securities are to be delivered to the acquirer thereof:
- 有価証券(第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利を除く。)についての同条第八項第一号から第三号まで、第五号、第八号又は第九号に掲げる行為
- acts listed in Article 2(8)(i) to (iii), (v), (viii), or (ix) with regard to Securities (excluding rights listed in the items of Article 2(2) that shall be deemed to be Securities pursuant to the provisions of said paragraph);
- 前項の規定は、同項の会員等から有価証券等清算取次ぎの委託を受けて第百五十六条の七第二項第三号に規定する清算参加者が内閣府令で定める取引を行う場合には、適用しない。
- The provision of the preceding paragraph shall not apply in cases where a Clearing Participant prescribed in Article 156-7(2)(iii), pursuant to the entrustment of Brokerage for Clearing of Securities, etc. by the Member, etc. set forth in the preceding paragraph, conducts the transactions provided by a Cabinet Office Ordinance.
- 第二条第一項第三号、第六号及び第十二号に掲げる有価証券(企業内容等の開示を行わせることが公益又は投資者保護のため必要かつ適当なものとして政令で定めるものを除く。)
- Securities set forth in Article 2(1)(iii), (vi) and (xii) (except those specified by a Cabinet Order as Securities for which disclosure of corporate affairs and other related matters is necessary and appropriate for the public interest or protection of investors.); and
- 日本銀行は、財務省令で定めるところにより、汚染、損傷その他の理由により使用することが困難となった日本銀行券を、手数料を徴収することなく、引き換えなければならない。
- The Bank of Japan shall exchange, without fees, Bank of Japan notes rendered unfit for further circulation due to defacement, mutilation, or other causes, pursuant to an Ordinance of the Ministry of Finance.
- 「債権」とは、定期預金、当座預金、特別当座預金、通知預金、保険証券及び当座勘定残高並びに貸借、入札その他に因り生ずる金銭債権で前各号に掲げられていないものをいう。
- The term 'claims' shall mean time deposit, current deposit, special current deposit, deposit at notice, insurance policies and current account balance, and monetary claims arising from loans, bids or other reasons, which are not listed in any of the preceding items.
- 当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者(金融商品取引業者及び登録金融機関を除く。次号において同じ。)から取得すること。
- acquisition of all or part of the Securities from an Issuer or holder (excluding Financial Instruments Business Operators and Registered Financial Institutions; the same shall apply in the following item) for the purpose of having other persons acquire said Securities; or
- 他の引受幹事金融商品取引業者(元引受契約を締結するに際し、当該有価証券の発行者又は所有者と当該元引受契約の内容を確定させるための協議を行う金融商品取引業者をいう。)
- other Managing Financial Instruments Business Operator for Underwriting (meaning a Financial Instruments Business Operator who holds discussion with the issuer or holder of the Securities for fixing the contents of the Wholesale Underwriting Contract, upon conclusion of the Wholesale Underwriting Contract); and
- 金融商品取引業者は、有価証券の売買その他の取引又はデリバティブ取引等の取引量に応じ、内閣府令で定めるところにより、金融商品取引責任準備金を積み立てなければならない。
- A Financial Instruments Business Operator shall, pursuant to the provisions of a Cabinet Office Ordinance, set up the financial instruments transaction liability reserve in proportion to the transaction volume of the sales and purchase or other transactions of Securities or Derivative Transactions, etc.
- 第一項本文に規定する公開買付けによる株券等の買付け等を行う場合には、前三項の規定その他この節に定めるところによるほか、政令で定める条件及び方法によらなければならない。
- When Purchase, etc. of Share Certificates, etc. is made by means of Tender Offer as required by the main clause of paragraph (1), it shall be implemented pursuant to the conditions and methods specified by a Cabinet Order, in addition to what are prescribed in the preceding three paragraphs and other provisions of this Section.
- 第十六条の規定は、第二十三条の八第一項若しくは第二項の規定又は前項において準用する第十五条第二項若しくは第六項の規定に違反して有価証券を取得させた者について準用する。
- Article 16 shall apply mutatis mutandis to a person who has another person acquire Securities in violation of Article 23-8(1) or (2), or Article 15(2) or (6) as applied mutatis mutandis pursuant to the preceding paragraph.
- この章において「組織再編成交付手続」とは、組織再編成により既に発行された有価証券が交付される場合における当該組織再編成に係る書面等の備置きその他政令で定める行為をいう。
- The term 'Procedures Relating to Securities Delivery for Reorganization' as used in this Chapter means keeping of documents, etc. required relating to a Reorganization for which delivery of existing Securities is made, or other acts specified by a Cabinet Order.
- 第六条の規定は、第一項において準用する第七条、第九条第一項又は第十条第一項の規定により有価証券報告書又はその添付書類について訂正報告書が提出された場合について準用する。
- Article 6 shall apply mutatis mutandis to cases where an amendment report for an Annual Securities Report or documents attached thereto is submitted under Article 7, Article 9(1) or Article 10(1) as applied mutatis mutandis pursuant to paragraph (1).
- 金銭の貸付けその他信用の供与をすることを条件として有価証券の売買の受託等をする行為(投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。)
- act of Accepting an Entrustment, etc. for sales and purchase of Securities on the condition of acceptance of a money loan or other credit granting should be conducted (excluding those specified by a Cabinet Office Ordinance as being less likely to result in insufficient protection of investors);
- 抵当証券及び法第二条第一項第十七号に掲げる有価証券のうち抵当証券の性質を有するもの 抵当証券法第十一条に規定する手続又はこれに準ずる手続により当該有価証券の交付を受けた者
- Mortgage Securities, and the Securities which are listed in Article 2, paragraph (1), item (xvii) of the Act and which have the nature of Mortgage Securities: the person to whom said Securities were delivered through the procedures prescribed in Article 11 of the Mortgage Securities Act or any other procedures equivalent thereto;
- 令第一条の八の四第四号イに規定する内閣府令で定めるところにより算出した数は、当該売付け勧誘等により当該譲渡制限のない海外発行証券を取得し、かつ、現に所有する者の数とする。
- The numbers calculated pursuant to the provisions of a Cabinet Office Ordinance as referred to in Article 1-8-4, item (iv), sub-item (a) of the Cabinet Order shall be the number of persons who have acquired the relevant Foreign Securities With No Restriction on Transfer through the relevant Offers to Sell, etc. and who actually holds such Foreign Securities.
- 前二項の基準日とは、政令で定めるところにより毎月二回以上設けられる日の組合せのうちから特例対象株券等の保有者が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日をいう。
- The Reference Date set forth in the preceding two paragraphs means the date notified by a Holder of Share Certificates, etc. Subject to Special Provisions to the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance, out of the combinations of two or more days of each month designated pursuant to the provisions of a Cabinet Order.
- 第六条の規定は、第一項から第三項まで(これらの規定を第五項において準用する場合を含む。)及び前項の規定により有価証券報告書及びその添付書類が提出された場合について準用する。
- Article 6 shall apply mutatis mutandis to cases where an Annual Securities Report and the documents attached thereto are submitted under paragraph (1) to (3) (including the cases where they are applied mutatis mutandis pursuant to paragraph (5)) and the preceding paragraph.
- 第二条第二項第五号に掲げる権利のうち、当該権利に係る出資対象事業(同号に規定する出資対象事業をいう。)が主として有価証券に対する投資を行う事業であるものとして政令で定めるもの
- among the rights set forth in Article 2(2)(v), those specified by a Cabinet Order as a right to Invested Business (meaning the Invested Business as defined by Article 2(2)(v)) mainly conducted through investment in Securities;
- 第二十四条第一項の規定による有価証券報告書を提出しなければならない会社であつて、上場会社等以外の会社(政令で定めるものを除く。)は、四半期報告書を任意に提出することができる。
- A company which is required to submit Annual Securities Reports set forth in Article 24(1) and is a company (except those specified by a Cabinet Order) other than a Listed Company, etc. may voluntarily submit Quarterly Securities Reports.
- 通常の取引の条件と異なる条件であつて取引の公正を害するおそれのある条件で、当該登録金融機関の親法人等又は子法人等と有価証券の売買その他の取引又は店頭デリバティブ取引を行うこと。
- conducting sales and purchase or other transactions of Securities or Over-the-Counter Transactions of Derivatives with the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Registered Financial Institution under terms and conditions that are different from ordinary terms and conditions and detrimental to the fairness of transactions;
- 有価証券 自己資本比率の算出を行う日(以下この項において「算出日」という。)の公表されている最終価格に基づき算出した価額又はこれに準ずるものとして合理的な方法により算出した価額
- securities: a value calculated based on the closing price which is published on the date to calculate the Capital Adequacy Ratio (hereinafter referred to as the 'Calculation Day' in this paragraph) or a value calculated by a reasonable method equivalent to this;
- 金融商品取引法第三十三条第二項各号(金融機関の有価証券関連業の禁止等)に掲げる有価証券又は取引について、同項各号に定める行為を行う業務(前条第二項の規定により営む業務を除く。)
- Business of carrying out any acts listed in the items of Article 33, paragraph (2) (Prohibition, etc. of Securities Services by Financial Institutions) of the Financial Instruments and Exchange Act for the securities or transactions listed in the items of the that paragraph (excluding the business conducted under the provisions of paragraph (2) of the preceding Article);
- Business of carrying out any acts listed in each item of Article 33(2) (Prohibition, etc. of Securities-Related Business by Financial Institutions) of the Financial Instruments and Exchange Act for the securities or transactions listed in each item of the that paragraph (excluding the business conducted under the provisions of paragraph (2) of the preceding Article); and
- 当該有価証券に表示される権利に係る証券又は証書が令第一条の四各号又は第一条の七の四各号に掲げる有価証券である場合の区分に応じ、令第一条の四各号又は第一条の七の四各号に定める場合
- the cases specified in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order according to the cases where the securities or certificates pertaining to the rights indicated on the relevant Securities are the Securities set forth in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order; and
- 認可協会は、その登録する店頭売買有価証券について、店頭売買有価証券市場におけるその売買を停止し、又は停止を解除したときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- With regard to the Over-the-Counter Traded Securities registered by an Authorized Association, when an Authorized Association has suspended, or cancelled suspension of, sales and purchase of said Over-the-Counter Traded Securities on the Over-the-Counter Securities Market, it shall notify to that effect to the Prime Minister without delay.
- この節において「外国証券業者」とは、金融商品取引業者及び銀行、協同組織金融機関その他政令で定める金融機関以外の者で、外国の法令に準拠し、外国において有価証券関連業を行う者をいう。
- The term 'Foreign Securities Broker' in this Section means a person other than Financial Instruments Business Operators, banks, Cooperative Structured Financial Institution and other financial institutions specified by a Cabinet Order, which is governed by the laws and regulations of a foreign state, and which engages in Securities-Related Business in a foreign state.
- 当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者(金融商品取引業者及び登録金融機関を除く。次号において同じ。)から取得することを内容とする契約
- a contract in which it is agreed that a party will acquire all or part of the Securities from their Issuer or holder (excluding cases where the holder is a Financial Instruments Business Operator or Registered Financial Institution; the same shall apply in the following item) for the purpose of having other persons acquire them; or
- 金融商品取引法施行令(昭和四十年政令第三百二十一号)第二十七条の二各号に掲げる有価証券(金融商品取引法第六十七条の十八第四号に規定する取扱有価証券に該当するものを除く。)の発行者
- Issuers of the securities listed in the items of Article 27-2 of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965) (excluding those falling under the line of securities prescribed in Article 67-18, item (iv) of the Financial Instruments and Exchange Act)
- 第百十六条の規定は、会員等の取引所金融商品市場における有価証券の売買又は市場デリバティブ取引がこの法律又は金融商品取引所の定款で定めるところにより停止された場合について準用する。
- The provision of Article 116 shall apply mutatis mutandis to cases where the sales and purchase of Securities or Market Transactions of Derivatives of a Member, etc. on the Financial Instruments Exchange Market has been suspended pursuant to the provisions of this Act or the articles of incorporation of the Financial Instruments Exchange.
- デリバティブ取引等のうち有価証券関連デリバティブ取引等以外のもの(他の法律の定めるところにより投資の目的をもつて、又は信託契約に基づいて信託をする者の計算において行うものを除く。)
- Derivative Transactions, etc. other than Transactions of Securities-Related Derivatives, etc. (excluding those conducted for the purpose of investment pursuant to the provisions of other Acts or on an account of a person who entrusts based on a trust contract); or
- 第二条第一項第十号及び第十一号に掲げる有価証券(短期投資法人債等を除く。) 同条第八項第一号から第三号までに掲げる行為及び同項第九号に掲げる行為(有価証券の売出しの取扱いを除く。)
- Securities listed in Article 2(1)(x) and (xi) (excluding Short-Term Securities Investment Corporation Debentures, etc.): acts listed in Article 2(8)(i) to (iii) and acts listed in Article 2(8)(ix) (excluding dealing of a Secondary Distribution of Securities);
- 通常の取引の条件と異なる条件であつて取引の公正を害するおそれのある条件で、当該金融商品取引業者の親法人等又は子法人等と有価証券の売買その他の取引又は店頭デリバティブ取引を行うこと。
- conducting sales and purchase or other transactions of Securities or Over-the-Counter Transactions of Derivatives with the Parent Juridical Person, etc. or Subsidiary Juridical Person, etc. of the Financial Instruments Business Operator, etc. under terms and conditions that are different from ordinary terms and conditions and detrimental to the fairness of transactions;
- 適格機関投資家に取得させ、又は売り付ける場合(当該有価証券を募集又は売出しにより取得させ、又は売り付ける時までに当該適格機関投資家から当該目論見書の交付の請求があつた場合を除く。)
- cases where such Securities are acquired by or sold to a Qualified Institutional Investor (excluding cases where the Qualified Institutional Investor requests the Prospectus by the time when such Securities are acquired or sold through Public Offering or Secondary Distribution); or
- 第四条第一項本文又は第二項本文の規定の適用を受けた有価証券の募集又は売出しにつき、第五条第一項第二号に掲げる事項を記載した同項に規定する届出書を提出した者(前号に掲げる者を除く。)
- a person who submitted a statement under Article 5(1) containing descriptions on the matters listed in Article 5(1)(ii) for Public Offering or Secondary Distribution of Securities to which the main clause of Article 4(1) or (2) has applied (excluding those specified in the preceding item).
- 有価証券 連結自己資本比率の算出を行う日(以下この項において「算出日」という。)の公表されている最終価格に基づき算出した価額又はこれに準ずるものとして合理的な方法により算出した価額
- securities: a value calculated based on the closing price which is published on the date (hereinafter referred to as 'Calculation Day' in this paragraph) to calculate the Consolidated Capital Adequacy Ratio or a value calculated by a reasonable method equivalent to it;
- 有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第一号の約束をし、又は第三者に当該約束をさせる行為(当該約束が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of gaining a promise set forth in item (i) of the preceding paragraph from a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or making a third party gain such promise (limited to cases where such an act is conducted as a result of the request made by the customer him/herself or via a third party);
- 有価証券売買取引等につき、金融商品取引業者等又は第三者との間で、前項第二号の約束をし、又は第三者に当該約束をさせる行為(当該約束が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of gaining a promise set forth in item (ii) of the preceding paragraph from a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or having a third party gain such promise (limited to cases where such an act is conducted as a result of the request made by the customer him/herself or via a third party); and
- 前項の規定による処分に係る聴聞において行政手続法第十五条第一項の通知があつた場合における同法第三章第二節の規定の適用については、当該有価証券の発行者は、同項の通知を受けた者とみなす。
- With regard to the application of the provisions of Section 2, Chapter III of the Administrative Procedure Act in cases where the notice under Article 15(1) of said Act has been provided in the hearings pertaining to the disposition under the provision of the preceding paragraph, the Issuer of the relevant Securities shall be deemed as the person who has received the notice under Article 15(1) of said Act.
- 前項の金融商品取引責任準備金は、有価証券の売買その他の取引又はデリバティブ取引等に関して生じた事故による損失の補てんに充てる場合その他内閣府令で定める場合のほか、使用してはならない。
- The financial instruments transaction liability reserve set forth in the preceding paragraph shall not otherwise be used except for appropriation to compensation of a loss incurred by an accident in relation to the sales and purchase or other transactions of Securities or the Derivative Transactions, etc., or for other cases specified by a Cabinet Office Ordinance.
- 法第二条第五項に規定する権利の種類ごとに内閣府令で定める時に有価証券として発行されたものとみなされる内閣府令で定める者は、次の各号に掲げる権利の区分に応じ、当該各号に定める者とする。
- The person to be specified by Cabinet Office Ordinance for each kind of right, prescribed in Article 2, paragraph (5) of the Act, for whom the rights are deemed to be issued as Securities at the time specified by Cabinet Office Ordinance shall be those prescribed in the following items according to the categories of rights listed in the respective items:
- 優先出資証券(法第二条第一項第八号に掲げる優先出資証券をいう。以下この号において同じ。) 優先出資証券に係る利益の配当、残余財産の分配及び利益を用いて行う当該有価証券の消却の方法の内容
- Preferred Equity Securities (meaning preferred equity securities as set forth in Article 2, paragraph (1), item (viii) of the Act; hereinafter the same shall apply in this item): the details of the method of the payment of the dividend of profits related to Preferred Equity Securities, distribution of residual assets, and cancellation of the relevant Securities;
- 抵当証券法第一条第二項の申請があった場合において、同法第五条第二項の嘱託を受けた登記所の登記官が抵当証券を作成したときは、当該登記官は、職権で、抵当証券作成の登記をしなければならない。
- Where an application set forth in Article 1, paragraph (2) of the Mortgage Securities Act was filed with a registry office, and when a registrar of another registry office has prepared mortgage securities as commissioned under Article 5, paragraph (2) of said Act, the registrar of the latter registry office shall, by his/her own authority, make a registration of the preparation of mortgage securities.
- 定款、業務規程及び受託契約準則の規定が法令に適合し、かつ、取引所金融商品市場における有価証券の売買及び市場デリバティブ取引を公正かつ円滑にし、並びに投資者を保護するために十分であること。
- the provisions of the articles of incorporation, the operational rules and the brokerage contract rules conform to laws and regulations, and are sufficient for achieving fair and smooth sales and purchase of Securities and Market Transactions of Derivatives on the Financial Instruments Exchange Market, as well as for protection of investors;
- 原有価証券が令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに掲げる有価証券の区分に応じ、令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに定める要件
- the requirements specified in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order according to the category of cases where the Underlying Securities are the Securities set forth in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order; or
- 社債等振替法の規定により加入者(社債等振替法第二条第三項に規定する加入者をいう。以下同じ。)が当該有価証券に転売制限が付されていることを知ることができるようにする措置がとられていること。
- that measures have been taken that enable the Members (meaning the members as defined in Article 2, paragraph (3) of the Corporate Bonds, etc. Transfer Act; the same shall apply hereinafter) to become aware that a Restriction on Resale has been imposed on the relevant Securities.
- 公益協会は、内閣府令で定めるところにより、上場株券等の取引所金融商品市場外での売買に関する銘柄別の毎日の売買高、最高、最低及び最終の価格その他の事項を内閣総理大臣に報告しなければならない。
- A Public Interest-Type Association shall report the trading volume, highest price, lowest price, closing price and other matters concerning sales and purchase of Listed Share Certificates, etc. conducted outside of Financial Instruments Exchange Markets for each day and for each issue of the Listed Share Certificates, etc. to the Prime Minister, pursuant to the provisions of a Cabinet Office Ordinance.
- この法律において「取引参加者」とは、第百十二条第一項又は第百十三条第一項の規定による取引資格に基づき、取引所金融商品市場における有価証券の売買又は市場デリバティブ取引に参加できる者をいう。
- The term 'Trading Participant' used in this Act means a person who is allowed to participate in the sales and purchase of Securities or Market Transactions of Derivatives in Financial Instruments Exchange Market based on the qualifications for trading granted under Article 112(1) or 113(1).
- 金融商品取引業者(有価証券関連業を行う者に限る。次項において同じ。)は、会社法第七百二条に規定する社債管理者又は担保付社債信託法第二条第一項に規定する信託契約の受託会社となることができない。
- A Financial Instruments Business Operator (limited to those who engage in Securities-Related Business; the same shall apply in the following paragraph) may not become a bond manager prescribed in Article 702 of the Companies Act or trustee company for a trust contract defined in Article 2(1) of the Secured Debenture Trust Act.
- 内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、大量保有報告書に係る株券等の発行者である会社又は参考人に対し、参考となるべき報告又は資料の提出を命ずることができる。
- When the Prime Minister finds it necessary and appropriate for the public interest and protection of investors, he/she may order the company that has issued the Share Certificates, etc. pertaining to a Report of Possession of Large Volume or witnesses to submit reports or materials that will be helpful.
- 前三号に掲げる取引(以下「有価証券関連デリバティブ取引」という。)の媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理又は第三号若しくは前号に掲げる取引の委託の媒介、取次ぎ若しくは代理
- intermediary, brokerage (excluding Brokerage for Clearing of Securities, etc.), or agency service of transactions listed in the preceding three items (hereinafter referred to as 'Transactions of Securities-Related Derivatives') or intermediary, brokerage, or agency service of the entrustment of transactions listed in item (iii) or the preceding item;
- 業務の種別(第二十八条第一項第一号、第二号、第三号イからハまで及び第四号に掲げる行為に係る業務並びに有価証券等管理業務、第二種金融商品取引業、投資助言・代理業並びに投資運用業の種別をいう。)
- Categories of Businesses the person intends to conduct (meaning what category of businesses the person intends to conduct among business comprising of the acts listed in Article 28(1)(i), (ii), (iii)(a) to (c) inclusive, or item (iv), or Securities, etc. Management Business, Type II Financial Instruments Business, Investment Advisory and Agency Business or Investment Management Business);
- その発行する資産対応証券(資産の流動化に関する法律第二条第十一項に規定する資産対応証券をいう。)を適格機関投資家以外の者が取得している特定目的会社(同条第三項に規定する特定目的会社をいう。)
- a Specific Purpose Company (meaning those provided by Article 2(3) of the Act on Securitization of Assets), if Asset Backed Securities (meaning those provided by Article 2(11) of said Act) issued by it are held by persons other than Qualified Institutional Investors;
- 次の各号に掲げる有価証券の発行者は、第四条第一項又は第二項の規定による届出をしたときは、遅滞なく、前条第一項及び第六項の規定による届出書類の写しを当該各号に掲げる者に提出しなければならない。
- The Issuer of Securities set forth in the following items shall submit a copy of the statement set forth in paragraph (1) of the preceding Article and of other documents required under paragraph (6) of the preceding Article to the entity specified in the respective items without delay after the Issuer makes notification under Article 4(1) or (2):
- 組織再編成対象会社株主等が適格機関投資家のみである場合であつて、当該組織再編成発行手続に係る有価証券がその取得者から適格機関投資家以外の者に譲渡されるおそれが少ないものとして政令で定める場合
- in cases where the Shareholders, etc. of the Reorganized Company consist exclusively of Qualified Institutional Investors, if, as specified by a Cabinet Order, it is not likely that Securities pertaining to the Procedures Relating to Securities Issuance for Reorganization will be transferred from any person who acquired them to any other person other than Qualified Institutional Investors; or
- 投資信託及び投資法人に関する法律第二条第十二項に規定する投資法人の第二条第一項第十一号に掲げる有価証券に係る金銭の分配、払戻金若しくは残余財産の分配又は利息若しくは償還金の支払に係る業務の代理
- agency service of the business pertaining to distribution of money, distribution of refunds or residual assets or payment of interest or redemption money with regard to Securities listed in Article 2(1)(xi) conducted by an investment corporation defined in Article 2(12) of the Act on Investment Trusts and Investment Corporations;
- 有価証券の引受人となつた金融商品取引業者は、当該有価証券を売却する場合において、引受人となつた日から六月を経過する日までは、その買主に対し買入代金につき貸付けその他信用の供与をしてはならない。
- A Financial Instruments Business Operator who has become an Underwriter of Securities, upon selling said Securities, shall not conduct money loan or other credit granting to the purchaser of the Securities for the purchase price until six months have elapsed from the day on which the Financial Instruments Business Operator became an Underwriter.
- 投資信託(投資信託及び投資法人に関する法律第二条第三項に規定する投資信託をいう。以下同じ。)及び外国投資信託(同条第二十二項に規定する外国投資信託をいう。以下同じ。)の受益証券 次に掲げる事項
- the beneficiary certificates of an Investment Trust (meaning the Investment Trust as defined in Article 2, paragraph (3) of the Act on Investment Trusts and Investment Corporations) and Foreign Investment Trust (meaning the Foreign Investment Trust as defined in paragraph (22) of that Article): the following matters:
- 前項の場合において、同項の申請を受けた登記所の登記官は、抵当証券を交付したときは抵当証券交付の登記を、同項の申請を却下したときは抵当証券作成の登記の抹消を同項の登記所に嘱託しなければならない。
- In the case referred to in the preceding paragraph, the registrar of the registry office who received the application set forth in said paragraph shall commission the other registry office set forth in said paragraph, if he/she has issued mortgage securities, to make a registration of the issue of mortgage securities, and if he/she has dismissed the application set forth in said paragraph, to cancel the registration of the preparation of mortgage securities.
- 金融商品取引法第二条第十七項(定義)に規定する取引所金融商品市場又は同条第八項第三号ロ(定義)に規定する外国金融商品市場における有価証券の売買の委託の媒介(ハに掲げる行為に該当するものを除く。)
- Intermediation for the entrustment of the purchase and sale of securities on a Financial Instruments Exchange Market as prescribed in Article 2, paragraph (17) (Definitions) of the Financial Instruments and Exchange Act or a Foreign Financial Instruments Market as prescribed in Article 2, paragraph (8), item (iii), sub-item (b) (Definitions) of that Act (excluding acts listed in sub-item (c));
- Intermediary for the entrustment of sales and purchase of securities on Financial Instruments Exchange Markets prescribed in Article 2(17) (Definitions) of the Financial Instruments and Exchange Act or Foreign Financial Instruments Markets prescribed in Article 2(8)(iii)(b) (Definitions) of that Act (excluding acts listed in (c));
- 前二号に掲げるもののほか、当該居住者との間において役員の派遣、長期にわたる原材料の供給その他の財務省令で定める永続的な関係がある外国法人の発行に係る証券の取得又は当該外国法人に対する金銭の貸付け
- In addition to what is listed in the preceding two items, acquisition of securities issued by the foreign corporation, which has a permanent relationship with the resident through dispatch of officers, long-lasting supply of raw materials or others specified by the Ordinance of the Ministry of Finance, or loan of money to the foreign corporation
- 会員等は、取引所金融商品市場における有価証券の売買又は市場デリバティブ取引(有価証券等清算取次ぎを除く。)の受託については、その所属する金融商品取引所の定める受託契約準則によらなければならない。
- With regard to acceptance of entrustment of sales and purchase of Securities or Market Transactions of Derivatives in the Financial Instruments Exchange Market (excluding Broking for Clearing of Securities, etc.), a Member, etc. shall comply with the brokerage contract rules prescribed by the Financial Instruments Exchange to which it belongs.
- 有価証券の売買又はその媒介、取次ぎ若しくは代理であつて、電子情報処理組織を使用して、同時に多数の者を一方の当事者又は各当事者として次に掲げる売買価格の決定方法又はこれに類似する方法により行うもの
- sales and purchase of Securities or intermediary, brokerage or agency service therefor which is conducted through an electronic data processing system, by using any of the following price formation method or other similar method, and in which a large number of persons participate simultaneously as the one party in the transaction or the transaction is conducted between a large number of persons;
- 前三号に掲げる有価証券(当該有価証券に係る二以上の有価証券の価格に基づき当事者間で取り決めた方法により算出される指数を含む。)に係る店頭デリバティブ取引のうち決済方法が差金の授受に限られているもの
- Over-the-Counter Transactions of Derivatives whose settlement is limited to be made by paying or receiving the differences among those pertaining to Securities listed in the preceding three items (including indices calculated by the method agreed between the parties based on prices of two or more Securities pertaining to said Securities).
- 原有価証券が令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに掲げる有価証券である場合の区分に応じ、令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに定める要件
- the requirements specified in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order according to the category of cases where the Underlying Securities are the Securities set forth in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order;
- 消滅株式会社等は、新株予約権証券が発行されている新株予約権について新株予約権買取請求があったときは、新株予約権証券と引換えに、その新株予約権買取請求に係る新株予約権の代金を支払わなければならない。
- If an Absorbed Stock Company, etc. receives a Share Option Purchase Demand with respect to a Share Option for which a Share Option certificate is issued, it shall pay the price of the Share Option relating to such Share Option Purchase Demand in exchange for the Share Option certificate.
- If a Consolidated Stock Company, etc. receives a Share Option Purchase Demand with respect to a Share Option for which a Share Option certificate is issued, it shall pay the price of the Share Option relating to such Share Option Purchase Demand in exchange for the Share Option certificate.
- 金融商品取引業者等は、次に掲げる有価証券(次項の規定により管理する有価証券を除く。)を、確実にかつ整然と管理する方法として内閣府令で定める方法により、自己の固有財産と分別して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall manage the following Securities (excluding the Securities to be managed under the following paragraph) separately from his/her own property by a method specified by a Cabinet Office Ordinance as a method for managing property in a reliable and orderly manner:
- 協会員又は金融商品仲介業者の行う有価証券の売買その他の取引又はデリバティブ取引等につき争いがある場合においては、当事者は、その争いの解決を図るため、認可協会に申し立て、あつせんを求めることができる。
- When there is a dispute pertaining to sales and purchase or other transactions of Securities or Derivative Transactions, etc. conducted by a Member Firm or a Financial Instruments Intermediary Service Provider, any party to the above transactions may file an application for mediation with an Authorized Association, for the purpose of resolving such dispute.
- 定款その他の規則の規定が法令に適合し、かつ、有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業を健全に発展させるとともに、投資者を保護するために十分であること。
- the provisions of the articles of incorporation and other rules conform to laws and regulations, and are sufficient to facilitate fair and smooth sales and purchase or other transactions of Securities as well as Derivative Transactions, etc., and to ensure sound development of Financial Instruments Businesses and protection of investors; and
- 内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、外国証券業者又は外国で投資助言業務若しくは投資運用業を行う者に対し前項の業務に関する報告又は資料の提出を命ずることができる。
- When the Prime Minister finds it necessary and appropriate for the public interests or protection of investors, he/she may order a Foreign Securities Broker or a person who conducts Investment Advisory Business or Investment Management Business in a foreign state to submit a report or materials concerning the business set forth in the preceding paragraph.
- 株券の発行者である会社又はその被支配会社等若しくは関係会社の従業員が、当該株券に対する投資として信託財産を運用することを目的とした信託契約(次に掲げるすべての要件を満たすものに限る。)に基づく買付け
- the purchase made by the employees of the company which is the Issuer of share certificates, or its Controlled Company, etc. or Associated Company under the trust contract with the purpose of investing the trust property as an investment in the relevant share certificates (limited to the trust contracts that satisfy all of the following requirements):
- 金融商品取引所は、この法律及び定款その他の規則に従い、取引所金融商品市場における有価証券の売買及び市場デリバティブ取引を公正にし、並びに投資者を保護するため、自主規制業務を適切に行わなければならない。
- A Financial Instruments Exchange shall properly conduct the Self-Regulation Related Services in accordance with this Act, its articles of incorporation and other rules in order to ensure fair sales and purchase of Securities and Market Transactions of Derivatives on the Financial Instruments Exchange Market, as well as to protect investors.
- 会員等に対して取引所金融商品市場における有価証券の売買又は市場デリバティブ取引の委託をした者は、その委託により生じた債権に関し、当該会員等の信認金について、他の債権者に先立ち弁済を受ける権利を有する。
- A person who has entrusted sales and purchase of Securities or Market Transactions of Derivatives in a Financial Instruments Exchange Market to a Member, etc. shall have the right to receive, in preference over other creditors, payment with regard to claims incurred under such entrustment from the guarantee funds of the Member, etc.
- 第六条の規定は、第一項の規定により自己株券買付状況報告書が提出された場合及び前項において準用する第七条、第九条第一項又は第十条第一項の規定により当該報告書の訂正報告書が提出された場合について準用する。
- Article 6 shall apply mutatis mutandis to cases where a Share Buyback Report is submitted under the preceding paragraph and cases where an amendment report for Share Buyback Report is submitted under Article 7, Article 9(1) and Article 10(1) as applied mutatis mutandis pursuant to the preceding paragraph.
- 金融商品取引所は、有価証券をその売買のため又は金融商品等を市場デリバティブ取引のため上場しようとするときは、その上場しようとする取引所金融商品市場ごとに、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Exchange intends to list Securities for sales and purchase, or to list Financial Instruments, etc. for Market Transactions of Derivatives, it shall, for each Financial Instruments Exchange Market subject to said listing, notify to that effect to the Prime Minister.
- 第百十九条の規定により金融商品取引業者等が顧客から預託を受けた金銭(有価証券関連デリバティブ取引に関して預託を受けたものに限る。)又は第百六十一条の二の規定により金融商品取引業者が顧客から預託を受けた金銭
- the money deposited to the Financial Instruments Business Operator, etc. from a customer (limited to that deposited with regard to Transactions of Securities-Related Derivatives) under Article 119 or money deposited to the Financial Instruments Business Operator, etc. from a customer under Article 161-2;
- 第三十六条、第三十六条の三、第三十六条の四第一項、第三十八条(第一号、第二号及び第六号に係る部分に限る。)及び第四十四条の四の規定は、第五十九条第一項の許可を受けた外国証券業者の引受業務について準用する。
- The provisions of Article 36, Article 36-3, Article 36-4(1), Article 38 (limited to the parts pertaining to items (i), (ii) and (vi)) and Article 44-4 shall apply mutatis mutandis to the Underwriting Business of the Foreign Securities Broker for which the permission under Article 59(1) has been obtained.
- 組織変更をする株式会社は、新株予約権証券が発行されている新株予約権について新株予約権買取請求があったときは、新株予約権証券と引換えに、その新株予約権買取請求に係る新株予約権の代金を支払わなければならない。
- If a Stock Company effecting Entity Conversion receives a Share Option Purchase Demand with respect to a Share Option for which a Share Option certificate is issued, it shall pay the price of the Share Option relating to such Share Option Purchase Demand in exchange for the Share Option certificate.
- 当該有価証券届出書に係る第百九十三条の二第一項に規定する監査証明において、当該監査証明に係る書類について記載が虚偽であり又は欠けているものを虚偽でなく又は欠けていないものとして証明した公認会計士又は監査法人
- the certified public accountant or the auditing firm who certified in the audit certification provided for the Securities Registration Statement under Article 193-2(1) that the documents for which the audit certification was provided do not contain any fake statement or do not lack a required statement despite the existence of the fake statement or the lack of a required statement; and
- 合併後金融商品取引所において、合併により消滅する金融商品取引所の開設している取引所金融商品市場における有価証券の売買及び市場デリバティブ取引に関する業務の承継が円滑かつ適切に行われる見込みが確実であること。
- it is fully expected that the Financial Instruments Exchange Resulting from a Merger will smoothly and appropriately succeed to the business concerning sales and purchase of Securities and Market Transactions of Derivatives on the Financial Instruments Exchange Market established by the Financial Instruments Exchanges dissolved as a result of the merger.
- 同時に多数の者に対し、取引所金融商品市場外での上場株券等の売付け又は買付けの申込みをした場合その他の内閣府令で定める場合 当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項
- when a Member Firm makes, outside of a Financial Instruments Exchange Market, an offer for sales or purchase of the Listed Share Certificates, etc. to a large number of persons simultaneously, or in other cases specified by a Cabinet Office Ordinance: the kinds, issues, prices or other matters specified by a Cabinet Office Ordinance pertaining to the Securities for which the offer for sales or purchase is made.
- in cases where the member makes, outside of Financial Instruments Exchange Markets, an offer for sales and purchase of Listed Share Certificates, etc. to a large number of persons simultaneously, or in other cases specified by a Cabinet Office Ordinance: the kinds, issues, prices, or volumes, or other matters specified by a Cabinet Office Ordinance pertaining to the Listed Share Certificates, etc. for which the offer for sales and purchase is made.
- 外国証券業者は、国内にある者を相手方として第二十八条第八項各号に掲げる行為を行つてはならない。ただし、金融商品取引業者のうち、有価証券関連業を行う者を相手方とする場合その他政令で定める場合は、この限りでない。
- A Foreign Securities Broker shall not conduct any acts listed in the items of Article 28(8) to a person in Japan as the counterparty; provided, however, that this shall not apply to cases where a Foreign Securities Broker conducts said acts to a Financial Instruments Business Operator engaged in Securities-Related Business as the counterparty, or to any other cases specified by a Cabinet Order.
- 前号に掲げる場合及びイに掲げる場合以外の場合(政令で定める要件に該当する場合を除く。)であつて、当該組織再編成発行手続に係る有価証券がその取得者から多数の者に譲渡されるおそれが少ないものとして政令で定める場合
- in cases other than the case specified in the preceding item (i) or in (a) above (excluding the cases where the requirements specified by a Cabinet Order are satisfied), if, as specified by a Cabinet Order, it is not likely that Securities pertaining to the Procedures Relating to Securities Issuance for Reorganization will be transferred from any person who acquired them to a large number of persons.
- 前項の規定による処分に係る聴聞において行政手続法第十五条第一項の通知があつた場合における同法第三章第二節の規定の適用については、前項の金融商品等のうち、有価証券の発行者は、同条第一項の通知を受けた者とみなす。
- With regard to the application of the provisions of Section 2, Chapter III of the Administrative Procedure Act in cases where the notice under Article 15(1) of said Act has been provided in the hearings pertaining to the disposition under the preceding paragraph, the Issuer of Securities, from among the Financial Instruments set forth in the preceding paragraph, shall be deemed as the person who has received the notice under Article 15(1) of said Act.
- 合併後金融商品取引所の定款、業務規程及び受託契約準則の規定が法令に適合し、かつ、取引所金融商品市場における有価証券の売買及び市場デリバティブ取引を公正かつ円滑にし、並びに投資者を保護するために十分であること。
- the provisions of the articles of incorporation, operational rules and brokerage contract rules of the Financial Instruments Exchange Resulting from a Merger conform to laws and regulations, and are sufficient for achieving fair and smooth sales and purchase of Securities and Market Transactions of Derivatives on the Financial Instruments Exchange Market, as well as for the protection of investors;
- 認可金融商品取引業協会(以下この章において「認可協会」という。)は、有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的とする。
- An Authorized Financial Instruments Firms Association (hereinafter referred to as an 'Authorized Association' in this Chapter) aims to ensure fair and smooth sales and purchase or other transactions of Securities and Derivative Transactions, etc. and to contribute to the sound development of Financial Instruments Businesses and protection of investors.
- 外国証券業者又は外国で投資助言業務若しくは投資運用業を行う者は、第一項の施設若しくは業務を廃止したとき、又は同項の規定により届け出た事項を変更したときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a Foreign Securities Broker or a person who conducts the Investment Advisory Business or Investment Management Business in a foreign state has abolished the institution or the business set forth in paragraph (1), or when it has changed the matters notified under the provisions of said paragraph, it shall notify to that effect to the Prime Minister without delay.
- 直近日における当該組合契約、匿名組合契約若しくは有限責任事業組合契約又は外国の法令に基づくこれらに類する契約に係る出資対象事業により業務執行組合員等として当該法人が保有する有価証券の残高が十億円以上であること。
- that the balance of the Securities which said juridical person, as an Operating Partner, etc., holds under the Business Subject to Investment pertaining to said Partnership Contract, Silent Partnership Contract or Limited Liability Partnership Agreement or a contract under the laws and regulations of a foreign state which is similar to any of the aforementioned contracts, as of the Latest Date, is one billion yen or more; and
- 直近日における当該組合契約、匿名組合契約若しくは有限責任事業組合契約又は外国の法令に基づくこれらに類する契約に係る出資対象事業により業務執行組合員等として当該個人が保有する有価証券の残高が十億円以上であること。
- that the balance of the Securities which said individual, as an Operating Partner, etc., holds under the Business Subject to Investment pertaining to said Partnership Contract, the Silent Partnership Contract or the Limited Liability Partnership Agreement or a contract under the laws and regulations of foreign states which is similar to any of the aforementioned contracts, as of the Latest Date, is one billion yen or more; and
- 次に掲げる契約を締結し、当該契約に基づき、金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、金銭その他の財産の運用(その指図を含む。以下同じ。)を行うこと。
- conclusion of the following contract, and investment (including instructions of investment; the same shall apply hereinafter) of money or other properties in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments under such a contract;
- 法第二条第一項第十七号に掲げる有価証券で第一号から第十号までに掲げる有価証券の性質を有するもの 当該有価証券が有する第一号から第十号までに掲げる有価証券の性質の区分に応じ、それぞれ第一号から第十号までに定める事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities listed in items (i) to (x) inclusive: the matters specified respectively in items (i) to (x) inclusive according to the category of the nature of the Securities listed in items (i) to (x) inclusive held by the relevant Securities;
- 法第二条第一項第十八号に規定する内閣府令で定めるものは、外国の者の発行する証券又は証書で銀行業を営む者その他の金銭の貸付けを業として行う者の貸付債権を信託する信託の受益権又はこれに類する権利を表示するものとする。
- The securities or certificates specified by Cabinet Office Ordinance, as referred to in Article 2, paragraph (1), item (xviii) of the Act, shall be securities or certificates which have been issued by a foreign person, and which indicate the beneficial interest of a trust in which loan claims held by a person engaged in banking services or by any other person who grants money loans as a part of business are entrusted, or which indicate any other rights similar thereto.
- 銀行、協同組織金融機関その他政令で定める金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務を行おうとするときは、内閣総理大臣の登録を受けなければならない。
- When a bank, Cooperative Structured Financial Institution, or other financial institution specified by a Cabinet Order intends to conduct any of the following acts in the course of trade, or intends to conduct Investment Advisory and Agency Business or Securities, etc. Management Business, it shall obtain registration from the Prime Minister:
- 何人も、第四条第一項本文若しくは第二項本文の規定の適用を受ける有価証券又は既に開示された有価証券の募集又は売出しのために、虚偽の記載があり、又は記載すべき内容の記載が欠けている第一項の目論見書を使用してはならない。
- No person shall use a Prospectus referred to in paragraph (1) which contains any fake statement or lacks any statement that should be stated, for the purpose of Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4(1) or the main clause of Article 4(2) or Already Disclosed Securities.
- 貨幣、紙幣又は銀行券を収得した後に、それが偽造又は変造のものであることを知って、これを行使し、又は行使の目的で人に交付した者は、その額面価格の三倍以下の罰金又は科料に処する。ただし、二千円以下にすることはできない。
- A person who, after acquiring a coin, bank note or bill, utters or passes it to another for the purpose of uttering thereof, knowing that it is counterfeit or altered, shall be punished by a fine or petty fine of not more than three times the face value thereof; provided, however, that the minor fine shall not be less than 2,000 yen.
- 前項の規定により公開買付けに係る買付け等の期間を延長しなければならない場合において、当該公開買付者は、当該延長しなければならない期間の末日までの間は、当該公開買付けに係る株券等の受渡しその他の決済を行つてはならない。
- In cases where extension of the period for Purchase, etc. for a Tender Offer is required under the preceding paragraph, the Tender Offeror shall not make transfer of the Share Certificates, etc. pertaining to the Tender Offer or conduct other settlement procedures of the Tender Offer before the last day of the period to be extended.
- 有価証券売買取引等につき、当該有価証券等について生じた顧客の損失の全部若しくは一部を補てんし、又はこれらについて生じた顧客の利益に追加するため、当該顧客又は第三者に対し、財産上の利益を提供し、又は第三者に提供させる行為
- an act of providing property benefit to a customer or a third party or making a third party provide it to a customer, with regard to the Sales and Purchase or Other Transaction of Securities, etc., in order to compensate for the whole or part of a loss incurred by the customer from the relevant Securities, etc. or make an addition to the profit accrued to the customer from such Securities, etc.
- 金融商品取引業者がその一般顧客の計算において他の金融商品取引業者と対象有価証券関連取引をする場合には、前項の規定にかかわらず、当該金融商品取引業者を当該他の金融商品取引業者の一般顧客とみなして、この章の規定を適用する。
- Notwithstanding the provision of the preceding paragraph, the provisions of this Chapter shall apply to cases where a Financial Instruments Business Operator conducts a Subject Securities-Related Transactions with another Financial Instruments Business Operator for the account of a General Customer, by deeming said Financial Instruments Business Operator to be a General Customer of said other Financial Instruments Business Operator.
- 有価証券の発行者である会社は、前項において準用する第七条又は第十条第一項の規定により有価証券報告書の記載事項のうち重要なものについて訂正報告書を提出したときは、政令で定めるところにより、その旨を公告しなければならない。
- When a company which is the Issuer of Securities submits an amendment report with regard to any description on important matters stated in its Annual Securities Report under Article 7 or Article 10(1) as applied mutatis mutandis pursuant to the preceding paragraph, it shall give a public notice to that effect pursuant to the provisions of a Cabinet Order.
- 非居住者預金契約等 法第二十一条第三項第一号に規定する非居住者との間の預金契約で政令で定めるもの、非居住者との間の金銭の貸借契約又は外国公社債等若しくは流動化証券の非居住者からの取得若しくは非居住者に対する譲渡をいう。
- Deposit contract, etc. with a non-resident: Meaning a deposit contract with a non-resident prescribed in Article 21, paragraph (3), item (i) of the Act, which is specified by Cabinet Order, a monetary loan contract with a non-resident or the acquisition of the foreign public or corporate bonds, etc. or liquid securities from a non-resident or negotiation thereof to a non-resident
- 金融商品取引業者等は、顧客の計算において自己が占有する有価証券又は顧客から預託を受けた有価証券を担保に供する場合又は他人に貸し付ける場合には、内閣府令で定めるところにより、当該顧客から書面による同意を得なければならない。
- A Financial Instruments Business Operator, etc. shall, when furnishing as security the Securities possessed by him/her based on a customer's account or Securities deposited to him/her from a customer or loaning such Securities to another person, obtain written consent from the customer pursuant to the provisions of a Cabinet Office Ordinance.
- 組織変更後株式会社金融商品取引所の定款、業務規程及び受託契約準則の規定が法令に適合し、かつ、取引所金融商品市場における有価証券の売買及び市場デリバティブ取引を公正かつ円滑にし、並びに投資者を保護するために十分であること。
- the provisions of the articles of incorporation, the operational rules and the brokerage contract rules of the Stock Company-Type Financial Instruments Exchange after Entity Conversion conform to laws and regulations, and are sufficient for achieving fair and smooth sales and purchase of Securities and Market Transactions of Derivatives on the Financial Instruments Exchange Market, as well as for protection of investors;
- 当該者に係る第一項第二号に掲げる事項に関する情報が既に公衆に広範に提供されているものとして、その者が発行者である有価証券で既に発行されたものの取引所金融商品市場における取引状況等に関し内閣府令で定める基準に該当すること。
- the person must satisfy the criteria on the state of transactions of Securities already issued by the person in the relevant Financial Instruments Exchange Market and other matters for regarding information on the matters listed in item (ii) of paragraph (1) pertaining to the person as being widely available to the public specified by a Cabinet Office Ordinance.
- 金融商品取引所は、その開設する取引所金融商品市場ごとに、有価証券の売買又は市場デリバティブ取引を臨時に開始し若しくは終了し、又は停止し若しくは停止を解除したときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Exchange has extraordinarily started or ended, or suspended sales and purchase of Securities or Market Transactions of Derivatives or cancelled such suspension, it shall notify to that effect to the Prime Minister, for each Financial Instruments Exchange Market established by said Financial Instruments Exchange, without delay.
- 当該有価証券に表示される権利が令第一条の八の二第一号及び第二号に掲げる有価証券以外の有価証券であって、当該有価証券及び当該有価証券と同一種類の他の有価証券が法第二十四条第一項各号に掲げる有価証券のいずれにも該当しない場合
- cases where the rights indicated on the relevant Securities are Securities other than the Securities set forth in Article 1-8-2, items (i) and (ii) of the Cabinet Order, and where the relevant Securities and other Securities of the same class as the relevant Securities do not fall under any of the Securities set forth in the items of Article 24, paragraph (1) of the Act;
- 買付け等の価格、買付予定の株券等の数、買付け等の期間(前項後段の規定により公告において明示した内容を含む。)、買付け等に係る受渡しその他の決済及び公開買付者が買付け等に付した条件(以下この節において「買付条件等」という。)
- the price for Purchase, etc., the Number of Share Certificates, etc. Planned to be Purchased, the period of Purchase, etc. (including the statement included in the public notice under the second sentence of the preceding paragraph), the transfer and other settlement procedures and other terms of Purchase, etc. set by the Tender Offeror (hereinafter collectively referred to as the 'Terms of Purchase, etc.' in this Section);
- 当該有価証券に表示される権利に係る証券又は証書が令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに掲げる有価証券の区分に応じ、令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに定める要件
- the requirements specified in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order according to the cases where the securities or certificates pertaining to the rights indicated on the relevant Securities are the Securities set forth in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order; or
- 金融商品取引所は、売買のため上場した有価証券又は市場デリバティブ取引のため上場した金融商品等の上場を廃止しようとするときは、その上場を廃止しようとする取引所金融商品市場ごとに、その旨を内閣総理大臣に届け出なければならない。
- When a Financial Instruments Exchange intends to delist the Securities listed for the purpose of sales and purchase or the Financial Instruments, etc. listed for the purpose of Market Transactions of Derivatives, it shall notify to that effect to the Prime Minister, for each Financial Instruments Exchange Market subject to said delisting.
- 投資者保護基金(以下この章及び附則において「基金」という。)は、第七十九条の五十六第一項の規定による一般顧客に対する支払その他の業務を行うことにより投資者の保護を図り、もつて証券取引に対する信頼性を維持することを目的とする。
- The purpose of an Investor Protection Fund (hereinafter referred to as a 'Fund' in this Chapter and the Supplementary Provisions) is to aim at the protection of investors through payment to General Customers under the provision of Article 79-56(1) or other business, thereby maintaining the credibility of transactions of securities.
- 金融商品取引業に係る取引に関し、一般顧客の計算に属する有価証券又は金融商品取引業者が一般顧客から預託を受けた有価証券(第一号に規定する有価証券、契約により金融商品取引業者が消費できる有価証券その他政令で定める有価証券を除く。)
- the Securities belonging to the account of a General Customer or Securities deposited to a Financial Instruments Business Operator from a General Customer (excluding Securities prescribed in item (i), Securities that a Financial Instruments Business Operator may use under a contract, and other Securities specified by a Cabinet Order), with regard to a transaction pertaining to Financial Instruments Business; and
- 第百十五条第一項の規定は、第一項の取引証拠金(内閣府令で定めるものに限る。)について準用する。この場合において、同条第一項中「有価証券の売買又は市場デリバティブ取引」とあるのは、「市場デリバティブ取引」と読み替えるものとする。
- Article 115(1) shall apply mutatis mutandis to the clearing margin under paragraph (1) (limited to those specified by a Cabinet Office Ordinance). In this case, the term 'sales and purchase of Securities or Market Transactions of Derivatives' in Article 115(1) shall be deemed to be replaced with 'Market Transactions of Derivatives'.
- 当該有価証券に表示される権利が令第一条の五の二第二項第一号及び第二号に掲げる有価証券以外の有価証券であって、当該有価証券及び当該有価証券と同一種類の他の有価証券が法第二十四条第一項各号に掲げる有価証券のいずれにも該当しない場合
- cases where the rights indicated on the relevant Securities are Securities other than the Securities set forth in Article 1-5-2, paragraph (2), items (i) and (ii) of the Cabinet Order, and where the relevant Securities and other Securities of the same class as the relevant Securities do not fall under any of the Securities set forth in the items of Article 24, paragraph (1) of the Act; or
- 権利に関する登記の抹消は、登記上の利害関係を有する第三者(当該登記の抹消につき利害関係を有する抵当証券の所持人又は裏書人を含む。以下この条において同じ。)がある場合には、当該第三者の承諾があるときに限り、申請することができる。
- An application for cancellation of a registration of a right, if there is any third party who has an interest in the registration (including the holder or endorser of the mortgage securities who has an interest in the cancellation of the registration; hereinafter the same shall apply in this Article), may be filed only when such third party gives consent.
- 令第一条の七の三第六号に規定する内閣府令で定める事項は、譲渡制限のない海外発行証券(同条第五号に規定する譲渡制限のない海外発行証券をいう。以下この項並びに第十三条の七第九項及び第十項において同じ。)に関する次に掲げる事項とする。
- The matters specified by Cabinet Office Ordinance, referred to in Article 1-7-3, item (vi) of the Cabinet Order, shall be the following matters related to Foreign Securities With No Restrictions on Transfer (meaning the Foreign Securities With No Restrictions on Transfer as prescribed in item (v) of that Article; hereinafter the same shall apply in this paragraph and Article 13-7, paragraphs (9) and (10)):
- 累積投資契約(金融商品取引業者(有価証券等管理業務を行う者に限る。)が顧客から金銭を預かり、当該金銭を対価としてあらかじめ定めた期日において当該顧客に有価証券を継続的に売り付ける契約をいう。)の締結(内閣府令で定めるものに限る。)
- conclusion of a Contract for Cumulative Investment (meaning a contract wherein a Financial Instruments Business Operator (limited to those who engage in Securities, etc. Management Business) receives deposit money from a customer and sells Securities to that customer continuously on dates designated in advance while receiving consideration from that money) (limited to those specified by a Cabinet Office Ordinance);
- 所有権に関する仮登記に基づく本登記は、登記上の利害関係を有する第三者(本登記につき利害関係を有する抵当証券の所持人又は裏書人を含む。以下この条において同じ。)がある場合には、当該第三者の承諾があるときに限り、申請することができる。
- An application for a definitive registration based on a provisional registration relating to ownership, where there is any third party who has an interest in the definitive registration (including the holder or endorser of the mortgage securities who has an interest in the definitive registration; hereinafter the same shall apply in this Article), may be filed only when such third party gives consent.
- 消滅株式会社等は、新株予約権付社債券が発行されている新株予約権付社債に付された新株予約権について新株予約権買取請求があったときは、新株予約権付社債券と引換えに、その新株予約権買取請求に係る新株予約権の代金を支払わなければならない。
- If an Absorbed Stock Company, etc. receives a Share Option Purchase Demand with respect to a Share Option attached to a Bond with a Share Option for which a certificate for a Bond with a Share Option is issued, it shall pay the price of the Share Option relating to such Share Option Purchase Demand in exchange for such certificate for a Bond with a Share Option.
- If a Consolidated Stock Company, etc. receives a Share Option Purchase Demand with respect to a Share Option attached to a Bond with a Share Option for which a certificate for a Bond with a Share Option is issued, it shall pay the price of the Share Option relating to such Share Option Purchase Demand in exchange for such certificate for Bond with Share Option.
- 証券専門関連業務を営むもの(イ、ロ及びハに掲げるものを除く。) 当該会社の議決権について、当該銀行の証券子会社等が合算して、当該銀行又はその子会社(証券子会社等を除く。)が合算して保有する当該会社の議決権の数を超えて保有しているもの
- A company that engages in Specialized Securities Services (excluding those falling under the category listed in sub-items (a), (b) and (c)): cases where the total voting rights held in the company by the Bank's Securities Subsidiary Companies, etc. exceed the total voting rights held therein by the Bank and its Subsidiary Companies (excluding the Securities Subsidiary Companies, etc.);
- Companies which conduct Specialized Securities-Related Business (excluding those falling under the category listed in (a), (b) and (c)): limited to the case where, with regard to voting rights of the company, the total voting rights held by the Bank's Securities Subsidiary Companies, etc. exceeds the total voting rights held by the Bank and its Subsidiary Companies (excluding the Securities Subsidiary Companies, etc.);
- 当該有価証券に表示される権利に係る証券又は証書が令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに掲げる有価証券である場合の区分に応じ、令第一条の七第二号イからハまで又は第一条の八の四第三号イからハまでに定める要件
- the requirements specified in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order according to the cases where the securities or certificates pertaining to the rights indicated on the relevant Securities are the Securities set forth in Article 1-7, item (ii), sub-items (a) to (c) inclusive or Article 1-8-4, item (iii), sub-items (a) to (c) inclusive of the Cabinet Order; and
- 前項の規定による通知を受けた報告書提出外国会社は、第一項の規定にかかわらず、同項の規定による有価証券報告書を、当該通知があつた日を起算日として公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内に提出しなければならない。
- Notwithstanding the provision of paragraph (1), a Reporting Foreign Company, when receiving a notice made under the preceding paragraph, shall submit an Annual Securities Report set forth in paragraph (1) within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the day on which the notice is made.
- 組織変更をする株式会社は、新株予約権付社債券が発行されている新株予約権付社債に付された新株予約権について新株予約権買取請求があったときは、新株予約権付社債券と引換えに、その新株予約権買取請求に係る新株予約権の代金を支払わなければならない。
- If a Stock Company effecting Entity Conversion receives a Share Option Purchase Demand with respect to a Share Option attached to a Bond with a Share Option for which a certificate for a Bond with a Share Option is issued, it shall pay the price of the Share Option relating to such Share Option Purchase Demand in exchange for such certificate for a Bond with a Share Option.
- 協会員(第一号から第三号までに掲げる場合にあつては、店頭売買有価証券市場を開設する認可協会の協会員に限る。)は、次の各号に掲げる場合において当該各号に定める事項を、内閣府令で定めるところにより、その所属する認可協会に報告しなければならない。
- A Member Firm (in cases where any of the items (i) to (iii) applies, limited to a Member Firm of an Authorized Association which establishes an Over-the-Counter Securities Market) shall report the matter listed in each of the following items in the respective case specified therein to the Authorized Association to which it belongs, pursuant to the provisions of a Cabinet Office Ordinance:
- 既に、前項本文に規定する事項を記載した有価証券報告書又は第二十四条の四の七第一項若しくは第二項の規定による四半期報告書のうち同条第一項に規定する事項を記載したもの若しくは第二十四条の五第一項に規定する事項を記載した半期報告書を提出している者
- a person who has already submitted an Annual Securities Report which contains descriptions on the matters set forth in the main clause of the preceding paragraph, or a Quarterly Securities Report which contains descriptions on the matters set forth in Article 24-4-7(1) under Article 24-4-7(1) or (2) or a Semiannual Securities Reports which contains descriptions on the matters set forth in Article 24-5(1); and
- その権利の帰属が社債、株式等の振替に関する法律の規定により振替口座簿の記載又は記録により定まるものとされる外国法人の発行する債券(新株予約権付社債券の性質を有するものを除く。)に表示されるべき権利のうち、次に掲げる要件のすべてに該当するもの
- Of the rights to be indicated in bond certificates issued by foreign juridical persons for which vesting of the rights is to be decided based on the entry or record in the transfer account registry pursuant to the provisions of the Act on Transfer of Corporate Bonds, Shares, etc. (excluding those having a nature of corporate bond certificates with share options), those that satisfy all of the following requirements:
- Of the rights to be indicated in debentures issued by foreign juridical persons for which vesting of the rights is to be decided based on the entry or record in the transfer account registry pursuant to the provisions of the Act on Transfer of Bonds, Shares, etc. (excluding those having a nature of bonds with share warrant), those that satisfy all of the following requirements:
- 金融商品仲介業者は、いかなる名目によるかを問わず、その行う金融商品仲介業に関して、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品仲介業者と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。
- A Financial Instruments Intermediary Service Provider, for any reason, shall not receive from a customer any deposit of money or Securities with regard to its Financial Instruments Intermediary Service, or have the person specified by a Cabinet Order as having a close relationship with said Financial Instruments Intermediary Service Provider deposit the customer's money or Securities.
- 公開買付者は、公開買付期間の末日の翌日に、政令で定めるところにより、当該公開買付けに係る応募株券等の数その他の内閣府令で定める事項を公告し、又は公表しなければならない。ただし、第二十七条の十一第二項の規定により公告した場合は、この限りでない。
- A Tender Offeror shall, pursuant to the provisions of a Cabinet Order, give public notice of, or publicly announce, the number of the Share Certificates, etc. Offered to Sell and other matters specified by a Cabinet Office Ordinance on the day following the last day of the Tender Offer Period; provided, however, that this shall not apply to cases where the public notice under Article 27-11(2) has been given.
- 当該有価証券届出書を提出した会社のその提出の時における役員(取締役、会計参与、監査役若しくは執行役又はこれらに準ずる者をいう。第百六十三条から第百六十七条までを除き、以下同じ。)又は当該会社の発起人(その提出が会社の成立前にされたときに限る。)
- a person who, at the time of submission of the Securities Registration Statement, is an Officer (meaning a director, accounting advisor, company auditor or executive officer, or a person who can be regarded as equivalent thereto; the same shall apply hereinafter, except in Article 163 to Article 167) of the company having submitted the Securities Registration Statement, or an incorporator of the company (limited to cases where the Securities Registration Statement was submitted before the establishment of the company);
- 新法第十九条第三項の規定による輸出又は輸入に係る届出の対象となる同条第一項に規定する支払手段又は証券若しくは貴金属を施行日に輸出し、又は輸入しようとする居住者又は非居住者は、施行日の前日において、同条第三項の規定の例により届け出ることができる。
- The method of payment prescribed in Article 19, paragraph (1) of the New Act which is subject to notification pertaining to import or export under paragraph (3) of the said Article, or a resident or a non-resident who intends to import or export securities or precious metals on the date of enforcement, may give notification in accordance with the provision of paragraph (3) of the said Article as on the previous day of the date of enforcement.
- 外国金融商品取引所参加者(外国金融商品取引所入出力装置を使用した外国金融商品市場における有価証券の売買及び外国市場デリバティブ取引(以下「外国市場取引」という。)を行う者をいう。以下同じ。)に外国市場取引を行わせる外国金融商品市場の種類及び名称
- the types and names of the Foreign Financial Instruments Market in which the Participants of Foreign Financial Instruments Exchange (meaning a person who conducts sales and purchase of Securities and Foreign Market Derivatives Transactions on a Foreign Financial Instruments Market, using the Input/Output Device for Foreign Financial Instruments Exchange (hereinafter referred to as the 'Foreign Market Transactions'; the same shall apply hereinafter)) conduct Foreign Market Transactions;
- 合併により消滅した金融商品取引所の開設していた取引所金融商品市場において成立した有価証券の売買及び市場デリバティブ取引であつて決済を結了していないものは、合併後金融商品取引所の開設する取引所金融商品市場において同一の条件で成立した取引とみなす。
- The sales and purchase of Securities and Market Transactions of Derivatives closed on a Financial Instruments Exchange Market established by a Financial Instruments Exchange extinguished as a result of a merger of which settlements have not been completed shall be deemed to have been closed on the Financial Instruments Exchange Market established by the Financial Instruments Exchange Resulting from a Merger under the same conditions.
- 第二項の場合において、その賠償の責めに任ずべき者は、その請求権者が受けた損害の額の全部又は一部が、当該書類の虚偽記載等によつて生ずべき当該有価証券の値下り以外の事情により生じたことを証明したときは、その全部又は一部については、賠償の責めに任じない。
- In the case referred to in paragraph (2), when the person liable for damages proves that all or part of the damages sustained by the person who is entitled to claim damages was caused by any reason other than the decline in value of the Securities that should arise from the Fake Statement, etc. in the document, he/she shall not be liable for that all or part of the damages.
- 前条第一項に定める発行予定期間を経過する日前において発行予定額全額の有価証券の募集又は売出しが終了したときは、発行登録者は、内閣府令で定めるところによりその旨を記載した発行登録取下届出書を内閣総理大臣に提出して、発行登録を取り下げなければならない。
- When the Public Offering or Secondary Distribution is completed for all of the Planned Amount of Issue of the Securities before the day when the Planned Issue Period set forth in paragraph (1) of the preceding Article is to elapse, the Shelf Registration Holder shall withdraw the Shelf Registration by submitting a written withdrawal of Shelf Registration stating to that effect pursuant to the provisions of a Cabinet Office Ordinance to the Prime Minister.
- 銀行等、証券会社及び金融先物取引業者は、前項第五号、第十号又は第十一号に掲げる資本取引の媒介、取次ぎ又は代理をしたときは、その都度、政令で定めるところにより、当該資本取引の内容、実行の時期その他の政令で定める事項を財務大臣に報告しなければならない。
- When the Banks, etc., securities corporations and financial futures traders have acted as an intermediary, agency or agent for capital transactions listed in item 5, 10 or 11 of the preceding paragraph, they shall report, pursuant to the provisions of Cabinet Order, to the Minister of Finance the content of the capital transactions, the time of conducting the capital transactions and other matters specified by Cabinet Order on a case-by-case basis.
- 金融商品取引所は、その開設する取引所金融商品市場ごとに、その上場する金融商品等について、当該取引所金融商品市場における有価証券の売買又は市場デリバティブ取引を停止し、又は停止を解除したときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
- With regard to the Financial Instruments, etc. listed by a Financial Instruments Exchange, if the Financial Instruments Exchange has suspended, or cancelled suspension of, sales and purchase of Securities or Market Transactions of Derivatives on said Financial Instruments Exchange Market, it shall notify to that effect to the Prime Minister without delay, for each Financial Instruments Exchange Market established by said Financial Instruments Exchange.
- 認可協会は、店頭売買有価証券市場を開設しようとするときは、その規則において前条第一項の規定による登録及び店頭売買有価証券に関し、次に掲げる事項を定め、内閣総理大臣の認可を受けなければならない。当該規則を変更し、又は廃止しようとするときも、同様とする。
- When an Authorized Association intends to establish an Over-the-Counter Securities Market, it shall stipulate in its rules the following matters with regard to the registration under paragraph (1) of the preceding Article and Over-the-Counter Traded Securities, and obtain an authorization from the Prime Minister. The same shall apply to cases where the Authorized Association intends to change or abolish said rules:
- 前項の規定は、金融商品取引業者等又は金融商品仲介業者が、この法律の定めるところに従つて有価証券の売買若しくは市場デリバティブ取引(取引所金融商品市場によらないで行われるものを除く。)又はこれらの取引の媒介、取次ぎ若しくは代理を行う場合には、適用しない。
- The provision of the preceding paragraph shall not apply to the cases where a Financial Instruments Business Operator, etc. or a Financial Instruments Intermediary Service Provider conducts sales and purchase of Securities or Market Transactions of Derivatives (excluding transactions conducted outside the Financial Instruments Exchange Markets), or intermediary, brokerage or agency services for these transactions pursuant to the provisions of this Act.
- 前項本文の規定の適用を受ける少人数向け勧誘等を行う者は、同項本文に規定する有価証券を当該少人数向け勧誘等により取得させ、又は売り付ける場合には、あらかじめ又は同時にその相手方に対し、同項の規定により告知すべき事項を記載した書面を交付しなければならない。
- A person who makes a Solicitation for Small Number of Investors, etc. to which the main clause of the preceding paragraph is applicable shall, when having another person acquire Securities referred to in the main clause of the preceding paragraph or selling such Securities to another person through the Solicitation for Small Number of Investors, etc., deliver a document containing a description on the matters to be notified under the preceding paragraph to the other person in advance of, or at the same time as, having the other person acquire such Securities or selling such Securities to the other person.
- 抹消された登記(権利に関する登記に限る。)の回復は、登記上の利害関係を有する第三者(当該登記の回復につき利害関係を有する抵当証券の所持人又は裏書人を含む。以下この条において同じ。)がある場合には、当該第三者の承諾があるときに限り、申請することができる。
- An application for restoration of a cancelled registration (limited to a registration of a right), if there is any third party who has an interest in the registration (including the holder or endorser of the mortgage securities who has an interest in the cancellation of the registration; hereinafter the same shall apply in this Article), may be filed only when such third party gives consent.
- 委託者又は委託者から指図の権限の委託を受けた者(信託業法施行令(平成十六年政令第四百二十七号)第二条各号に掲げる者以外の者である場合に限る。第三項第一号イにおいて同じ。)のみの指図により信託財産の管理又は処分が行われる場合 当該有価証券に係る信託の委託者
- cases where the management or disposition of trust property may be conducted only based on instructions from the settlor or from the person entrusted thereby with the authority to give instructions alone (limited to the cases where said person is not any of those listed in the items of Article 2 of the Order for Enforcement of the Trust Business Act (Cabinet Order No. 427 of 2004); the same shall apply in paragraph (3), item (i), sub-item (a)): the settlor of the trust pertaining to said Securities;
- 令第一条の四第二号又は第一条の七の四第二号に掲げる有価証券 令第一条の四第二号に定める場合(既発行償還有価証券である場合には、同号ロに掲げる要件を除く。)又は令第一条の七の四第二号に定める場合(既発行償還有価証券である場合には、同号ロに掲げる要件を除く。)
- the Securities set forth in Article 1-4, item (ii) or Article 1-7-4, item (ii) of the Cabinet Order: the cases specified in Article 1-4, item (ii) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the requirements set forth in sub-item (b) of that item), or the cases specified in Article 1-7-4, item (ii) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the requirements set forth in sub-item (b) of that item);
- 第二項第十二号若しくは第十三号の「デリバティブ取引」又は第二項第十六号若しくは第十七号の「有価証券関連店頭デリバティブ取引」とは、それぞれ金融商品取引法第二条第二十項(定義)に規定するデリバティブ取引又は同法第二十八条第八項第四号(定義)に掲げる行為をいう。
- The term 'Derivative Transactions' as used in paragraph (2), items (xii) and (xiii) and the term 'Over-the-Counter Derivative Securities Transactions' as used in paragraph (2), items (xvi) and (xvii) respectively mean the Derivative Transactions prescribed in Article 2, paragraph (20) (Definitions) of the Financial Instruments and Exchange Act and the acts listed in Article 28, paragraph (8), item (iv) (Definitions) of that Act.
- 権利の変更の登記又は更正の登記は、登記上の利害関係を有する第三者(権利の変更の登記又は更正の登記につき利害関係を有する抵当証券の所持人又は裏書人を含む。以下この条において同じ。)の承諾がある場合及び当該第三者がない場合に限り、付記登記によってすることができる。
- A registration of change or registration of correction of a right may be made in the form of an accessory registration, only in cases where a third party who has an interest in the registration (including the holder or endorser of the mortgage securities who has an interest in the registration of change or registration of correction of a right; hereinafter the same shall apply in this Article) gives consent and where there is no such third party.
- 特定目的会社(資産の流動化に関する法律第二条第三項に規定する特定目的会社をいう。)が受益者である場合には、その発行する資産対応証券(同条第十一項に規定する資産対応証券をいう。第八項第二号において同じ。)を受託者と同一の会社集団に属さない者が取得していないこと。
- that, in cases where a Special Purpose Company (meaning a Special Purpose Company as prescribed in Article 2(3) of the Act on Liquidation of Assets) is a beneficiary, no person who does not belong to the same Company Group as the trustee has acquired Asset Backed Securities (which mean Asset Backed Securities as prescribed in paragraph (11) of that Article; the same shall apply in paragraph (8)(ii)) issued by said Special Purpose Company;
- 内閣総理大臣は、銀行、協同組織金融機関その他政令で定める金融機関に、第三十三条第二項第五号に掲げる取引について、同号に定める行為を業として行うことを登録する場合には、株券に係る取引の公正の確保のため必要な範囲内において内閣府令で定める条件を付してするものとする。
- When the Prime Minister registers that a bank, Cooperative Structured Financial Institution, or other financial institution specified by a Cabinet Order conducts acts specified in Article 33(2)(v) with regard to transactions listed in said item in the course of trade, he/she shall add conditions specified by a Cabinet Office Ordinance within the scope necessary for ensuring fair transactions pertaining to share certificates.
- 第一項本文に規定する公開買付けによる株券等の買付け等を行う場合には、買付け等の価格(買付け以外の場合にあつては、買付けの価格に準ずるものとして政令で定めるものとする。以下この節において同じ。)については、政令で定めるところにより、均一の条件によらなければならない。
- When Purchase, etc. of Share Certificates, etc. is made by means of Tender Offer as required by the main clause of paragraph (1), the price for the Purchase, etc. (or, in cases where the Purchase, etc. is made by other type of acceptance of transfer for value than purchase, what is specified by a Cabinet Order as being equivalent to price for Purchase, etc.; hereinafter the same shall apply in this Section) shall be set on the same conditions for all offerees, pursuant to the provisions of a Cabinet Order.
- 売買の当事者が将来の一定の時期において有価証券(政令で定めるものを除く。以下この号において同じ。)及びその対価の授受を約する売買であつて、当該売買の目的となつている有価証券の売戻し又は買戻しその他政令で定める行為をしたときは差金の授受によつて決済することができる取引
- transactions wherein the parties thereto promise to pay or receive Securities (except those specified by a Cabinet Order; hereinafter the same shall apply in this item) or the consideration for them at a fixed time in the future, and, when the resale or repurchase of the underlying Securities or other acts specified by a Cabinet Order are made, settlement thereof may be made by paying or receiving the differences;
- 第一項第三号の「短期外債」とは、社債等振替法第百二十七条において準用する社債等振替法第六十六条(第一号を除く。)に規定する外国又は外国法人の発行する債券に表示されるべき権利(以下この項において「振替外債」という。)のうち、次に掲げる要件のすべてに該当するものをいう。
- The term 'Short-Term Foreign Bonds' as used in paragraph (1), item (iii) shall be rights to be indicated on bond certificates to be issued in a foreign state or by a foreign juridical person as prescribed in Article 66 of the Corporate Bonds, etc. Transfer Act (excluding item (i)) as applied mutatis mutandis pursuant to Article 127 of the Corporate Bonds, etc. Transfer Act (hereinafter referred to as the 'Book-Entry Transfer Foreign Bonds' in this paragraph), which satisfy all of the following requirements:
- 前項本文の規定の適用を受ける適格機関投資家向け勧誘等を行う者は、同項本文に規定する有価証券を当該適格機関投資家向け勧誘等により取得させ、又は売り付ける場合には、あらかじめ又は同時にその相手方に対し、同項の規定により告知すべき事項を記載した書面を交付しなければならない。
- A person who makes a Solicitation Only for Qualified Institutional Investors, etc. to which the main clause of the preceding paragraph is applicable shall, when having another person acquire Securities referred to in the main clause of the preceding paragraph or sell such Securities to another person through the Solicitation Only for Qualified Institutional Investors, etc., deliver a document containing a description on the matters to be notified under the preceding paragraph to the other person in advance of, or at the same time as, having the other person acquire such Securities or selling such Securities to the other person.
- 法第二十一条第三項第三号に規定する政令で定める証券は、外国法令に基づいて設立された法人が発行する社債、外国の政府及び地方公共団体が発行する公債並びに外国の政府機関及び国際機関が発行する債券その他財務大臣が定める証券(以下この条において「外国公社債等」という。)とする。
- The securities specified by Cabinet Order as prescribed in Article 21, paragraph (3), item (iii) of the Act shall be corporate bonds issued by juridical persons established based on foreign laws and regulations, public bonds issued by foreign governments and local governments, and bonds issued by foreign governmental institutions and international organizations or other securities specified by the Minister of Finance (hereinafter referred to as the 'foreign public or corporate bonds, etc.' in this Article).
- 第百五十六条の二十四第一項に規定する信用取引以外の方法による金銭の貸付けその他信用の供与をすることを条件として有価証券の売買の受託等(委託等を受けることをいう。以下同じ。)をする行為(投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。)
- act of Accepting an Entrustment, etc. (meaning accepting Entrustment, etc.; hereinafter the same shall apply) for sales and purchase of Securities on the condition of acceptance of a money loan or other credit granting by a method other than a margin transaction prescribed in Article 156-24(1) (excluding those specified by a Cabinet Office Ordinance as being less likely to result in insufficient protection of investors);
- 理事会は、必要があると認めるときは、委託金融商品取引所が開設する金融商品市場における有価証券の売買及び市場デリバティブ取引を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資するために行うべき措置について、委託金融商品取引所に助言をすることができる。
- The Council may, when it finds necessary, give advice to an Entrusting Financial Instruments Exchange on necessary measures to be taken in order to achieve the fair and smooth sales and purchase of Securities and Market Transactions of Derivatives on the Financial Instruments Exchange Market established by such Entrusting Financial Instruments Exchange, and to contribute to the sound development of Financial Instruments Businesses and protection of investors.
- 当該居住者により所有される外国法人の株式の数若しくは出資の金額の当該外国法人の発行済株式の総数若しくは出資の金額の総額に占める割合が百分の十以上である外国法人及びこれに準ずるものとして財務省令で定める外国法人の発行に係る証券の取得又はこれらの外国法人に対する金銭の貸付け
- Acquisition of securities issued by the foreign corporation, for which the number of shares held by the resident or the amount of contribution thereof made by the resident accounts for not less than one-tenth of the total number of issued shares of the foreign corporation or the total amount of contribution thereof, or by the foreign corporation specified by the Ordinance of the Ministry of Finance as equivalent to such foreign corporation, or loan of money to such foreign corporation
- 金融商品の価値等の分析に基づく投資判断に基づいて主として有価証券又はデリバティブ取引に係る権利に対する投資として、次に掲げる権利その他政令で定める権利を有する者から出資又は拠出を受けた金銭その他の財産の運用を行うこと(第十二号及び前号に掲げる行為に該当するものを除く。)。
- investment of money or other properties invested or contributed from a person who holds the following rights or other rights specified by a Cabinet Order, as an investment mainly in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the categories specified in item (xii) and the preceding item);
- 第二十四条第二項において準用する会社法第三十三条第十項第一号又は第二号に掲げる場合における現物出資財産等(第二十四条第二項において準用する同法第三十三条第十項第二号に掲げる場合にあっては、同号の有価証券に限る。)について定款に記載され、又は記録された価額が相当であること。
- That, with respect to the properties contributed in kind, etc. in the cases listed in Article 33, paragraph (10), item (i) or (ii) of the Companies Act as applied mutatis mutandis pursuant to Article 24, paragraph (2) (if listed in Article 33, paragraph (10), item (ii) as applied mutatis mutandis pursuant to Article 24, paragraph (2), limited to the securities under such item), the value indicated or recorded in the articles of incorporation is reasonable;
- 認可協会は、内閣府令で定めるところにより、その開設する店頭売買有価証券市場における店頭売買有価証券の売買、取扱有価証券の売買及び上場株券等の取引所金融商品市場外での売買に関する銘柄別の毎日の売買高、最高、最低及び最終の価格その他の事項を内閣総理大臣に報告しなければならない。
- An Authorized Association shall, pursuant to the provisions of a Cabinet Office Ordinance, report to the Prime Minister the daily trading volume, and highest price, lowest price, closing price and any other matters for each day and for each issue in relation to sales and purchase of Over-the-Counter Traded Securities on the Over-the-Counter Securities Market established by said Authorized Association, sales and purchase of the Tradable Securities, and sales and purchase of the Listed Share Certificates, etc. conducted outside of a Financial Instruments Exchange Market.
- 認可金融商品取引業協会(令第一条の七の三第六号に規定する認可金融商品取引業協会をいう。次条第一項第四号及び第十三条の七第十項において同じ。)その他金融商品取引業者等を会員とする協会その他の団体に対して、当該協会その他の団体の規則に基づき行われる当該有価証券に関する情報の提供
- the provision of information on the relevant Securities to the Authorized Financial Instruments Firms Association (meaning the Authorized Financial Instruments Firms Association as provided in Article 1-7-3, item (vi) of the Order; the same shall apply in paragraph (1), item (iv) of the following Article and Article 13-7, paragraph (10)), other associations that have Financial Instruments Specialists, etc. as members and other organizations, based on the regulations of the relevant association or other organization.
- 当該有価証券に表示されるオプションの行使により売買その他の取引の対象となる有価証券が令第一条の八の二第一号及び第二号に掲げる有価証券以外の有価証券であって、当該有価証券及び当該有価証券と同一種類の他の有価証券が法第二十四条第一項各号に掲げる有価証券のいずれにも該当しない場合
- cases where the Securities which are to be the subject of purchase and sale or any other transaction upon the exercise of the Options indicated on the relevant Securities are Securities other than the Securities set forth in Article 1-8-2, items (i) and (ii) of the Cabinet Order, and where the relevant Securities and other Securities of the same class as the relevant Securities do not fall under any of the Securities set forth in the items of Article 24, paragraph (1) of the Act;
- 金融商品取引業者等は、有価証券等取引に関する顧客の注文を執行した後、内閣府令で定める期間内に当該顧客から求められたときは、当該注文が最良執行方針等に従つて執行された旨を内閣府令で定めるところにより説明した書面を、内閣府令で定めるところにより、当該顧客に交付しなければならない。
- A Financial Instruments Business Operator, etc. shall, when requested by a customer within a period specified by a Cabinet Office Ordinance after having executed the customer's order for a transaction of Securities, etc., deliver to the customer, pursuant to the provisions of a Cabinet Office Ordinance, a document explaining, pursuant to the provisions of a Cabinet Office Ordinance, that the order has been executed in accordance with its Best Execution Policy, etc.
- 附則第一条ただし書に掲げる改正規定の施行前に開始した営業年度の決算期における金銭債権、社債その他の債券及び株式その他の出資による持分の評価(以下この条において「金銭債権等の評価」という。)に関しては、なお従前の例による。次の各号に掲げる金銭債権等の評価に関しても、同様とする。
- With regard to valuation of monetary claims, corporate bonds and other bond certificates as well as shares and other equity acquired by making contribution (hereinafter referred to as 'Valuation of Monetary Claims, etc.' in this Article) for the accounting period pertaining to the fiscal year starting before the revising provisions listed in the proviso to Article 1 of these Supplementary Provisions come into effect, the provisions in force before this Act comes into effect shall remain. The same shall apply to the Valuation of Monetary Claims, etc. listed in the following items:
- 有価証券(第五号に規定する証書をもつて表示される金銭債権に該当するもの及び短期社債等を除く。第五号の二及び第六号において同じ。)の売買(有価証券関連デリバティブ取引に該当するものを除く。)又は有価証券関連デリバティブ取引(投資の目的をもつてするもの又は書面取次ぎ行為に限る。)
- The purchase and sale of securities (excluding securities that fall under the category of monetary claims indicated in the form of certificates as prescribed in item (v) and Short-Term Corporate Bonds, etc.; the same shall apply in items (v)-2 and (vi)) (excluding purchase and sale that fall under the category of Derivative Securities Transactions) or Derivative Securities Transactions (limited to those for the purpose of investment or Brokerage with Written Orders);
- 株式会社金融商品取引所は、業務規程の定めるところにより、次に掲げる者に当該株式会社金融商品取引所の開設する取引所金融商品市場における有価証券の売買及び市場デリバティブ取引(第二号に掲げる者にあつては、登録金融機関業務に係る取引に限る。)を行うための取引資格を与えることができる。
- A Stock Company-Type Financial Instruments Exchange may, in accordance with the operational rules, grant to the persons listed in the following the qualification for trading for conducting sales and purchase of Securities and Market Transactions of Derivatives in the Financial Instruments Exchange Market established by said Stock Company-Type Financial Instruments Exchange (with regard to the person listed in item (ii), limited to the transactions pertaining to the Registered Financial Institution Business):
- 第二項第五号に掲げる業務には同号に規定する証書をもつて表示される金銭債権のうち有価証券に該当するものについて、同項第五号の三に掲げる業務には短期社債等について、金融商品取引法第二条第八項第一号から第六号まで及び第八号から第十号まで(定義)に掲げる行為を行う業務を含むものとする。
- The business listed in paragraph (2), item (v) shall include the business of carrying out the acts listed in Article 2, paragraph (8), items (i) to (vi) inclusive and (viii) to (x) inclusive (Definitions) of the Financial Instruments and Exchange Act for monetary claims that are indicated in the form of certificates as prescribed in paragraph 2, item (v) and that fall under the category of securities, and the business set forth in paragraph (2), item (v)-3 shall include the business of carrying out such acts for Short-Term Corporate Bonds, etc.
- 金銭の信託契約その他の契約又は法律の規定に基づき、株券等の発行者の株主としての議決権その他の権利を行使することができる権限又は当該議決権その他の権利の行使について指図を行うことができる権限を有する者(次号に該当する者を除く。)であつて、当該発行者の事業活動を支配する目的を有する者
- a person who has the authority to exercise his/her voting rights or any other rights as a shareholder of the issuer of the Share Certificates, etc., or to give instructions as to the exercise of said voting rights or any other rights, based on a money trust contract or any other contract or the provisions of laws (except for a person who falls under the following item), and who aims at controlling business activities of said issuer; or
- 金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、第一項第十号に掲げる有価証券に表示される権利その他の政令で定める権利を有する者から拠出を受けた金銭その他の財産の運用を行うこと(第十二号に掲げる行為に該当するものを除く。)。
- investment of money or other properties contributed from a person who holds rights indicated on the Securities specified in item (x) of paragraph (1) or other rights specified by a Cabinet Order, as an investment in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the category specified in item (xii));
- 当該有価証券に表示されるオプションの行使により売買その他の取引の対象となる有価証券が令第一条の五の二第二項第一号及び第二号に掲げる有価証券以外の有価証券であって、当該有価証券及び当該有価証券と同一種類の他の有価証券が法第二十四条第一項各号に掲げる有価証券のいずれにも該当しない場合
- cases where the Securities which are to be the subject of purchase and sale or any other transactions upon the exercise of the Options indicated on the relevant Securities are Securities other than the Securities set forth in Article 1-5-2, paragraph (2), items (i) and (ii) of the Cabinet Order, and where the relevant Securities and other Securities of the same class as the relevant Securities do not fall under any of the Securities set forth in the items of Article 24, paragraph (1) of the Act; or
- 金融商品の価値等(金融商品の価値、オプションの対価の額又は金融指標の動向をいう。以下同じ。)の分析に基づく投資判断(投資の対象となる有価証券の種類、銘柄、数及び価格並びに売買の別、方法及び時期についての判断又は行うべきデリバティブ取引の内容及び時期についての判断をいう。以下同じ。)
- Investment Decisions (meaning decisions on kinds, issues, amounts or prices of Securities to be invested as well as whether the Securities shall be purchased or sold, by what method and at what timing, or decision on contents and timing of Derivative Transactions to be conducted; the same shall apply hereinafter) based on analysis of Values, etc. of Financial Instruments (meaning the value of Financial Instruments, amount receivable for Options, or movement of Financial Indicators; the same shall apply hereinafter).
- 次に掲げる契約に基づき対象従業員(株券の発行者である会社又はその被支配会社等(第六条第三項に規定する被支配会社等をいう。以下この号において同じ。)若しくは関係会社(第七条第二項に規定する関係会社をいう。以下この号において同じ。)の従業員をいう。以下この号において同じ。)が行う買付け
- the purchase made by a Subject Employee (meaning an employee of the company which is the Issuer of share certificates or its Controlled Company, etc. (meaning the Controlled Company, etc. as prescribed in Article 6, paragraph (3); hereinafter the same shall apply in this item), or Associated Company (meaning the Associated Company as defined in Article 7, paragraph (2); hereinafter the same shall apply in this item); hereinafter the same shall apply in this item) under the following contracts:
- 株券の発行者である会社又はその被支配会社等若しくは関係会社が、当該行為に係る業務によって生じる損失の補てんその他の当該行為をする者への給付を行う場合において、当該給付が、その目的、給付の水準その他の状況に照らし、イの対象従業員の福利厚生のためのものであると認められるものであること。
- that, in cases where the company which is the issuer of share certificates or its Controlled Company, etc. or Associated Company compensates any loss which has arisen from the business pertaining to the relevant acts or provides benefits to persons who conduct the relevant acts, such benefits are found to be for the welfare of the Subject Employee as set forth in sub-item (a), in light of the purpose of such benefits, the level of the benefits and other circumstances;
- 令第一条の四第二号又は第一条の七の四第二号に掲げる有価証券 令第一条の四第二号に定める場合(既発行償還有価証券である場合には、同号ロに掲げる要件に該当する場合を除く。)又は令第一条の七の四第二号に定める場合(既発行償還有価証券である場合には、同号ロに掲げる要件に該当する場合を除く。)
- the Securities set forth in Article 1-4, item (ii) or Article 1-7-4, item (ii) of the Cabinet Order: the cases specified in Article 1-4, item (ii) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the cases where the relevant Securities fall under the requirements set forth in sub-item (b) of that item), or the cases specified in Article 1-7-4, item (ii) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the cases where the relevant Securities fall under the requirements set forth in sub-item (b) of that item);
- 金融商品取引業者等は、顧客から有価証券の売買又は店頭デリバティブ取引に関する注文を受けたときは、あらかじめ、その者に対し自己がその相手方となつて当該売買若しくは取引を成立させるか、又は媒介し、取次ぎし、若しくは代理して当該売買若しくは取引を成立させるかの別を明らかにしなければならない。
- A Financial Instruments Business Operator, etc. shall, when accepting an order from a customer for sales and purchase of Securities or Over-the-Counter Transactions of Derivatives, give the customer a clear notice, in advance, regarding whether said Financial Instruments Business Operator, etc. will take charge of effecting the sales and purchase or the transaction as the other party to the customer, or will perform an intermediary, brokerage or agency service to effect the sales and purchase or the transaction.
- 法第二条第五項に規定する内閣府令で定める有価証券は、特定目的信託の受益証券、受益証券発行信託の受益証券及び抵当証券並びに法第二条第一項第十七号に掲げる有価証券のうち特定目的信託の受益証券、受益証券発行信託の受益証券及び抵当証券の性質を有するもの並びに同項第二十号に掲げる有価証券とする。
- The Securities specified by Cabinet Office Ordinance, referred to in Article 2, paragraph (5) of the Act, shall be the Beneficiary Certificates of a Special Purpose Trust, the Beneficiary Certificates of a Trust That Issues Beneficiary Certificates and Mortgage Securities; the Securities which are listed in Article 2, paragraph (1), item (xvii) of the Act and which have the nature of the Beneficiary Certificates of a Special Purpose Trust, the Beneficiary Certificates of a Trust That Issues Beneficiary Certificates and Mortgage Securities; and the Securities listed in item (xx) of that paragraph.
- 金融商品取引業(第二十八条第八項に規定する有価証券関連業に限る。以下この章において同じ。)に係る取引(店頭デリバティブ取引その他の政令で定める取引を除く。次号において同じ。)に関し、一般顧客の計算に属する金銭又は金融商品取引業者が一般顧客から預託を受けた金銭(前号に規定する金銭を除く。)
- the money belonging to the account of a General Customer or money deposited to a Financial Instruments Business Operator from a General Customer (excluding the money prescribed in the preceding item), with regard to a transaction (excluding Over-the-Counter Transactions of Derivatives or other transactions specified by a Cabinet Order; the same shall apply in the following item) pertaining to Financial Instruments Business (limited to Securities-Related Business prescribed in Article 28(8); hereinafter the same shall apply in this Chapter);
- 会員金融商品取引所は、定款の定めるところにより、次に掲げる者(会員以外の者に限る。)に当該会員金融商品取引所の開設する取引所金融商品市場における有価証券の売買及び市場デリバティブ取引(第二号に掲げる者にあつては、登録金融機関業務に係る取引に限る。)を行うための取引資格を与えることができる。
- A Membership-Type Financial Instruments Exchange may, in accordance with the articles of incorporation, grant to the persons listed in the following (limited to the persons who are not members) the qualification for trading for conducting sales and purchase of Securities and Market Transactions of Derivatives in the Financial Instruments Exchange Market established by said Membership-Type Financial Instruments Exchange (with regard to the person listed in item (ii), limited to the transactions pertaining to the Registered Financial Institution Business):
- 認可協会は、第六十七条の三第一項第二号又は第三号に掲げる事項について変更があつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。認可協会の規則(定款及び店頭有価証券市場を開設する認可協会にあつては、第六十七条の十二の規則を除く。)の作成、変更又は廃止があつたときも、同様とする。
- When there are any changes in matters listed in Article 67-3(1)(ii) or (iii), an Authorized Association shall notify to that effect to the Prime Minister without delay. The same shall apply to cases where rules of an Authorized Association (excluding the articles of incorporation; and with regard to an Authorized Association which establishes an Over-the-Counter Securities Market, excluding the rules set forth in Article 67-12) have been prepared, changed or abolished.
- 第二十七条の三第四項の規定は、公開買付撤回届出書について準用する。この場合において、同項中「発行者(当該公開買付届出書を提出した日において、既に当該発行者の株券等に係る公開買付届出書の提出をしている者がある場合には、当該提出をしている者を含む。)」とあるのは、「発行者」と読み替えるものとする。
- Article 27-3(4) shall apply mutatis mutandis to the Written Withdrawal of Tender Offer. In this case, the term 'the Issuer of the Share Certificates, etc. to which the Tender Offer is made (and the person who has already submitted a Tender Offer Notification with regard to any Share Certificates, etc. issued by the Issuer as of the day on which the Tender Offer Notification is submitted, if any)' in Article 27-3(4) shall be deemed to be replaced with 'the Issuer of the Share Certificates, etc. to which the Tender Offer is made.'
- 金融商品取引業者等は、有価証券の売買及びデリバティブ取引(政令で定めるものを除く。以下この条において「有価証券等取引」という。)に関する顧客の注文について、政令で定めるところにより、最良の取引の条件で執行するための方針及び方法(以下この条において「最良執行方針等」という。)を定めなければならない。
- A Financial Instruments Business Operator, etc. shall, pursuant to the provisions of a Cabinet Order, establish a policy and method for executing orders from customers for sales and purchase of Securities and Derivative Transactions (except those specified by a Cabinet Order; hereinafter referred to as 'Transactions of Securities, etc.' in this Article) under the best terms and conditions (hereinafter referred to as the 'Best Execution Policy, etc.' in this Article).
- 社債券(新株予約権付社債券等を除く。)及び法第二条第一項第十七号に掲げる有価証券で当該社債券の性質を有するもので、当該社債券の発行会社以外の会社が発行した有価証券により償還することができる旨の特約が付されているもの 当該有価証券が第一号に定める要件に該当し、かつ、次のいずれかの場合に該当すること。
- corporate bond certificates (excluding corporate bond certificates with share options, etc.), and the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of said corporate bond certificates, with special provisions that allow the redemption of such corporate bond certificates or Securities through the Securities issued by a company other than the company that issues such corporate bond certificates: that the relevant Securities fall under the requirements specified in item (i), and fall under any of the following cases:
- corporate bond certificates (excluding corporate bond certificates with share options, etc.), and the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of said corporate bond certificates, with special provisions that allow the redemption of such corporate bond certificates or Securities through the Securities issued by a company other than the company issuing such corporate bond certificates: that the relevant Securities fall under the requirements specified in item (i), and fall under any of the following cases:
- 売買の当事者が将来の一定の時期において有価証券(有価証券に係る第二条第二十四項第五号に掲げる標準物を含み、政令で定めるものを除く。以下この号において同じ。)及びその対価の授受を約する売買であつて、当該売買の目的となつている有価証券の転売又は買戻しをしたときは差金の授受によつて決済することができる取引
- transactions wherein the parties thereto promise to pay or receive Securities (including standardized instruments listed in Article 2(24)(v) that pertain to Securities but except those specified by a Cabinet Order; hereinafter the same shall apply in this item) or the consideration for them at a fixed time in the future, and, when the resale or repurchase of the underlying Securities are made, settlement thereof may be made by paying or receiving the differences;
- 第一項の規定にかかわらず、同項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、その株券等保有割合が百分の五を超えることとなつた日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の大量保有報告書を内閣総理大臣に提出しなければならない。
- Notwithstanding the provision of paragraph (1), when a Financial Instruments Business Operator, bank or any other person specified by a Cabinet Office Ordinance which is set forth in the same paragraph intends to conduct an Act of Making Important Suggestion, etc. within a period specified by a Cabinet Order from the date when the Holding Ratio of Share Certificates, etc. have exceeded 5%, such person shall submit to the Prime Minister a Report of Possession of Large Volume prescribed in the same paragraph by five days prior to the date of such Act of Making Important Suggestions, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 前項で定める場合のほか、居住者が第一項第五号、第十号又は第十一号に掲げる資本取引の当事者となつた場合において、当該資本取引の媒介、取次ぎ又は代理をする者が銀行等、証券会社又は金融先物取引業者であるときは、当該居住者は、同項の規定にかかわらず、当該資本取引に係る同項の規定による報告をすることを要しない。
- In addition to the cases prescribed in the preceding paragraph, where a resident has become a party to capital transactions listed in paragraph 1, item 5, 10, or 11, when the Banks, etc., a securities corporation or a financial futures trader act as an intermediary, agency or agent for the capital transactions, the resident shall not be required to make a report pursuant to the provision of the said paragraph pertaining to the capital transactions, notwithstanding the provision of the said paragraph.
- 金融商品取引業者等は、その行うデリバティブ取引等(有価証券関連デリバティブ取引等に該当するものを除く。次項において同じ。)に関し、第百十九条の規定により顧客から預託を受けた金銭又は有価証券その他の保証金又は有価証券については、内閣府令で定めるところにより、自己の固有財産と区分して管理しなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to his/her Derivative Transactions, etc. (excluding those that fall within the category of Transactions of Securities-Related Derivatives, etc.; the same shall apply in the following paragraph), manage the money or Securities deposited from a customer under Article 119 or other security deposit and Securities, separately from his/her own property pursuant to the provisions of a Cabinet Office Ordinance.
- 財務大臣は、この法律又はこの法律に基づく命令の規定の確実な実施を図るため必要があると認めるときは、支払手段(第六条第一項第七号ハに掲げる支払手段が入力されている証票等を含む。)又は証券を輸出し、又は輸入しようとする居住者又は非居住者に対し、政令で定めるところにより、許可を受ける義務を課することができる。
- When the Minister of Finance finds it necessary for assured enforcement of provisions of this Act or orders based on this Act, he/she may impose, pursuant to the provisions of Cabinet Order, on a resident or non-resident who intends to import or export means of payment (including vouchers, etc. in which means of payment is inputted, which is listed in Article 6, paragraph 1, item 7 (c)) or securities the obligation to obtain permission.
- 有価証券売買取引等につき、金融商品取引業者等又は第三者から、前項第三号の提供に係る財産上の利益を受け、又は第三者に当該財産上の利益を受けさせる行為(前二号の約束による場合であつて当該約束が自己がし、又は第三者にさせた要求によるとき及び当該財産上の利益の提供が自己がし、又は第三者にさせた要求による場合に限る。)
- an act of receiving property benefit provided under item (iii) of the preceding paragraph by a Financial Instruments Business Operator, etc. or a third party with regard to the Sales and Purchase or Other Transaction of Securities, etc. or having a third party receive such property benefit (limited to cases where such act is conducted based on the promise set forth in either of the preceding two items that is gained as a result of the request made by the customer him/herself or via a third party, or where such provision of property benefit is conducted as a result of the request made by the customer him/herself or via a third party).
- 金融商品取引業者等は、有価証券等管理業務として行う場合その他政令で定める場合を除くほか、その行う投資助言業務に関して、いかなる名目によるかを問わず、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品取引業者等と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。
- A Financial Instruments Business Operator, etc., with regard to his/her Investment Advisory Business, may not, for any reason, receive deposit of money or Securities from a customer or have a person specified by a Cabinet Order as a person closely related to the Financial Instruments Business Operator, etc. deposit the customer's money or Securities, except in cases where such act is conducted as Securities, etc. Management Business or other cases specified by a Cabinet Order.
- 有価証券売買取引等につき、自己又は第三者が当該有価証券等について生じた顧客の損失の全部若しくは一部を補てんし、又はこれらについて生じた顧客の利益に追加するため当該顧客又は第三者に財産上の利益を提供する旨を、当該顧客又はその指定した者に対し、申し込み、若しくは約束し、又は第三者に申し込ませ、若しくは約束させる行為
- an act of making an offer or promise or having a third party make an offer or promise to a customer or any person designated by a customer, with regard to the Sales and Purchase or Other Transaction of Securities, etc., to the effect that property benefit will be provided to the customer in order to compensate for the whole or part of a loss incurred by the customer from the relevant Securities, etc. or make an addition to the profit accrued to the customer from such Securities, etc.; and
- こ の法律は、特定目的会社又は特定目的信託を用いて資産の流動化を行う制度を確立し、これらを用いた資産の流動化が適正に行われることを確保するとともに、 資産の流動化の一環として発行される各種の証券の購入者等の保護を図ることにより、一般投資者による投資を容易にし、もって国民経済の健全な発展に資する ことを目的とする。
- The purpose of this Act is to facilitate investment by general investors, by establishing a system for implementing Asset Securitization through the Specific Purpose Companies and Specific Purpose Trusts and by securing the proper implementation of Asset Securitization by Specific Purpose Companies and Specific Purpose Trusts, as well as by ensuring the protection of the purchasers of various types of securities issued as a part of Asset Securitization, thereby contributing to the sound development of the national economy.
- 当該居住者により所有される外国法令に基づいて設立された法人(以下この項において「外国法人」という。)の株式の数又は出資の金額の当該外国法人の発行済株式の総数又は出資の金額の総額に占める割合が百分の十以上となる場合及びこれに準ずる場合として財務省令で定める場合に該当する場合における当該外国法人の発行に係る証券の取得
- Acquisition of securities issued by a corporation established based on foreign laws and regulations (hereinafter referred to as the 'foreign corporation' in this paragraph) in the cases where the number of shares of the foreign corporation held by the resident or the amount of contribution thereof made by the resident accounts for not less than one-tenth of the total number of issued shares of the foreign corporation or the total amount of contribution thereof and in the cases that fall under those specified by the Ordinance of the Minister of Finance as cases equivalent thereto
- 関係外国金融商品取引業者から売買の別及び銘柄(デリバティブ取引にあっては、これらに相当する事項)について同意を得た上で、数及び価格(デリバティブ取引にあっては、これらに相当する事項)については金融商品取引業者が定めることができることを内容とする契約に基づき当該金融商品取引業者が行う有価証券の売買又はデリバティブ取引
- the purchase and sale of Securities or a Derivatives Transaction conducted by a Financial Instruments Specialist under a contract in which it is provided that, upon obtaining consent from the Affiliated Foreign Financial Instruments Specialist for the purchase and sale as well as the issues of the Securities (or, in the case of a Derivative Transaction, any equivalent matters), said Financial Instruments Specialist may decide the volume and price (or, in the case of a Derivative Transaction, any equivalent matters);
- 財務大臣は、法第十九条第一項又は第二項の規定に基づき居住者又は非居住者による同条第一項に規定する支払手段又は証券若しくは貴金属(以下「支払手段等」という。)の輸出又は輸入について許可を受ける義務を課する場合には、あらかじめ、告示により、その許可を受けなければならない支払手段等の輸出又は輸入を指定してするものとする。
- Where the Minister of Finance imposes, pursuant to Article 19, paragraph (1) or (2) of the Act, the obligation to obtain permission for import or export of the means of payment or securities prescribed in paragraph (1) of the said Article, or precious metal (hereinafter referred to as the 'means of payment, etc.')) by a resident or a non-resident, he/she shall do so designating, in advance, by a public notice, the import or export of the means of payment, etc. that require permission.
- この法律において「金融商品債務引受業」とは、金融商品取引業者、登録金融機関又は証券金融会社(以下この項において「金融商品債務引受業対象業者」という。)を相手方として、金融商品債務引受業対象業者が行う対象取引(有価証券の売買、デリバティブ取引その他政令で定める取引をいう。)に基づく債務の引受けを業として行うことをいう。
- The term 'Financial Instruments Obligation Assumption Service' as used in this Act means provision of service, which is comprised of assumption of obligations arisen from a Subject Transaction (meaning sales and purchase of Securities, Derivative Transactions or other transactions specified by a Cabinet Order) conducted by a Financial Instruments Business Operator, Registered Financial Institution or Securities Finance Company (hereinafter referred to as 'Business Operators Covered by Financial Instruments Obligation Assumption Service' in this paragraph), in the course of trade, to Business Operators Covered by Financial Instruments Obligation Assumption Service.
- 金融庁長官は、前項の規定により委任された権限のうち、第二百十三条第一項の規定によるもの(投資証券の募集等に係る取引の公正の確保に係る規定として政令で定める規定に関するものに限る。)を証券取引等監視委員会(以下「委員会」という。)に委任する。ただし、報告又は資料の提出を命ずる権限は、金融庁長官が自ら行うことを妨げない。
- The Commissioner of the Financial Services Agency shall, from within the authority delegated under the provisions of the preceding paragraph, delegate the authority prescribed in Article 213, paragraph (1) (limited to that related to the provisions specified by a Cabinet Order as that for securing the fairness of transactions pertaining to the Public Offering, etc. of Investment Securities) to the Securities and Exchange Surveillance Commission (hereinafter referred to as the 'Commission'); provided; however, that this shall not preclude the Commissioner of the Financial Services Agency from exercising his/her authority to issue an order for the submission of reports or materials.
- 外国証券業者は、第二十九条及び前条の規定にかかわらず、内閣総理大臣の許可を受けて、その行う有価証券の引受けの業務のうち、元引受契約(第二十一条第四項に規定する元引受契約をいう。次条第一項第六号ヘにおいて同じ。)への参加その他の行為で政令で定めるものを国内において行うこと(以下この節において「引受業務」という。)ができる。
- Notwithstanding the provision of Article 29 and the preceding Article, a Foreign Securities Broker may, with the permission of the Prime Minister, participate in Wholesale Underwriting Contract (meaning the Wholesale Underwriting Contract prescribed in Article 21(4); hereinafter the same shall apply in paragraph (1), item (vi), sub-item (f) of the following Article) and conduct other acts specified by a Cabinet Order in Japan, amongst its business of underwriting of Securities (hereinafter collectively referred to as the 'Underwriting Business' in this Section).
- 有価証券に表示されるオプションの行使により売買その他の取引の対象となる有価証券(第十三条第三項第二号ロ、第十三条の四第二項第二号ロ及び第十三条の七第三項第二号ロにおいて「原有価証券」という。)が令第一条の四各号又は第一条の七の四各号に掲げる有価証券である場合の区分に応じ、令第一条の四各号又は第一条の七の四各号に定める場合
- the cases specified in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order according to the category of cases where the Securities which shall be the subject of a purchase and sale or any other transaction upon the exercise of the Options indicated on the Securities (the first-mentioned Securities shall be referred to as the 'Underlying Securities' in Article 13, paragraph (3), item (ii), sub-item (b), Article 13-4, paragraph (2), item (ii), sub-item (b) and Article 13-7, paragraph (3), item (ii), sub-item (b)) are the Securities set forth in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order; and
- 金融商品取引業の廃止(有価証券関連業を行わない旨の第三十一条第四項の変更登録及び外国法人である金融商品取引業者にあつては、国内に設けられたすべての営業所又は事務所における金融商品取引業の廃止を含む。)又は金融商品取引業者の解散(外国法人である金融商品取引業者にあつては、国内に設けられた営業所又は事務所の清算の開始を含む。)
- abolition of its Financial Instruments Business (with regard to a Financial Instruments Business Operator which has obtained registration of change set forth in Article 31(4) to the effect that it stops conducting Securities-Related Business or which is a foreign juridical person, including abolition of its Financial Instruments Business at all business offices or offices established in Japan) or dissolution of the Financial Instruments Business Operator (with regard to a Financial Instruments Business Operator which is a foreign juridical person, including commencement of liquidation of a business office or office established in Japan); or
- 前項の規定による処分があつた場合において、内閣総理大臣は、同項の記載につき第七条又は前条第一項の規定により提出された訂正届出書の内容が適当であり、かつ、当該届出者が発行者である有価証券を募集又は売出しにより取得させ又は売り付けても公益又は投資者保護のため支障がないと認めるときは、前項の規定による処分を解除することができる。
- In cases where a disposition is made under the preceding paragraph, the Prime Minister may cancel the disposition if he/she finds that the content of an amendment submitted under Article 7 or paragraph (1) of the preceding Article in relation to the fake statement referred to in the preceding paragraph is appropriate and that even if acquisition or sale of Securities issued by the person having submitted the Securities Registration Statement through Public Offering or Secondary Distribution is allowed, it would not hinder the public interest or protection of investors.
- 公益協会は、前条の規定による報告に基づき、上場株券等の取引所金融商品市場外での売買(会員が自己の計算において行うもの並びに会員が媒介、取次ぎ及び代理を行うものに限る。次条において同じ。)について、内閣府令で定めるところにより、銘柄別に毎日の売買高、最高、最低及び最終の価格その他の事項をその会員に通知し、公表しなければならない。
- Based on reports received under the provision of the preceding Article, a Public Interest-Type Association shall notify to its member, and also make public, the trading volume, highest price, lowest price, closing price and other matters concerning sales and purchase of Listed Share Certificates, etc. conducted outside of Financial Instruments Exchange Markets (limited to those conducted by its member on their own account, or those for which its member provides intermediary, brokerage or agency service; the same shall apply in the following Article) for each day and for each issue of the Listed Share Certificates, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 前項の承認を受けた有価証券の発行者及び親会社等が第六条及び前条第四項の規定により第一項各号に掲げる書類の写しを提出子会社に送付し、又は金融商品取引所若しくは政令で定める認可金融商品取引業協会に提出する場合には、前項の規定により公衆の縦覧に供しないこととされた部分をこれらの書類の写しから削除して送付し、又は提出することができる。
- When the Issuer of Securities or the Parent Company, etc. sends a copy of the documents listed in the items of paragraph (1) to the Subsidiary Company Submitting Annual Securities Reports or submits the copy to the Financial Instruments Exchange or an Authorized Financial Instruments Firms Association specified by a Cabinet Order under Article 6 or paragraph (4) of the preceding Article, if the Issuer of Securities or the Parent Company, etc. obtains approval under the preceding paragraph, the Issuer of Securities or the Parent Company, etc. may remove or delete the part of documents that is exempted from public inspection under the preceding paragraph from the documents to be send or submitted.
- 前項の「対外直接投資」とは、居住者による外国法令に基づいて設立された法人の発行に係る証券の取得若しくは当該法人に対する金銭の貸付けであつて当該法人との間に永続的な経済関係を樹立するために行われるものとして政令で定めるもの又は外国における支店、工場その他の事業所(以下「支店等」という。)の設置若しくは拡張に係る資金の支払をいう。
- The 'outward direct investment' set forth in the preceding paragraph shall mean acquisition of securities issued by a juridical person established pursuant to foreign laws and regulations or loan of money to the juridical person, which is specified by Cabinet Order as an act committed to establish a permanent economic relationship with the juridical person, or payment of funds pertaining to the establishment or expansion of branch offices, factories or other offices (hereinafter referred to as the 'Branch Offices, etc.') in a foreign state, which is conducted by a resident.
- 金融商品取引業者(有価証券関連業を行う者に限る。以下この条(第四項を除く。)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)、監査役又は執行役は、当該金融商品取引業者の親銀行等の取締役、会計参与、監査役若しくは執行役(理事、監事その他これらに準ずる者を含む。)又は使用人を兼ねてはならない。
- A director, accounting advisor (when the accounting advisor is a juridical person, a member who is supposed to conduct the duty), company auditor, or executive officer of a Financial Instruments Business Operator (limited to those engaged in Securities-Related Business; hereinafter the same shall apply in this Article (excluding paragraph (4)) shall not concurrently hold a position of director, accounting advisor, company auditor, or executive officer (including any equivalent person) or work as an employee for a Parent Bank, etc. of said Financial Instruments Business Operator.
- 発行登録を行つた有価証券の発行者である会社は、第五条第四項に規定する要件を満たすため必要があるときは、第二十四条第一項(同条第五項において準用する場合を含む。以下この項において同じ。)の規定による有価証券報告書を提出する義務が消滅した後においても、引き続き同条第一項に規定する有価証券報告書及びその添付書類を提出することができる。
- A company which is the Issuer of the Securities for which a Shelf Registration has been made may continue the submission of Annual Securities Reports required under Article 24(1) (including the cases where it is applied mutatis mutandis pursuant to Article 24(5); hereinafter the same shall apply in this paragraph) and documents to be attached thereto even after the obligation to submit Annual Securities Reports under Article 24(1) extinguishes, if their submission is necessary to satisfy the requirements of Article 5(4).
- 第二十二条の規定は、有価証券報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、同条第一項中「有価証券を募集又は売出しによらないで取得した者」とあるのは、「有価証券を取得した者」と読み替えるものとする。
- Article 22 shall apply mutatis mutandis to cases where an Annual Securities Report contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. In this case, the term 'persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution' in Article 22(1) shall be deemed to be replaced with 'persons who acquire the Securities issued by the person submitting the Securities Registration Statement.'
- 金融商品取引法第二条第十二項(定義)に規定する金融商品仲介業者のうち、金融商品仲介業(同条第十一項(定義)に規定する金融商品仲介業をいい、次に掲げる行為のいずれかを営む業務に係るものに限る。以下この号において同じ。)のほか、金融商品仲介業に付随する業務その他の内閣府令で定める業務を専ら営むもの(以下「証券仲介専門会社」という。)
- Financial Instruments Intermediaries prescribed in Article 2, paragraph (12) (Definitions) of the Financial Instruments and Exchange Act which, apart from Financial Instruments Intermediation (meaning Financial Instruments Intermediation as prescribed in Article 2, paragraph (11) (Definitions) of that Act and limited to services for carrying out any of the acts listed in the following; hereinafter the same shall apply in this item), exclusively engage in activities incidental to Financial Instruments Intermediation and other services specified by Cabinet Office Ordinance (hereinafter referred to as 'Specialized Securities Intermediation Companies');
- 公開買付けに係る株券等の発行者(以下この節及び第二十七条の三十の十一第三項において「対象者」という。)は、内閣府令で定めるところにより、公開買付開始公告が行われた日から政令で定める期間内に、当該公開買付けに関する意見その他の内閣府令で定める事項を記載した書類(以下「意見表明報告書」という。)を内閣総理大臣に提出しなければならない。
- The Issuer of the Share Certificates, etc. for which a Tender Offer is commenced (hereinafter referred to as the 'Subject Company' in this Section and Article 27-30-11(3)) shall, pursuant to the provisions of a Cabinet Office Ordinance, submit a document which states its opinion on the Tender Offer and other matters specified by a Cabinet Office Ordinance (hereinafter referred to as the 'Subject Company's Position Statement') to the Prime Minister within a period specified by a Cabinet Order from the date when the Public Notice for Commencing Tender Offer is made.
- 第一項本文の規定の適用を受けない会社が発行者である有価証券が同項第一号から第三号までに掲げる有価証券に該当することとなつたとき(内閣府令で定める場合を除く。)は、当該会社は、内閣府令で定めるところにより、その該当することとなつた日の属する事業年度の直前事業年度に係る有価証券報告書を、遅滞なく、内閣総理大臣に提出しなければならない。
- When Securities issued by a company to which the main clause of paragraph (1) does not apply, come to fall under any of the categories specified in items (i) to (iii) of said paragraph (excluding cases specified by a Cabinet Office Ordinance), the company shall submit an Annual Securities Report pertaining to the business year immediately prior to the business year that includes the day on which the Securities came to fall under any of such categories, to the Prime Minister, pursuant to the provisions of a Cabinet Office Ordinance, without delay.
- 抵当証券(抵当証券法(昭和六年法律第十五号)に規定する抵当証券をいう。以下同じ。)及び法第二条第一項第十七号に掲げる有価証券のうち抵当証券の性質を有するもの 抵当証券法第十一条に規定する手続又はこれに準ずる手続により当該有価証券の交付を受けた者が当該有価証券を譲渡するために行う当該有価証券の売付けの申込み又はその買付けの申込みの勧誘
- Mortgage Securities (meaning the mortgage securities as prescribed in the Mortgage Securities Act (Act No. 15 of 1931); the same shall apply hereinafter), and the Securities which are listed in Article 2, paragraph (1), item (xvii) of the Act and which have the nature of mortgage securities: offers to sell and the solicitation of offers to buy said Securities by a person who has received said Securities under the procedures prescribed in Article 11 of the Mortgage Securities Act or any procedure equivalent thereto, with the purpose of transferring said Securities; and
- 前項の場合において、同項の有価証券が発行登録をされた有価証券であるときは、公開買付者等は、当該発行登録が効力を生じており、かつ、公開買付届出書又は訂正届出書の提出と同時に当該有価証券の発行登録者が発行登録追補書類を内閣総理大臣に提出していなければ、売付け等の申込みの勧誘その他の当該公開買付けに係る内閣府令で定める行為をしてはならない。
- In the case referred to in the preceding paragraph, if a Shelf Registration has been made for the Securities referred to in the preceding paragraph, the Tender Offeror, etc. shall not conduct solicitation of offers for Sales, etc. or other acts pertaining to the Tender Offer specified by a Cabinet Order unless the Shelf Registration has come into effect and the Shelf Registration Holder of the Securities has submitted the Shelf Registration Supplements to the Prime Minister concurrently with submission of the Tender Offer Notification or an amendment therefor.
- 有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的として、次の各号に掲げる業務を行おうとする法人(法人でない団体で代表者又は管理人の定めのあるものを含み、認可協会及び公益協会を除く。次条第三号ロにおいて同じ。)は、内閣総理大臣の認定を受けることができる。
- A juridical person (including an organization without judicial personality for which the representative person or administrator has been designated, and excluding Authorized Association and Public Interest-type Association; hereinafter the same shall apply in item (iii), sub-item (b) of the following Article) which intends to engage in the businesses listed in each of the following items, with the purpose of ensuring fair and smooth sales and purchase or other transactions of Securities and Derivative Transactions, etc. and of contributing to the sound development of Financial Instruments Businesses and protection of investors may obtain a certification from the Prime Minister:
- 令第一条の七第二号ロ又は第一条の八の四第三号ロに掲げる有価証券 令第一条の七第二号ロ又は第一条の八の四第三号ロに定める要件(当該償還有価証券が新たに発行される有価証券でなく、かつ、当該償還有価証券の発行者が当該転換債券の発行者の親会社又は子会社でない場合には、令第一条の七第二号ロ(2)又は第一条の八の四第三号ロ(2)に掲げる要件を除く。)
- the Securities set forth in Article 1-7, item (ii), sub-item (b) or Article 1-8-4, item (iii), sub-item (b) of the Cabinet Order: the cases specified in Article 1-7, item (ii), sub-item (b) or Article 1-8-4, item (iii), sub-item (b) of the Cabinet Order (in cases where the relevant Securities Acquired Upon Redemption are not Securities to be newly issued and the Issuer of said Securities Acquired Upon Redemption is not the Parent Company or Subsidiary Company of the Issuer of the relevant Convertible Bond Certificates, excluding the requirements set forth in Article 1-7, item (ii), sub-item (b)2. or Article 1-8-4, item (iii), sub-item (b)2. of the Cabinet Order);
- 令第一条の七第二号イ又は第一条の八の四第三号イに掲げる有価証券 令第一条の七第二号イ又は第一条の八の四第三号イに定める要件(当該償還有価証券が新たに発行される有価証券でなく、かつ、当該償還有価証券の発行者が当該転換債券の発行者の親会社又は子会社でない場合には、令第一条の七第二号イ(1)又は第一条の八の四第三号イ(1)に掲げる要件を除く。)
- the Securities set forth in Article 1-7, item (ii), sub-item (a) or Article 1-8-4, item (iii), sub-item (a) of the Cabinet Order: the requirements specified in Article 1-7, item (ii), sub-item (a) or Article 1-8-4, item (iii), sub-item (a) of the Cabinet Order (in cases where the relevant Securities Acquired Upon Redemption are not Securities to be newly issued and the Issuer of said Securities Acquired Upon Redemption is not the Parent Company or Subsidiary Company of the Issuer of the relevant Convertible Bond Certificates, excluding the requirements set forth in Article 1-7, item (ii), sub-item (a)1. or Article 1-8-4, item (iii), sub-item (a)1. of the Cabinet Order);
- the Securities set forth in Article 1-7, item (ii), sub-item (a) or Article 1-8-4, item (iii), sub-item (a) of the Cabinet Order: the cases specified in Article 1-7, item (ii), sub-item (a) or Article 1-8-4, item (iii), sub-item (a) of the Cabinet Order (in cases where the relevant Securities Acquired Upon Redemption are not Securities to be newly issued and the Issuer of said Securities Acquired Upon Redemption is not the Parent Company or Subsidiary Company of the Issuer of the relevant Convertible Bond Certificates, excluding the requirements set forth in Article 1-7, item (ii), sub-item (a)1. or Article 1-8-4, item (iii), sub-item (a)1. of the Cabinet Order);
- 発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、前項の有価証券又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合には、第十三条第二項第一号に定める事項に関する内容を記載した目論見書をあらかじめ又は同時に交付しなければならない。ただし、次に掲げる場合は、この限りでない。
- In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in the preceding paragraph or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, they shall deliver the Prospectus containing the matters specified in Article 13(2)(i) to the other person in advance of, or at the same time as, having the Securities acquired or selling the Securities; provided, however, that this shall not apply to the following cases:
- 前条第一項又は第二項の規定による公表又は通知(以下この条において「公表等」という。)をしなければならない重要事実についての公表等をせず、又は虚偽の公表等をした会社は、公開買付けに応じて上場株券等の売付け等をした者に対し、公表等がされず又は公表等が虚偽であることにより生じた損害を賠償する責めに任ずる。ただし、次に掲げる場合は、この限りでない。
- If a company fails to make publication or notification (hereinafter referred to as 'Publication, etc.' in this Article) of any Material Fact for which Publication, etc. is required under paragraph (1) or (2) of the preceding Article or makes false Publication, etc. of such Material Fact, the company shall be liable to compensate damage arising from the failure to make Publication, etc. or the false Publication, etc. sustained by a person who makes Sales, etc. of Listed Share Certificates, etc. in response to the Tender Offer; provided, however, that this shall not apply to the following cases:
- 優先出資証券(法第二条第一項第七号に掲げる優先出資証券をいう。) 優先出資(協同組織金融機関の優先出資に関する法律(平成五年法律第四十四号)に規定する優先出資をいう。以下この号において同じ。)に係る剰余金の配当、残余財産の分配、剰余金を用いて行う優先出資の消却及び同法第十五条第一項(第二号に係る部分に限る。)の規定による優先出資の消却の方法
- Preferred Equity Investment Certificates (meaning preferred equity investment certificates as set forth in Article 2, paragraph (1), item (vii) of the Act): the payment of the dividend of surplus related to Preferred Equity Investment (meaning preferred equity investment as provided in the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993); hereinafter the same shall apply in this item), distribution of residual assets, and the method of cancellation of Preferred Equity Investment by using the surplus, and cancellation of Preferred Equity Investment under Article 15, paragraph (1) of that Act (limited to the part pertaining to item (ii));
- 第二十四条第二項に規定する事項を記載した同条第一項の規定による有価証券報告書を提出した、又は提出しようとする会社のうち次の各号のいずれにも該当しない会社は、前項の規定により提出しなければならない半期報告書に、同項に規定する事項のうち当該会社に係るものとして内閣府令で定めるものを記載することにより、同項に規定する事項の記載に代えることができる。
- A company which has submitted, or intends to submit, an Annual Securities Report containing descriptions on the matters specified in Article 24(2) under Article 24(1) may state in the Semiannual Securities Report required by the preceding paragraph, among the matters set forth in the preceding paragraph, only those specified by a Cabinet Office Ordinance as the matters pertaining to the company, instead of descriptions on all of the matters set forth in the preceding paragraph, unless the company falls under any of the categories of persons specified in the following items:
- 保証証券業務(契約上の債務又は法令上の義務の履行を保証することを約し、その対価を受ける業務のうち、保険数理に基づき、当該対価を決定し、準備金を積み立て、再保険による危険の分散を行うことその他保険に固有の方法を用いて行うものをいう。)による当該保証は、前項第一号に掲げる保険の引受けとみなし、当該保証に係る対価は、同号の保険に係る保険料とみなす。
- The surety by the surety bond business (referring to, among the businesses to guarantee the performance of contractual obligations or legal and regulatory obligations, and receive the consideration, those carried out by setting the amount of consideration, establishing a reserve, and distributing the risks by reinsurance, based on actuarial science, or by using any other methods inherent to insurance) shall be deemed as the underwriting of the classes of insurance listed in item (i) of the preceding paragraph, and the consideration pertaining to the surety shall be deemed as the insurance premium pertaining to the classes of insurance set forth in that item.
- この法律において「信託契約代理業」とは、信託契約(当該信託契約に基づく信託の受託者が当該信託の受益権(当該受益権を表示する証券又は証書を含む。)の発行者(金融商品取引法(昭和二十三年法律第二十五号)第二条第五項に規定する発行者をいう。)とされる場合を除く。)の締結の代理(信託会社又は外国信託会社を代理する場合に限る。)又は媒介を行う営業をいう。
- The term 'Agency for Trust Agreements' as used in this Act shall mean business that is carried out for acting as an agent (limited to the case of acting as an agent for a Trust Company or a Foreign Trust Company) or an intermediary in concluding a trust agreement (excluding the case where the trustee of a trust based on said trust agreement is to be a person who has issued beneficial interest in said trust (including securities or a deed indicating said beneficial interest) (meaning an issuer as prescribed in Article 2(5) of the Financial Instruments and Exchange Act (Act No. 25 of 1948))).
- 法第十九条第一項に規定する支払手段又は証券(それぞれ財務省令で定めるものに限る。)であつて、その価額として財務省令で定める方法により計算した額(当該支払手段が二以上ある場合、当該証券が二以上ある場合又は当該支払手段及び証券が合わせて二以上ある場合には、それぞれの価額として財務省令で定める方法により計算した額の合計額)が百万円に相当する額を超えるもの
- Means of payment or securities prescribed in Article 19, paragraph (1) of the Act (limited to those respectively specified by the Ordinance of the Ministry of Finance), for which the amount calculated as its value by a method specified by the Ordinance of the Ministry of Finance (where two or more means of payment are involved, where two or more securities are involved, or where two or more means of payment and securities are involved in total, the total of the amounts calculated by a method specified by the Ordinance of the Ministry of Finance as the values of each) exceeds that equivalent to one million yen
- 第三項に規定する場合において、同項の旧完全子会社が株券発行会社であるときは、旧完全親会社は、登録株式質権者に対し、第二項の旧完全子会社株式に係る株券を引き渡さなければならない。ただし、第一項前段の株主が旧完全子会社株式の交付を受けるために旧完全親会社株式に係る旧株券を提出しなければならない場合において、旧株券の提出があるまでの間は、この限りでない。
- In the cases prescribed in paragraph (3), when the Former Wholly Owned Subsidiary Company set forth in that paragraph is a Company Issuing Share Certificates, the Former Wholly Owning Parent Company shall deliver the share certificates representing the Shares of the Former Wholly Owned Subsidiary Company set forth in paragraph (2) Crestec
- 破産手続開始、再生手続開始、更生手続開始又は特別清算開始の申立てを行つたとき(有価証券関連業を行わない旨の第三十一条第四項の変更登録及び外国法人である金融商品取引業者にあつては、国内において破産手続開始、再生手続開始、更生手続開始若しくは特別清算開始の申立てを行つたとき、又は本店の所在する国において当該国の法令に基づき同種類の申立てを行つたとき。)。
- when the Financial Instruments Business Operator files an application for commencement of bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation proceedings (with regard to a Financial Instruments Business Operator which has obtained registration of change set forth in Article 31(4) to the effect that it stops conducting Securities-Related Business or which is a foreign juridical person, when it files an application for commencement of bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation proceedings in Japan, or when it files an application of the same kind in a state where its head office is located based on the laws and regulations of said state);
- この章において「組織再編成発行手続」とは、組織再編成により新たに有価証券が発行される場合における当該組織再編成に係る書面等の備置き(会社法(平成十七年法律第八十六号)第七百八十二条第一項の規定による書面若しくは電磁的記録の備置き又は同法第八百三条第一項の規定による書面若しくは電磁的記録の備置きをいう。次項において同じ。)その他政令で定める行為をいう。
- The term 'Procedures Relating to Securities Issuance for Reorganization' as used in this Chapter means keeping of documents, etc. (meaning keeping of documents or Electromagnetic Records required under Article 782(1) of the Companies Act (Act No. 86 of 2005) or keeping of documents or Electromagnetic Records required under Article 803(1) of said Act; the same shall apply in the following paragraph) required relating to a Reorganization for which new Securities are issued, or other acts specified by a Cabinet Order.
- 有価証券をもつて買付け等の対価とする公開買付けであつて、当該有価証券の募集又は売出しにつき第四条第一項若しくは第二項の規定による届出が行われたもの又は発行登録追補書類が提出されたものに係る公開買付届出書の提出については、前条第二項の規定にかかわらず、公開買付届出書に記載すべき事項及び添付書類のうち内閣府令で定めるものの記載及び添付を省略することができる。
- Notwithstanding paragraph (2) of the preceding Article, in the case of a Tender Offer in which Securities are to be delivered as the consideration of Purchase, etc., if the notification under the main clause of Article 4(1) or the main clause of Article 4(2) has been made or the Shelf Registration Supplements have been submitted for the Securities, part of the matters to be stated in a Tender Offer Notification and documents to be attached thereto may be omitted as specified by a Cabinet Office Ordinance in the Tender Offer Notification to be submitted for the Tender Offer.
- 有価証券の発行者で第一項第一号から第十号までに掲げる書類を提出したもの及び親会社等で同項第十二号に掲げる書類を提出したものがその事業上の秘密の保持の必要により前三項に規定する書類の一部について公衆の縦覧に供しないことを内閣総理大臣に申請し、内閣総理大臣が当該申請を承認した場合においては、前三項の規定にかかわらず、その一部は、公衆の縦覧に供しないものとする。
- Notwithstanding the preceding three paragraphs, when the Issuer of Securities who submits documents listed in items (i) to (xi) of paragraph (1) or the Parent Company, etc. who submits documents listed in item (xii) of said paragraph submits an application that requires exclusion of part of the documents referred to in the preceding three paragraphs from making available for public inspection by reason of necessity to keep confidentiality of a business secret to the Prime Minister and the Prime Minister approves it, the part of the documents pertaining to the application shall not be made available for public inspection.
- 第二項の規定にかかわらず、第一項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、同項の大量保有報告書又は第二項の変更報告書を提出した後に株券等保有割合が百分の一以上増加した場合であつて、当該増加した日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の変更報告書を内閣総理大臣に提出しなければならない。
- Notwithstanding the provision of paragraph (2), when the Holding Ratio of Share Certificates, etc. of a Financial Instruments Business Operator, bank or any other person specified by a Cabinet Office Ordinance which is set forth in paragraph (1) has increased by 1% or more after the submission of the Report of Possession of Large Volume under the same paragraph or the Change Report under paragraph (2), and when any of said persons intends to conduct an Act of Making Important Suggestions, etc. within the period specified by a Cabinet Order from the date of said increase, such person shall submit to the Prime Minister a Change Report under the same paragraph by five days prior to the date of such Act of Making Important Suggestions, etc., pursuant to the provisions of a Cabinet Office Ordinance.
- 前項第一号及び第二号に掲げる場合の目論見書であつて、第五条第四項(同条第五項において準用する場合を含む。以下同じ。)の規定の適用を受けた届出書を提出した者が作成すべきもの又は同条第四項各号に掲げるすべての要件を満たす者が作成すべき既に開示された有価証券に係るものについては、参照書類を参照すべき旨を記載した場合には、同条第一項第二号に掲げる事項の記載をしたものとみなす。
- With regard to a Prospectus that falls under the category specified in item (i) or (ii) of the preceding paragraph, when the person required to prepare it has submitted a notification to which Article 5(4) (including the cases where it is applied mutatis mutandis pursuant to Article 5(5); the same shall apply hereinafter) is applied or if the person required to prepare it for Already Disclosed Securities satisfies all of the requirements specified in the items of Article 5(4), if the person states in the Prospectus to the effect that reference should be made to the Reference Documents, the Prospectus shall be deemed to contain descriptions on the matters listed in Article 5(1)(ii).
- 第一項第二十三号及び第二十四号に掲げる者に係る届出者の直近日における有価証券の残高並びに同項第二十五号に掲げる者に係る届出者の資本金若しくは出資の額又は基金の総額を本邦通貨に換算する場合には、同項第二十三号から第二十五号までに規定する届出の時における外国為替相場(外国為替及び外国貿易法第七条第一項に規定する基準外国為替相場又は裁定外国為替相場をいう。)によるものとする。
- The conversion of the balance of Securities held by the Notifier for persons as listed in items (xxiii) and (xxiv) of paragraph (1) at the Latest Date, and the conversion of the amount of the stated capital or the contribution, or the total amount of the funds of the Notifier for a person as listed in item (xxv) of that paragraph, into Japanese currency shall be made by using the exchange rate (meaning the Basic Exchange Rate or the Arbitrated Exchange Rate as prescribed in Article 7, paragraph (1) of the Foreign Exchange and Foreign Trade Act) at the time of a notification under any of items (xxiii) to (xxv) inclusive of that paragraph.
- 内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、有価証券届出書の届出者、発行登録書の提出者、有価証券報告書の提出者、自己株券買付状況報告書の提出者、親会社等状況報告書の提出者若しくは有価証券の引受人その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をしてその者の帳簿書類その他の物件を検査させることができる。
- When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order the person who submits a Securities Registration Statement, Shelf Registration Statement, Annual Securities Report, Share Buyback Report or Status Report of Parent Company, etc. or an Underwriter of the Securities or other person concerned or witnesses to submit reports or materials that will be helpful, or have the officials inspect the books and documents or other articles held by these persons.
- 会員等が取引所金融商品市場における有価証券の売買又は市場デリバティブ取引に基づく債務の不履行により他の会員等、金融商品取引所又は金融商品取引清算機関(金融商品取引所の定款において定めたものに限る。)に対し損害を与えたときは、その損害を受けた会員等、金融商品取引所又は金融商品取引清算機関は、その損害を与えた会員等の信認金について、他の債権者に先立ち弁済を受ける権利を有する。
- When a Member, etc. has caused damage to another Member, etc., a Financial Instruments Exchange or a Financial Instruments Clearing Organization (limited to those specified in the articles of incorporation of the Financial Instruments Exchange) as a result of default arising from sales and purchase of Securities or Market Transactions of Derivatives in the Financial Instruments Exchange Market, the Member, etc., Financial Instruments Exchange or Financial Instruments Clearing Organization which suffered damage shall have the right to receive, in preference over other creditors, payment from the guarantee funds of the Member, etc. who has caused the damage.
- 会員等が脱退した場合(取引参加者にあつては、取引資格を喪失した場合)においては、金融商品取引所は、定款の定めるところにより、本人若しくはその一般承継人又は他の会員等に、その取引所金融商品市場においてした有価証券の売買及び市場デリバティブ取引を結了させなければならない。この場合においては、本人又はその一般承継人は、これらの取引の結了の目的の範囲内において、なお会員等とみなす。
- When a Member, etc. has withdrawn from a Financial Instruments Exchange (for a Trading Participant, when it has lost qualification for trading), the Financial Instruments Exchange shall, in accordance with the articles of incorporation, have the former Member, etc. or its general successor or another Member, etc. complete the sales and purchase of Securities and Market Transactions of Derivatives conducted by the former Member, etc. in the Financial Instruments Exchange Market. In this case, the former Member, etc. or its general successor shall be deemed as a Member, etc. within the scope of the purpose to complete the transactions.
- 金融商品取引業者は、資本金、準備金その他の内閣府令で定めるものの額の合計額から固定資産その他の内閣府令で定めるものの額の合計額を控除した額の、保有する有価証券の価格の変動その他の理由により発生し得る危険に対応する額として内閣府令で定めるものの合計額に対する比率(以下「自己資本規制比率」という。)を算出し、毎月末及び内閣府令で定める場合に、内閣総理大臣に届け出なければならない。
- A Financial Instruments Business Operator shall calculate the ratio of the total sum of the stated capital, reserve fund, and other amount specified by a Cabinet Office Ordinance after deduction of the total sum of the fixed assets and any others specified by a Cabinet Office Ordinance, to the total sum of the amount specified by a Cabinet Office Ordinance as the amount for covering possible risks which may accrue due to the fluctuation of prices of the Securities held or other reasons (hereinafter referred to as the 'Capital-to-Risk Ratio'), and notify it to the Prime Minister at the end of each month and in the cases specified by a Cabinet Office Ordinance.
- 登記官は、前項の場合において、登記の錯誤又は遺漏が登記官の過誤によるものであるときは、遅滞なく、当該登記官を監督する法務局又は地方法務局の長の許可を得て、登記の更正をしなければならない。ただし、登記上の利害関係を有する第三者(当該登記の更正につき利害関係を有する抵当証券の所持人又は裏書人を含む。以下この項において同じ。)がある場合にあっては、当該第三者の承諾があるときに限る。
- In the case referred to in the preceding paragraph, if the error or omission regarding the registration has been caused by a mistake committed by a registrar, the registrar shall correct the registration without delay, with the permission of the Director of the Legal Affairs Bureau or District Legal Affairs Bureau who supervises the registrar; provided, however, that if there is a third party who has an interest in the registration (including the holder or endorser of the mortgage securities who has an interest in the correction of the registration; hereinafter the same shall apply in this paragraph), this provision shall apply only when such third party gives consent.
- 第二十九条の規定は、銀行、協同組織金融機関その他政令で定める金融機関が、次に掲げる行為(以下「デリバティブ取引等」という。)のうち第二十八条第八項第三号から第六号までに掲げるもの(以下「有価証券関連デリバティブ取引等」という。)以外のものを業として行う場合、第二条第八項第七号に掲げる行為を業として行う場合又は投資助言・代理業若しくは有価証券等管理業務を行う場合には、適用しない。
- The provisions of Article 29 shall not apply in cases where banks, Cooperative Structured Financial Institution, or other financial institutions specified by a Cabinet Order conduct acts other than those listed in Article 28(8)(iii) to (vi) (hereinafter referred to as 'Transactions of Securities-Related Derivatives, etc.') among the following acts (hereinafter referred to as 'Derivative Transactions, etc.') in the course of trade, conduct acts listed in Article 2(8)(vii) in the course of trade, or conduct Investment Advisory and Agency Business or Securities, etc. Management Business:
- この法律において「有価証券等清算取次ぎ」とは、金融商品取引業者又は登録金融機関が金融商品取引清算機関の業務方法書の定めるところにより顧客の委託を受けてその計算において行う対象取引(次項に規定する「対象取引」をいう。以下この項において同じ。)であつて、対象取引に基づく債務を当該金融商品取引清算機関に引き受けさせることを条件とし、かつ、次に掲げる要件のいずれかに該当するものをいう。
- The term 'Broking for Clearing of Securities, etc.' as used in this Act means a Subject Transaction (meaning a 'Subject Transaction' defined in the following paragraph; hereinafter the same shall apply in this paragraph) which is conducted by a Financial Instruments Business Operator or Registered Financial Institution under entrustment by a customer and for the account of the customer in accordance with the business rules of a Financial Instruments Clearing Organization, which is conducted on condition that the obligation arisen from the Subject Transactions will be assumed by the Financial Instruments Clearing Organization, and which satisfies any of the following requirements:
- 流動化証券 資産の流動化に関する法律(平成十年法律第百五号)第二条第九項に規定する特定社債券若しくは同条第十五項に規定する受益証券であつて同条第一項に規定する特定資産が外国公社債等のみであるもの又は投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)第二条第四項に規定する証券投資信託であつて投資対象が外国公社債等のみであるものに係る同条第七項に規定する受益証券をいう。
- Liquid securities: Meaning specified corporate bonds prescribed in Article 2, paragraph (9) of the Act on the Liquidation of Assets (Act No. 105 of 1998), or beneficiary securities prescribed in paragraph (15) of the said Article for which specified assets prescribed in paragraph (1) of the said Article are only the foreign public or corporate bonds, etc., or beneficiary securities prescribed in Article 2, paragraph (7) of the Act on Investment Trust and Investment Corporation pertaining to securities investment trust prescribed in paragraph (4) of the said Article for which the subject of investment are only the Foreign Public and Corporate Bonds, etc.
- 応募株主等(公開買付けに係る株券等の買付け等の申込みに対する承諾又は売付け等の申込みをした者をいう。以下この節において同じ。)は、公開買付期間(第二十七条の八第八項の規定により延長しなければならない期間を含む。次条第一項及び第四項、第二十七条の十四第一項並びに第二十七条の二十一第一項及び第二項において同じ。)中においては、いつでも、当該公開買付けに係る契約の解除をすることができる。
- An Accepting Shareholder, etc. (meaning a person who accepts the offer for Purchase, etc. of Share Certificates, etc. made in the Tender Offer or who makes an offer for Sales, etc. of Share Certificates, etc. for which the Tender Offer is made; hereinafter the same shall apply in this Section) may cancel the contract pertaining to the Tender Offer at any time during the Tender Offer Period (including the period to be extended under Article 27-8(8); the same shall apply in paragraphs (1) and (4) of the following Article, 27-14(1) and 27-21(1) and (2)).
- 特定目的会社が発行する特定社債(特定短期社債を除き、資産流動化計画において当該特定社債の発行により得られる金銭をもつて指名金銭債権又は指名金銭債権を信託する信託の受益権のみを取得するものに限る。)その他これに準ずる有価証券として内閣府令で定めるもの(以下この号において「特定社債等」という。)の引受け(売出しの目的をもつてするものを除く。)又は当該引受けに係る特定社債等の募集の取扱い
- of Specified Corporate Bonds issued by Special Purpose Companies (excluding Specified Short-Term Corporate Bonds and limited to those where only nominative monetary claims or beneficial interest of a trust into which nominative monetary claims are placed are acquired using the money gained through the issuance of that Specified Corporate Bonds under Asset Securitization Plans) and any other securities specified by Cabinet Office Ordinance as those equivalent thereto (hereinafter referred to as 'Specified Corporate Bonds, etc.' in this item) or handling of public offering of the Specified Corporate Bonds, etc. pertaining to that underwriting;
- of specified company bonds issued by a special purpose company (excluding specified short term company bonds, and limited to those for acquiring only nominative monetary claims or the beneficial interest in trust in which nominative monetary claims are entrusted by using the money gained through issuance of said specified company bonds under an asset liquidation plan) and other securities that are specified by a Cabinet Office Ordinance as those equivalent thereto (hereinafter referred to as 'specified company bonds, etc.' in this item) or handling of solicitation of the specified company bonds, etc. pertaining to said underwriting
- 前項の場合を除くほか、第二項の場合において、その請求権者が受けた損害の全部又は一部が、当該書類の虚偽記載等によつて生ずべき当該有価証券の値下り以外の事情により生じたことが認められ、かつ、当該事情により生じた損害の性質上その額を証明することが極めて困難であるときは、裁判所は、口頭弁論の全趣旨及び証拠調べの結果に基づき、賠償の責めに任じない損害の額として相当な額の認定をすることができる。
- In addition to the cases referred to in the preceding paragraph, in the case referred to in paragraph (2), when the court finds that all or part of the damage sustained by the person who is entitled to claim damages was caused by any reason other than the decline in value of the Securities that should arise from the Fake Statement, etc. in the document, but it is extremely difficult to prove the amount of the damages arising from such other reason due to its nature, the court may, based on the entire import of oral argument and the result of examination of evidence, determine a reasonable amount of the damages for which the person liable for damages is not liable.
- 前条の規定により賠償の責めに任ずべき者は、当該請求権者が受けた損害の額の全部又は一部が、有価証券届出書又は目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていたことによつて生ずべき当該有価証券の値下り以外の事情により生じたことを証明した場合においては、その全部又は一部については、賠償の責めに任じない。
- The person liable for damages under the preceding Article, when he/she proves that all or part of the damage sustained by the person who entitled to claim damages was caused by any reason other than the decline in value of the Securities that should arise from the fact that the Securities Registration Statement or the Prospectus contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, shall not be liable for that all or part of the damages.
- 第十一条の規定は、重要な事項について虚偽の記載がある有価証券報告書(その訂正報告書を含む。次条において同じ。)を提出した者が当該記載について前条第一項において準用する第七条の規定により訂正報告書を提出した日又は同項において準用する第十条第一項の規定により訂正報告書の提出を命ぜられた日から一年以内に提出する第五条第一項に規定する届出書又は発行登録書若しくは発行登録追補書類について準用する。
- Article 11 shall apply mutatis mutandis to statements under Article 5(1), Shelf Registration Statements or Shelf Registration Supplements submitted by the person who submitted an Annual Securities Report (including an amendment report therefor; the same shall apply in the following Article) which contains any fake statements on important matters, during the period within one year from the day when the person submitted an amendment report regarding the fake statements under Article 7 as applied mutatis mutandis pursuant to paragraph (1) of the preceding Article or was ordered to submit such an amendment report under Article 10(1) as applied mutatis mutandis pursuant to Article 24-2(1).
- 法第二条第一項第十七号に掲げる有価証券で同項第三号に掲げる有価証券の性質を有するもののうち、当該有価証券の発行者以外の会社が発行した有価証券(以下この号において「対象証券」という。)により償還される旨又は償還することができる旨の特約が付されているもの(当該特約に基づき有価証券を保有する者が当該有価証券の発行会社に対し対象証券による償還を受ける権利を有しているものに限る。) 次に掲げる事項
- the Securities listed in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities listed in item (iii) of that paragraph, with a special provisions whereby such Securities shall or may be redeemed through the Securities issued by a company other than the Issuer of the relevant Securities (hereinafter such issued Securities shall be referred to as the 'Target Securities' in this item) (limited to Securities where, based on the special provision, the person who holds the Securities has the right to receive the redemption of said Securities through Target Securities from the company issuing said Securities): the following matters:
- 前項の規定は、第十三条第一項の目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、前項中「有価証券届出書の届出者」とあるのは「目論見書を作成した発行者」と、「募集又は売出しに応じて」とあるのは「募集又は売出しに応じ当該目論見書の交付を受けて」と読み替えるものとする。
- The preceding paragraph shall apply mutatis mutandis to cases where a Prospectus referred to in Article 13(1) contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. In this case, the terms 'the person who submitted the Securities Registration Statement' and 'through the Public Offering or Secondary Distribution' in the preceding paragraph shall be deemed to be replaced with 'the Issuer who prepared the Prospectus' and 'through the Public Offering or Secondary Distribution after receiving the Prospectus,' respectively.
- 内閣総理大臣は、第六十条第一項の許可を受けた外国証券業者(以下「取引所取引許可業者」という。)の国内における代表者が欠けた場合において、必要があると認めるときは、一時その職務を行うべき者(次項において「職務代行者」という。)を選任することができる。この場合において、当該取引所取引許可業者は、国内における代表者が欠ける前における当該国内における代表者の住所地において、その登記をしなければならない。
- When there is any vacancy in the office of the Representative Person in Japan of a Foreign Securities Broker which has obtained the permission under Article 60(1) (hereinafter referred to as an 'Authorized Transaction-at-Exchange Operator'), if the Prime Minister finds it necessary, he/she may appoint a person who shall temporarily perform the duty of the Representative Person in Japan (referred to as the 'Acting Representative Person' in the following paragraph). In this case, the Authorized Transaction-at-Exchange Operator shall conduct the registration for such appointment at the domicile of the Representative Person in Japan which shall be the domicile before the time when the office of the Representative Person becomes vacant.
- 法第十八条第一項第一号に規定する本邦内に住所又は居所を有しない外国人で政令で定めるものは、本邦に在留する外国人であつて、その所持する旅券(出入国管理及び難民認定法(昭和二十六年政令第三百十九号)第二条第五号に掲げる旅券をいう。)又は乗員手帳(出入国管理及び難民認定法第二条第六号に掲げる乗員手帳をいう。)の記載によつて当該外国人のその属する国における住所又は居所を確認することができないものとする。
- The foreign nationals not having their domicile or residence in Japan who are specified by Cabinet Order as prescribed in Article 18, paragraph (1), item (i) of the Act shall be foreign nationals residing in Japan whose domicile or residence in the states to which the foreign nationals belong cannot be confirmed based on the entries in the passports (meaning passports listed in Article 2, item (v) of the Immigration Control and Refugee Recognition Act (Cabinet Order No. 319 of 1951)) or crew member's pocket-ledgers (meaning crew member's pocket-ledgers listed in Article 2, item (vi) of the Immigration Control and Refugee Recognition Act) that they possess.
- 第一項本文若しくは第二項本文の規定により親会社等状況報告書を提出し、又は前項において準用する第七条、第九条第一項若しくは第十条第一項の規定により親会社等状況報告書の訂正報告書を提出した親会社等は、遅滞なく、これらの書類の写しを当該親会社等の提出子会社に送付するとともに、これらの書類の写しを次の各号に掲げる当該提出子会社が発行者である有価証券の区分に応じ、当該各号に定める者に提出しなければならない。
- A Parent Company, etc. shall, when it submits a Status Report of Parent Company, etc. under the main clause of paragraph (1) or the main clause of paragraph (2) or submits an amendment report for a Status Report of Parent Company, etc. under Article 7, Article 9(1) and Article 10(1) as applied mutatis mutandis pursuant to the preceding paragraph, send a copy thereof to the Subsidiary Company Submitting Annual Securities Reports without delay, and also submit a copy thereof to the exchange or association specified in the following items for each kind of Securities set forth in the respective items:
- 当該匿名組合契約の相手方になろうとする者が他の匿名組合契約の営業者であって、かつ、金融商品取引業者等(投資運用業を行う者に限る。)、法第六十三条第二項若しくは第六十三条の三第一項の規定に基づく届出を行った者(法第六十三条第一項第二号に掲げる行為を業として行う者に限る。)又は証券取引法等の一部を改正する法律(平成十八年法律第六十五号)附則第四十八条第一項に規定する特例投資運用業務を行う者であること。
- that a person who wishes to be a counterparty to said Silent Partnership Contract is a proprietor under any other Silent Partnership Contract, and, at the same time, falls under the category of a Financial Instruments Specialist, etc. (limited to a person engaged in Investment Management), a person who has made a notification under Article 63, paragraph (2) or Article 63-3, paragraph (1) of the Act (limited to a person engaged in an act listed in Article 63, paragraph (1), item (ii) of the Act as a part of business) or a person engaged in special investment management business as prescribed in Article 48, paragraph (1) of the Supplementary Provisions of the Act for Partial Revision of the Securities and Exchange Act, etc. (Act No. 65 of 2006);
- 金融商品取引業者(有価証券関連業を行う者に限る。次号において同じ。)が、銀行、協同組織金融機関その他政令で定める金融機関、外国においてこれらの者が行う業務と同種類の業務を行う法人、金融商品取引業者(法人である場合に限る。)、金融商品取引業を行う外国の法人その他内閣府令で定める法人(同号及び第五十六条の二第一項において「銀行等」という。)について、その総株主等の議決権の過半数を取得し、又は保有したとき。
- when a Financial Instruments Business Operator (limited to those engaged in Securities-Related Business; the same shall apply in the following item) has obtained or has come to hold the majority of Voting Rights Held by All the Shareholders, etc. of a bank, Cooperative Structured Financial Institution, or other financial institution specified by a Cabinet Order, a juridical person engaged in the same kind of business as those conducted by these persons in a foreign state, a Financial Instruments Business Operator (limited to juridical persons), a foreign juridical person engaged in Financial Instruments Business, or another juridical person specified by a Cabinet Office Ordinance (referred to as 'Banks, etc.' in said item and Article 56-2(1));
- 役員(いかなる名称を有するかを問わず、当該法人に対し役員と同等以上の支配力を有するものと認められる者を含む。次条第一項第三号、第六十条の三第一項及び第六十条の八第二項において同じ。)又は国内における代表者(外国証券業者の会社法第八百十七条第一項に規定する日本における代表者をいう。以下この節において同じ。)のうちに第二十九条の四第一項第二号イからトまでに掲げる者のいずれかに該当する者のある法人であるとき。
- when the applicant for permission is a juridical person any of whose Officers (including those who are found to have the same or higher authority than an officer over the juridical person, irrespective of their title names; hereinafter the same shall apply in paragraph (1), item (iii) of the following Article, Article 60-3(1) and Article 60-8(2)) or a Representative Person in Japan (meaning a representative person in Japan of a Foreign Securities Broker prescribed in Article 817(1) of the Companies Act; hereinafter the same shall apply in this Section) falls under any of the persons listed in Article 29-4(1)(ii)(a) to (g) inclusive.
- 前項第三号に掲げる有価証券に該当する有価証券の発行者である会社で、少額募集等につき第五条第二項に規定する事項を記載した同条第一項に規定する届出書を提出した会社のうち次の各号のいずれにも該当しない会社は、前項本文の規定により提出しなければならない有価証券報告書に、同項本文に規定する事項のうち当該会社に係るものとして内閣府令で定めるものを記載することにより、同項本文に規定する事項の記載に代えることができる。
- A company which has issued Securities falling under the category specified in item (iii) of the preceding paragraph and has submitted a statement containing descriptions on the matters specified in Article 5(2) under Article 5(1) for Small Amount Public Offering, etc. may state in the Annual Securities Report required by the main clause of the preceding paragraph, among the matters set forth in the main clause of Article 5(1), only those specified by a Cabinet Office Ordinance as the matters pertaining to the company, instead of descriptions on all of the matters set forth in the main clause of Article 5(1), unless the company falls under any of the categories of persons specified in the following items:
- 取引一任契約(関係外国金融商品取引業者の計算による取引に関し、売買の別、銘柄、数及び価格(デリバティブ取引にあっては、これらに相当する事項)について金融商品取引業者が定めることができることを内容とする契約をいう。ロにおいて同じ。)に基づき当該金融商品取引業者が行う有価証券の売買又はデリバティブ取引であって、当該金融商品取引業者が当該取引一任契約の成立前に次に掲げる事項を所管金融庁長官等に届け出ているもの
- the purchase and sale of Securities or a Derivative Transaction conducted by a Financial Instruments Specialist under a Discretionary Investment Contract (meaning a contract in which it is provided that the Financial Instruments Specialist may decide on the purchase and sale of the Securities and on the issues, volume and price (or, in the case of a Derivative Transaction, any equivalent matters) in connection with a transaction on the account of the Affiliated Foreign Financial Instruments Specialist; the same shall apply in sub-item (b)), and with regard to which said Financial Instruments Specialist has notified the Commissioner of the Financial Services Agency or Other Competent Official of the matters listed in the following sub-items prior to the formation of said Discretionary Investment Contract;
- 金融商品取引業者等は、第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利に係る金融商品取引契約の締結の勧誘(募集若しくは売出し又は募集若しくは売出しの取扱いであつて、政令で定めるものに限る。)を行う場合には、あらかじめ、当該金融商品取引契約に係る第一項の書面の内容を内閣総理大臣に届け出なければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。
- A Financial Instruments Business Operator, etc. shall, before conducting a solicitation (limited to a Public Offering or Secondary Distribution, or dealing of Public Offering or Secondary Distribution specified by a Cabinet Order) of conclusion of a Contract for Financial Instruments Transaction pertaining to any of the rights listed in the items of Article 2(2) that shall be deemed to be Securities under said paragraph, notify in advance the Prime Minister of the contents of the document set forth in paragraph (1) regarding said Contract for Financial Instruments Transaction; provided, however, that this shall not apply to cases where the protection of investors will not be hindered as specified by a Cabinet Office Ordinance.
- 金融商品取引業者等は、金融商品取引所に上場されている有価証券及び店頭売買有価証券の売買その他の取引で政令で定めるものに関する顧客の注文を受けようとするときは、あらかじめ、顧客に対し、内閣府令で定めるところにより、当該取引に係る最良執行方針等を記載した書面を交付しなければならない。ただし、既に当該書面(当該最良執行方針等を変更した場合にあつては、変更後のものを記載した書面)を交付しているときは、この限りでない。
- A Financial Instruments Business Operator, etc. shall, before accepting an order from a customer for sales and purchase of Securities listed in a Financial Instruments Exchange or Over-the-Counter Traded Securities or other transactions specified by a Cabinet Order, deliver in advance to the customer, pursuant to the provisions of a Cabinet Office Ordinance, a document stating its Best Execution Policy, etc. pertaining to the relevant transaction; provided, however, that this shall not apply where such document (in cases where its Best Execution Policy, etc. has been revised, a document stating the revised policy) has already been delivered.
- 認可協会は、その定款において、法令、法令に基づく行政官庁の処分若しくは認可協会若しくは金融商品取引所の定款その他の規則に違反し、又は取引の信義則に背反する行為をして、有価証券の売買その他の取引若しくはデリバティブ取引等の停止を命ぜられ、又は認可協会若しくは金融商品取引所から除名若しくは取引資格の取消しの処分を受けたことのある者については、その者が協会員として加入することを拒否することができる旨を定めることができる。
- An Authorized Association may stipulate in its articles of incorporation that the Authorized Association may refuse the admission as a Member Firm if an applicant has been ordered to suspend sales and purchase or other transactions of Securities or Derivative Transactions, etc. or has been expelled from membership of, or has had qualification for trading rescinded by, an Authorized Association or a Financial Instruments Exchange, on account of having violated laws and regulations, dispositions issued by government agencies based on laws and regulations, or the articles of incorporation or other rules of the Authorized Association or a Financial Instrument Exchange, or of having conducted acts contrary to the fair and equitable principles of transactions.
- 当該有価証券の発行者又はその役員(取締役、監査役、執行役、理事若しくは監事又はこれらに準ずる者をいう。)であり、かつ、当該発行者の総株主等の議決権の百分の五十を超える議決権に係る株式若しくは出資を自己若しくは他人の名義をもって所有する者(以下この条及び第十三条の五第一項第二号ハにおいて「特定役員」という。)若しくは当該特定役員の被支配法人等(当該発行者を除く。以下この条及び同号ハにおいて同じ。)に対して譲渡する場合
- cases where the relevant person transfers the Securities to the Issuer of the relevant Securities or the Officer (meaning directors, company auditors, executive officers, board members, auditors, or persons equivalent thereto) thereof, who holds shares or equity pertaining to voting rights exceeding 50 percent of the Voting Rights Held by All the Shareholders of said Issuer under his/her own name or another person's name (hereinafter such Officer shall be referred to as the 'Specified Officer' in this Article and Article 13-5, paragraph (1), item (ii), sub-item (c)), or to the Controlled Juridical Person, etc. (excluding the relevant Issuer; hereinafter the same shall apply in this Article and Article 13-5, paragraph (1), item (ii), sub-item (c)) of the relevant Specified Officer; and
- 認可協会は、前条の規定による報告に基づき、その開設する店頭売買有価証券市場における店頭売買有価証券の売買、取扱有価証券の売買及び上場株券等の取引所金融商品市場外での売買(協会員が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。次条において同じ。)について、内閣府令で定めるところにより、銘柄別に毎日の売買高、最高、最低及び最終の価格その他の事項をその協会員に通知し、公表しなければならない。
- An Authorized Association shall, pursuant to the provisions of a Cabinet Office Ordinance and based on the reports made pursuant to the provision of the preceding Article, notify its Member Firms and also publicize the daily trading volume, and highest price, lowest price, closing price and any other matters for each day and for each issue in relation to sales and purchase of Over-the-Counter Traded Securities on the Over-the-Counter Securities Market established by said Authorized Association, sales and purchase of the Tradable Securities, and sales and purchase of the Listed Share Certificates, etc. conducted outside of a Financial Instruments Exchange Market (limited to those which a Member Firm conducts on its own account, and those for which a Member Firm provides intermediary, brokerage or agency services; hereinafter the same shall apply in the following Article).
- 前項の規定による処分があつた場合において、内閣総理大臣は、同項の記載につき第二十三条の四又は前条第一項(同条第五項において準用する場合を含む。)の規定により提出された訂正発行登録書(当該訂正発行登録書に係る参照書類を含む。)の内容が適当であり、かつ、当該提出者の発行する有価証券を募集又は売出しにより取得させ、又は売り付けても公益又は投資者保護のため支障がないと認めるときは、前項の規定による処分を解除することができる。
- In cases where a disposition is made under the preceding paragraph, the Prime Minister may cancel the disposition, if he/she finds that the content of an Amended Shelf Registration Statement submitted under Article 23-4 or paragraph (1) of the preceding Article (including the cases where it is applied mutatis mutandis pursuant to Article 23-10(5)) in relation to the fake statement referred to in the preceding paragraph is appropriate and that even if acquisition or sale of Securities issued by the person having submitted the Shelf Registration Documents through Public Offering or Secondary Distribution is allowed, it would not hinder the public interest or protection of investors.
- 証券専門関連業務及び信託専門関連業務のいずれも営むもの(イに掲げるものを除く。) 当該会社の議決権について、当該銀行の証券子会社等が合算して、当該銀行又はその子会社(証券子会社等及び信託子会社等を除く。)が合算して保有する当該会社の議決権の数を超えて保有し、かつ、当該銀行の信託子会社等が合算して、当該銀行又はその子会社(証券子会社等及び信託子会社等を除く。)が合算して保有する当該会社の議決権の数を超えて保有しているもの
- A company that engages in both Specialized Securities Services and Specialized Trust Services (excluding those falling under the category listed in sub-item (a)): cases where the total voting rights in the company held by the Bank's Securities Subsidiary Companies, etc. exceed the total voting rights held therein by the Bank and its Subsidiary Companies (excluding the Securities Subsidiary Companies, etc. and Trust Subsidiary Companies, etc.), and where the total voting rights held in the company by the Bank's Trust Subsidiary Companies, etc. exceed the total voting rights held therein by the Bank and its Subsidiary Companies (excluding the Securities Subsidiary Companies, etc. and Trust Subsidiary Companies, etc.);
- 自己株式の処分の無効の訴えに係る請求を認容する判決が確定したときは、当該株式会社は、当該判決の確定時における当該自己株式に係る株主に対し、払込みを受けた金額又は給付を受けた財産の給付の時における価額に相当する金銭を支払わなければならない。この場合において、当該株式会社が株券発行会社であるときは、当該株式会社は、当該株主に対し、当該金銭の支払をするのと引換えに、当該自己株式に係る旧株券を返還することを請求することができる。
- When a judgment upholding a claim relating to an action seeking invalidation of a disposition of Treasury Shares becomes final and binding, the relevant Stock Company shall pay, to shareholders of such Treasury Shares as of the time such judgment became final and binding, monies equivalent to the amount of payment received from them or the value of the property delivered by them as of the time of the delivery. In such cases, when such Stock Company is a Company Issuing Share Certificates, the Stock Company may request such shareholders to return the old share certificates representing such Treasury Shares in exchange for the payment of such monies.
- 有価証券届出書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けているときは、次に掲げる者は、当該有価証券を募集又は売出しに応じて取得した者に対し、記載が虚偽であり又は欠けていることにより生じた損害を賠償する責めに任ずる。ただし、当該有価証券を取得した者がその取得の申込みの際記載が虚偽であり、又は欠けていることを知っていたときは、この限りでない。
- When a Securities Registration Statement contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, persons specified in the following items shall be liable to compensate persons who acquire the Securities through Public Offering or Secondary Distribution for damage arising from the fake statement or lack of the required statement; provided, however, that this shall not apply to cases where the person who acquired the Securities knew of the existence of the fake statement or the lack of the required statement at the time of acquiring the Securities:
- 前条第一項本文又は第二項本文の規定の適用を受ける有価証券の募集又は売出しのうち発行価額又は売出価額の総額が五億円未満のもので内閣府令で定めるもの(第二十四条第二項において「少額募集等」という。)に関し、前項の届出書を提出しようとする者のうち次の各号のいずれにも該当しない者は、当該届出書に、同項第二号に掲げる事項のうち当該会社に係るものとして内閣府令で定めるものを記載することにより、同号に掲げる事項の記載に代えることができる。
- A person who intends to submit a statement set forth in the preceding paragraph for a Public Offering or Secondary Distribution of Securities to which the main clause of paragraph (1) or the main clause of paragraph (2) of the preceding Article applies, of which the total issue price or the total distribution price is less than 500 million yen and which is specified by a Cabinet Office Ordinance for this purpose (such a Public Offering or Secondary Distribution of Securities is referred to as 'Small Amount Public Offering, etc.' in Article 24(2)), may state, among the matters set forth in item (ii) of the preceding paragraph, only those specified by a Cabinet Office Ordinance as the matters pertaining to the company, instead of descriptions on all of the matters listed in Article 24(2)(ii), unless the person falls under any of the categories of persons specified in the following items:
- 発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、第一項の有価証券を募集又は売出しにより取得させ、又は売り付ける場合において、当該有価証券に係る第五条第一項本文の届出書について第七条の規定による訂正届出書が提出されたときには、第十三条第二項第三号に定める事項に関する内容を記載した目論見書をあらかじめ又は同時に交付しなければならない。ただし、第二項各号に掲げる場合は、この限りでない。
- In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in paragraph (1) or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, if an amendment has been submitted with regard to the statement submitted for the Securities under the main clause of Article 5(1), they shall deliver the Prospectus stating the matters specified in Article 13(2)(iii) to the other person in advance of, or at the same time as, having the Securities acquired or selling the Securities; provided, however, that this shall not apply in the cases specified in the items of paragraph (2).
- 公開買付者等は、次項に規定する場合を除き、その公開買付けにつき有価証券をもつてその買付け等の対価とする場合において、当該有価証券がその募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受けるものであるときは、公開買付届出書又は訂正届出書の提出と同時に当該有価証券の発行者が内閣総理大臣にこれらの規定による届出を行つていなければ、売付け等の申込みの勧誘その他の当該公開買付けに係る内閣府令で定める行為をしてはならない。
- In the case of a Tender Offer in which Securities are to be delivered as the consideration of Purchase, etc., if Public Offering or Secondary Distribution of the Securities is subject to the main clause of Article 4(1) or the main clause of Article 4(2), the Tender Offeror, etc. shall not conduct solicitation of offers for Sales, etc. or other acts pertaining to the Tender Offer specified by a Cabinet Order unless the Issuer of the Securities has made a notification to the Prime Minister as provided by these provisions concurrently with submission of the Tender Offer Notification or an amendment therefor, except in the case referred to in the following paragraph.
- 第二十四条第一項(同条第五項において準用する場合を含む。)の規定による有価証券報告書を提出しなければならない会社は、その会社が発行者である有価証券の募集又は売出しが外国において行われるとき、その他公益又は投資者保護のため必要かつ適当なものとして内閣府令で定める場合に該当することとなつたときは、内閣府令で定めるところにより、その内容を記載した報告書(以下「臨時報告書」という。)を、遅滞なく、内閣総理大臣に提出しなければならない。
- A company required to submit Annual Securities Reports set forth in Article 24(1) (including the cases where it is applied mutatis mutandis pursuant to Article 24(5)) shall, in cases where Public Offering or Secondary Distribution of Securities issued by the company is conducted in a foreign state or in other cases specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors, submit a report stating the details thereof (hereinafter referred to as an 'Extraordinary Report') pursuant to the provisions of a Cabinet Office Ordinance to the Prime Minister without delay.
- 令第一条の四第一号又は第一条の七の四第一号に掲げる有価証券 令第一条の四第一号に定める場合(当該償還有価証券が新たに発行される有価証券でなく、かつ、当該償還有価証券の発行者が当該転換債券の発行者の親会社又は子会社でない場合(以下(1)及び(2)において「既発行償還有価証券である場合」という。)には、同号イに掲げる要件を除く。)又は令第一条の七の四第一号に定める場合(既発行償還有価証券である場合には、同号イに掲げる要件を除く。)
- the Securities set forth in Article 1-4, item (i) or Article 1-7-4, item (i) of the Cabinet Order: the cases specified in Article 1-4, item (i) of the Cabinet Order (in cases where the relevant Securities Acquired Upon Redemption are not Securities to be newly issued and the Issuer of said Securities Acquired Upon Redemption is not the Parent Company or Subsidiary Company of the Issuer of the relevant Convertible Bond Certificates (hereinafter such case shall be referred to as the 'Case of Already Issued Securities Upon Through Redemption' in 1. and 2. below), excluding the requirements set forth in Article 1-4, item (i), sub-item (a) of the Cabinet Order), or the cases specified in Article 1-7-4, item (i) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the requirements set forth in sub-item (a) of that item);
- 金融商品取引業者等は、第六項の規定による公告をした場合(合併、分割による事業の全部又は一部の承継及び事業の全部又は一部の譲渡に係る公告をした場合を除く。)においては、当該金融商品取引業者等が行つた有価証券の売買その他の取引及びデリバティブ取引等(第五十六条において「顧客取引」という。)を、速やかに結了し、かつ、金融商品取引業等に関し顧客から預託を受けた財産及びその計算において自己が占有する財産を、遅滞なく返還しなければならない。
- When a Financial Instruments Business Operator, etc. has given a public notice under paragraph (6) (excluding the cases where the public notice was pertaining to succession of whole or part of its business upon merger or company split or transfer of whole or part of business), the Financial Instruments Business Operator, etc. shall promptly complete sales and purchase or other transactions of Securities and Derivative Transactions, etc. that he/she had conducted (referred to as 'Customer Transactions' in Article 56) and return the property deposited by customers with regard to Financial Instruments Business, etc. and the property he/she possesses on customers' account without delay.
- 外国証券業者は、第二十九条及び第五十八条の二の規定にかかわらず、内閣総理大臣の許可を受けて、金融商品取引所における有価証券の売買及び市場デリバティブ取引(有価証券等清算取次ぎ(第二条第二十七項第一号に係るものに限る。以下この項において同じ。)の委託者として当該有価証券等清算取次ぎを行う者を代理してこれらの取引を行う場合を含む。以下「取引所取引」という。)を業として行うこと(以下この款において「取引所取引業務」という。)ができる。
- Notwithstanding the provisions of Article 29 and Article 58-2, a Foreign Securities Broker may, with the permission of the Prime Minister, engage in sales and purchase of Securities and Market Transactions of Derivatives on a Financial Instruments Exchange (including the cases where said Foreign Securities Broker conducts these transactions on behalf of the person who provides Brokerage for Clearing of Securities, etc. (limited to those pertaining to Article 2(27)(i); hereinafter the same shall apply in this paragraph) as the entrusting person of Brokerage for Clearing of Securities, etc.; these transactions are hereinafter collectively referred to as the 'Transaction at Exchange') in the course of trade (hereinafter referred to as the 'Transaction-at-Exchange Operation' in this Subsection)
- 発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、第一項の有価証券(政令で定めるものに限る。以下この項において同じ。)又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合において、その取得させ、又は売り付ける時までに、相手方から第十三条第二項第二号に定める事項に関する内容を記載した目論見書の交付の請求があつたときには、直ちに、当該目論見書を交付しなければならない。
- In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in paragraph (1) (limited to those so specified by a Cabinet Order; hereinafter the same shall apply in this paragraph) or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, if the other person requests the Prospectus stating the matters specified in Article 13(2)(ii) by the time when such Securities are acquired or sold through Public Offering or Secondary Distribution, they shall deliver the Prospectus to the other person immediately.
- 当該有価証券の発行者の総株主等の議決権の百分の五十を超える議決権(社債等振替法第百四十七条第一項又は第百四十八条第一項(これらの規定を社債等振替法第二百二十八条第一項、第二百三十五条第一項、第二百三十九条第一項及び第二百七十六条(第二号に係る部分に限る。)において準用する場合を含む。)の規定により発行者に対抗することができない株式又は出資に係る議決権を含む。)に係る株式又は出資を自己又は他人の名義をもって所有する会社に対して譲渡する場合
- cases where the relevant person transfers the Securities to a company that holds shares or equity pertaining to voting rights (including voting rights pertaining to shares or equity which may not be duly asserted against the Issuer pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Corporate Bonds, etc. Transfer Act (including the cases where these provisions are applied mutatis mutandis pursuant to Article 228, paragraph (1), Article 235, paragraph (1), Article 239, paragraph (1) and Article 276 (limited to the part pertaining to items (ii)) of the Corporate Bonds, etc. Transfer Act)) exceeding 50 percent of the Voting Rights Held by All the Shareholders, etc. of the Issuer of the relevant Securities in its own name or another person's name.
- 次に掲げるすべての要件を満たす者が前条第一項又は第二項の規定による届出をしようとする場合において、第一項の届出書に、内閣府令で定めるところにより、その者に係る直近の有価証券報告書及びその添付書類並びにその提出以後に提出される四半期報告書又は半期報告書及び臨時報告書(第二十四条の五第四項に規定する報告書をいう。)並びにこれらの訂正報告書(以下「参照書類」という。)を参照すべき旨を記載したときは、第一項第二号に掲げる事項の記載をしたものとみなす。
- When a person who satisfies all of the requirements listed below makes a notification under paragraph (1) or (2) of the preceding Article, if the person states in the statement set forth in paragraph (1) to the effect that reference should be made to the latest Annual Securities Report pertaining to the person and the documents attached thereto, the Quarterly Securities Report or Semiannual Securities Report and Extraordinary Report (meaning the report defined in Article 24-5(4)) submitted after the submission of the Annual Securities Report and the amendment reports submitted with regard to the foregoing reports (hereinafter collectively referred to as 'Reference Documents'), pursuant to the provisions of a Cabinet Office Ordinance, the person shall be deemed to give descriptions on the matters listed in item (ii) of paragraph (1) in the statement:
- 外国金融商品市場を開設する者は、第二十九条及び第八十条第一項の規定にかかわらず、内閣総理大臣の認可を受けて、その使用する電子情報処理組織と次に掲げる者の使用に係る入出力装置(以下「外国金融商品取引所入出力装置」という。)とを接続することにより、これらの者に外国金融商品取引所入出力装置を使用して外国金融商品市場における有価証券の売買及び外国市場デリバティブ取引(第二号に掲げる者にあつては登録金融機関業務に係る取引に限る。)を行わせることができる。
- Notwithstanding the provisions of Article 29 and Article 80(1), an operator of a Foreign Financial Instruments Market may, with an authorization from the Prime Minster, have the persons listed in the following items conduct sales and purchase of Securities and Foreign Market Derivatives Transactions on the Foreign Financial Instruments Market (with regard to the person listed in item (ii), limited to the transactions related to the Registered Financial Institution Business) by connecting its electronic data processing system to the input/output device used by the persons listed in the following items (hereinafter referred to as the 'Input/Output Device for Foreign Financial Instruments Exchange'):
- 認可協会は、有価証券(金融商品取引所に上場されていないものに限る。第六十七条の十一第一において同じ。)の流通を円滑にし、有価証券の売買その他の取引の公正を確保し、かつ、投資者の保護に資するため、店頭売買有価証券の売買(協会員(認可協会の会員をいう。以下この節において同じ。)が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。同項において同じ。)のための市場(以下「店頭売買有価証券市場」という。)を開設することができる。
- An Authorized Association may establish a market where Over-the-Counter Traded Securities are traded (limited to the cases where Member Firms(meaning the members of an Authorized Association; hereinafter the same shall apply in this Section) conduct such transactions on their respective account, and the case where Member Firms provide intermediary, brokerage or agency service; the same shall apply in Article 67-11(1)) (hereinafter referred to as the 'Over-the-Counter Securities Market'), in order to facilitate distribution of Securities (limited to Securities not listed on a Financial Instruments Exchange; the same shall apply in Article 67-11(1)), to ensure fairness of the sales and purchase or other transactions of Securities, and to contribute to the protection of investors.
- 前項本文の規定は、銀行、協同組織金融機関その他政令で定める金融機関が、書面取次ぎ行為(顧客の書面による注文を受けてその計算において有価証券の売買又は有価証券関連デリバティブ取引を行うことをいい、当該注文に関する顧客に対する勧誘に基づき行われるもの及び当該金融機関が行う投資助言業務に関しその顧客から注文を受けて行われるものを除く。次条第一号において同じ。)又は次の各号に掲げる有価証券若しくは取引について、当該各号に定める行為を行う場合には、適用しない。
- The provision of the main clause of the preceding paragraph shall not apply in cases where banks, Cooperative Structured Financial Institution, or other financial institutions specified by a Cabinet Order conduct Brokerage with Written Orders (meaning conducting sales and purchase of Securities or Transactions of Securities-Related Derivatives on a customer's account on receiving his/her written orders and excluding transactions conducted based on solicitation to a customer concerning said orders and transactions conducted on receiving orders from the customer concerning said financial institution's Investment Advisory Business; the same shall apply in item (i) of the following Article) or conduct acts specified in the following items with regard to Securities or transactions listed in said items:
- 第百二十一条の規定にかかわらず、金融商品取引所は、次に掲げる者が発行者である有価証券をその売買のため、又は当該有価証券、当該有価証券に係る金融指標若しくは当該有価証券に係るオプションを市場デリバティブ取引のためにその開設する取引所金融商品市場に上場しようとする場合には、その上場しようとする取引所金融商品市場ごとに、その都度、その上場について、内閣総理大臣の承認を受けなければならない。ただし、次条の規定による命令に基づき上場する場合は、この限りでない。
- Notwithstanding the provision of Article 121, if a Financial Instruments Exchange intends to list on the Financial Instruments Exchange Market established by itself the Securities issued by any person listed in the following for the purpose of sales and purchase, or said Securities, the Financial Indicators pertaining thereto or the Options pertaining thereto for the purpose of Market Transactions of Derivatives, it shall obtain approval on such listing from the Prime Minister, on each occasion and for each Financial Instruments Exchange Market subject to said listing; provided, however, that this shall not apply to cases where such listing is made based on the order given under the provision of the following Article:
- Notwithstanding the provision of Article 121, when a Financial Instruments Exchange intends to list on the Financial Instruments Exchange established by itself the Securities issued by the persons listed in the following for the purpose of sales and purchase, or to list said Securities, Financial Indicators pertaining thereto or Options pertaining thereto for the purpose of Market Transactions of Derivatives, it shall obtain approval on such listing from the Prime Minister, for each occasion and for each Financial Instruments Exchange Market subject to said listing; provided, however, that this shall not apply to cases where such listing is made based on the order given under the provision of the following Article:
- 内閣総理大臣は、有価証券届出書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていることを発見したときは、いつでも、届出者に対し、訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止を命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
- When the Prime Minister finds that a Securities Registration Statement contains any fake statement on important matters, or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, he/she may at any time order the person submitting the Securities Registration Statement to submit an amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4(1) or (2). In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13(1) of the Administrative Procedure Act.
- 投資信託委託会社が、業として有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として委託者指図型投資信託の信託財産の運用の指図を行う場合(前項の規定により読み替えられた金融商品取引法第二十九条の二第二項第二号に規定する特定投資運用行為を行う場合にあつては、業として当該特定投資運用行為を行うことにつき同法第三十五条第四項の承認を受けた場合に限る。)における同法の規定の適用については、当該指図は、同法第二条第八項第十四号に掲げる行為に該当するものとみなす。
- With regard to the application of the provisions of the Financial Instruments and Exchange Act to cases where the Settlor Company of an Investment Trust gives instructions in the course of business for investment to be made in Securities or assets other than the rights pertaining to Derivative Transactions as an investment of the of the trust property of an Investment Trust Managed under Instructions from the Settlor (in cases where the Settlor Company of an Investment Trust conducts Specified Investment Management Activities as set forth in Article 29-2, paragraph (2), item (ii) of that Act as replaced pursuant to the provisions of the preceding paragraph, limited to cases where said Settlor Company of an Investment Trust has obtained the approval set forth in Article 35, paragraph (4) of that Act for conducting said Specified Investment Management Activities in the course of trade), said instructions shall be deemed to fall under the acts listed in Article 2, paragraph (8), item (xiv) of that Act.
- 共用部分である旨の登記又は団地共用部分である旨の登記は、当該共用部分又は団地共用部分である建物に所有権等の登記以外の権利に関する登記があるときは、当該権利に関する登記に係る権利の登記名義人(当該権利に関する登記が抵当権の登記である場合において、抵当証券が発行されているときは、当該抵当証券の所持人又は裏書人を含む。)の承諾があるとき(当該権利を目的とする第三者の権利に関する登記がある場合にあっては、当該第三者の承諾を得たときに限る。)でなければ、申請することができない。
- For a registration of categorization as a common element or registration of categorization as a common element of a housing complex, if there is a registration of a right other than a registration of ownership, etc. for the building which is a common element or common element of a housing complex, no application may be filed without the consent of the registered holder of the right pertaining to said registration of the right (in cases where said registration of the right is a registration of a mortgage and mortgage securities have been issued, including the holder or endorser of the mortgage securities) (in cases where there is a registration concerning a third party's right established over said right, the consent of the third party must also be obtained).
- 発行者、有価証券の売出しをする者、引受人(適格機関投資家取得有価証券一般勧誘(開示が行われている場合における有価証券に係るものを除く。)に際し、第二条第六項各号のいずれかを行う者を含む。以下この章において同じ。)、金融商品取引業者、登録金融機関又は金融商品仲介業者は、その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券については、これらの規定による届出がその効力を生じているのでなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。
- With regard to Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4(1) or the main clause of Article 4(2), its Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter (including a person who, with regard to a General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding in the Case Where Disclosures Have Been Made with regard to the Securities for which the general solicitation is made), carries out any of the acts specified in the items of Article 2(6); hereinafter the same shall apply in this Chapter), a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider shall not have another person acquire such Securities or sell such Securities to another person through Public Offering or Secondary Distribution unless the notification made under Article 4(1) or (2) comes into effect.
- 第一項第一号及び第二号並びに前項第一号の規定は、第十三条第一項の目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、第一項中「募集又は売出しに応じて」とあるのは「募集又は売出しに応じ当該目論見書の交付を受けて」と、「当該有価証券届出書を提出した会社」とあるのは「当該目論見書を作成した会社」と、「その提出」とあるのは「その作成」と読み替えるものとする。
- The provisions of items (i) and (ii) of paragraph (1) and item (i) of the preceding paragraph shall apply mutatis mutandis to cases where a Prospectus referred to in Article 13(1) contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. In this case, the terms 'through the Public Offering or Secondary Distribution,' 'the company having submitted the Securities Registration Statement,' 'at the time of submission' and 'was submitted' in paragraph (1) shall be deemed to be replaced with 'through the Public Offering or Secondary Distribution after receiving the Prospectus,' 'the company having submitted the Prospectus,' 'at the time of preparation' and 'was prepared,' respectively.
- 特定目的会社が資産の流動化に係る業務のうち資産対応証券の発行に先立って特定資産の取得その他の内閣府令で定めるものを行う場合であって、業務開始届出を行うときは、第五条の規定にかかわらず、同条第一項第二号に掲げる事項のうちその記載又は記録の省略が投資者の保護に反しないものとして内閣府令で定めるもの(次項において「特定事項」という。)の記載又は記録を省略することができる。この場合において、第四条第三項第三号及び第四号に掲げる書類のうち内閣府令で定めるものの添付を省略することができる。
- When a Specific Purpose Company makes a Business Commencement Notification in cases where it will carry out, from among business pertaining to Asset Securitization, acquisition of Specified Assets or any other act specified by a Cabinet Office Ordinance prior to issuance of Asset-Backed Securities, it may, notwithstanding the provisions of Article 5, omit statements on or records of the matters set forth in paragraph (1)(ii) of that Article that are specified by a Cabinet Office Ordinance as those whose omission would not jeopardize the protection of the investors (referred to as 'Specified Matters' in the following paragraph). In this case, attachment of documents listed in Article 4(3)(iii) and (iv) which are specified by Cabinet Office Ordinance may be omitted.
- 新株発行の無効の訴えに係る請求を認容する判決が確定したときは、当該株式会社は、当該判決の確定時における当該株式に係る株主に対し、払込みを受けた金額又は給付を受けた財産の給付の時における価額に相当する金銭を支払わなければならない。この場合において、当該株式会社が株券発行会社であるときは、当該株式会社は、当該株主に対し、当該金銭の支払をするのと引換えに、当該株式に係る旧株券(前条の規定により効力を失った株式に係る株券をいう。以下この節において同じ。)を返還することを請求することができる。
- When a judgment upholding a claim relating to an Action Seeking Invalidation of a New Share Issue becomes final and binding, the relevant Stock Company shall pay, to the shareholders of such shares as of the time such judgment became final and binding, monies equivalent to the amount of payment received from them or the value of the property delivered by them as of the time of the delivery. In such cases, when such Stock Company is a Company Issuing Share Certificates, the Stock Company may request such shareholders to return the old share certificates representing such shares (meaning the share certificates representing the shares that became ineffective pursuant to the provisions of the preceding Article; hereinafter the same shall apply in this Section) in exchange for the payment of such monies.
- 内閣総理大臣は、認可協会が登録する店頭売買有価証券(株券又は第二条第一項第二十号に掲げる証券若しくは証書のうち株券に係る権利を表示するもの(以下この条及び第百二十五条において「株券等」という。)に限る。)の発行者が発行者である株券等で当該認可協会が第六十七条の十一第一項の規定による登録をしていないものを、当該認可協会が同項の規定により登録することが公益又は投資者保護のため必要かつ適当あると認めるときは、当該認可協会に対し、その株券等を同項の規定により登録すべきことを命ずることができる。
- With respect to the Share Certificates, etc. issued by the Issuer of the Over-the-Counter Traded Securities registered by an Authorized Association (limited to the share certificates, or the securities or certificates listed in Article 2(1)(xx) indicating the rights pertaining to share certificates (hereinafter referred to as the 'Share Certificates, etc.' in this Article and in Article 125)) which have not been registered by said Authorized Association under the provision of Article 67-11(1), if the Prime Minister finds that registration by said Authorized Association of said Share Certificates, etc. under said paragraph is necessary and appropriate for the public interests or protection of investors, he/she may order said Authorized Association to register said Share Certificates, etc. under the provision of said paragraph.
- 一般顧客である個人が、認定金融商品取引業者に対して有する補償対象債権(有価証券に係るものに限る。以下この項において同じ。)に係る第七十九条の五十六第一項の支払を受けたときは、その支払を受けた時に、その支払を受けた金額により、当該個人から当該支払をした基金に対し当該支払に係る補償対象債権(当該補償対象債権のうち当該支払をしたことにより当該基金が取得した部分に限る。)に係る有価証券の譲渡があつたものとみなして、所得税法(昭和四十年法律第三十三号)その他の所得税に関する法令の規定を適用する。
- When an individual who is a General Customer has received a payment set forth in Article 79-56(1) pertaining to Claims Subject to Compensation that he/she holds against a Recognized Financial Instruments Business Operator (limited to those pertaining to Securities; hereinafter the same shall apply in this paragraph), the provision of the Income Tax Act (Act No. 33 of 1965) and other laws and regulations concerning income tax shall apply by deeming that Securities pertaining to Claims Subject to Compensation (limited to part of said Claims Subject to Compensation which said Fund acquired by said payment) pertaining to said payment was transferred from said individual to the Fund which made said payment by the amount paid at the time of receipt of the payment.
- 前項の規定にかかわらず、金融商品取引所は、第百二十四条第一項の有価証券をその売買のため、又は同項の有価証券、金融指標又はオプションを市場デリバティブ取引のためその開設する取引所金融商品市場に上場している場合において、当該有価証券、金融指標又はオプションの上場を廃止しようとするときは、その上場を廃止しようとする取引所金融商品市場ごとに、その上場の廃止について、内閣総理大臣の承認を受けなければならない。ただし、第百二十九条第一項の規定による命令に基づき上場を廃止する場合は、この限りでない。
- Notwithstanding the provision of the preceding paragraph, when a Financial Instruments Exchange has listed on the Financial Instruments Exchange Market established by itself the Securities specified in Article 124(1) for the purpose of sales and purchase; or the Securities, Financial Indicators or Options under said paragraph for the purpose of Market Transactions of Derivatives, if a Financial Instruments Exchange intends to delist said Securities, Financial Indicators or Options, it shall obtain approval on said delisting from the Prime Minister, for each Financial Instruments Exchange Market subject to said delisting; provided, however, that this shall not apply to cases where such delisting is made based on the order given under Article 129(1).
- 法第二十条第一号又は第四号に規定する信託契約(受益権が金融商品取引法第二条第一項に規定する有価証券に表示される権利(同項第十二号から第十四号までに掲げるものを除く。以下この条において同じ。)若しくは同条第二項の規定により有価証券とみなされる権利又は商品投資に係る事業の規制に関する法律(平成三年法律第六十六号)第二条第六項に規定する商品投資受益権であるもの並びに担保付社債信託法(明治三十八年法律第五十二号)第二条第一項に規定する信託契約を除く。以下この条において「信託契約」という。)の締結
- Conclusion of a trust contract as prescribed in Article 21, item (i) or (iv) of the Act (excluding contracts in which subject beneficial interest is the right indicated on securities prescribed in Article 2, paragraph (1) of the Financial Instruments and Exchange Act (excluding those listed in items (xii) and (xiv) of the said paragraph; hereinafter the same shall apply in this Article) or the right deemed to be securities pursuant to the provision of paragraph (2) of the said Article, or the beneficial interest in commodities investment prescribed in Article 2, paragraph (6) of the Act on Regulations of Business Pertaining to Commodities Investment (Act No. 66 of 1991), and trust contracts prescribed in Article 2, paragraph (1) of the Secured Debenture Trust Act (Act No. 52 of 1905); hereinafter referred to as the 'trust contracts' in this Article)
- 資産運用会社が、業として有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として登録投資法人の資産の運用を行う場合(第一項の規定により読み替えられた金融商品取引法第二十九条の二第二項第二号に規定する特定投資運用行為を行う場合にあつては、業として当該特定投資運用行為を行うことにつき同法第三十五条第四項の承認を受けた場合に限る。)における同法の規定の適用については、当該運用は、同法第二条第八項第十二号に掲げる行為(同号イに掲げる契約に基づいて行うものに限る。)に該当するものとみなす。
- With regard to the application of the provisions of the Financial Instruments and Exchange Act in cases where an Asset Management Company invests assets of a Registered Investment Corporation as an investment in Securities or in assets other than rights pertaining to Derivative Transactions in the course of business (in cases where the Asset Management Company conducts Specified Investment Management Activities as set forth in Article 29-2, paragraph (2), item (ii) of that Act as replaced pursuant to paragraph (1), limited to the case where said Asset Management Company has obtained approval set forth in Article 35, paragraph (4) of that Act for conducting said Specified Investment Management Activities in the course of business), said investment shall be deemed to fall under the acts listed in Article 2, paragraph (8), item (xii) of that Act (limited to the acts conducted under the contract listed in Article 2, paragraph (8), item (xii), sub-item (a) of that Act).
- 内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、認可協会、店頭売買有価証券若しくは取扱有価証券の発行者又は当該認可協会から業務の委託を受けた者に対し当該認可協会の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に当該認可協会又は当該認可協会から業務の委託を受けた者の業務若しくは財産の状況若しくは帳簿書類その他の物件の検査(当該認可協会から業務の委託を受けた者にあつては、当該認可協会の業務又は財産に関し必要なものに限る。)をさせることができる。
- When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order an Authorized Association, an issuer of Over-the-Counter Traded Securities or Tradable Securities or a person who received entrustment of business from said Authorized Association to submit reports or materials that will be helpful for understanding the business or property of said Authorized Association, or have the officials inspect the status of the business or property, or the books and documents or other articles of said Authorized Association or the person who received entrustment of business from said Authorized Association (with regard to the person who received entrustment of business from said Authorized Association, the inspection shall be limited to what is necessary to understand the business or property of said Authorized Association).
- 第二十二条の規定は、内部統制報告書(その訂正報告書を含む。)のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、同条第一項中「当該有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者」とあるのは、「当該内部統制報告書(その訂正報告書を含む。)の提出者が発行者である有価証券を取得した者」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Article 22 shall apply mutatis mutandis to cases where an Internal Control Report (including documents attached thereto) contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. In this case, the part 'persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution' in Article 22(1) shall be deemed to be replaced with 'persons who have acquired the Securities issued by the person submitting the Internal Control Report (including amendment reports therefor).' and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 社債券及び法第二条第一項第十七号に掲げる有価証券で社債券の性質を有するもので、令第一条の七第二号イ若しくはロ若しくは第一条の八の四第三号イ若しくはロ又はロ若しくはハに掲げる有価証券(当該社債券の発行者以外の者が発行したものに限る。)により償還される旨又は償還することができる旨の特約が付されているもの(以下ニにおいて「転換債券」という。) 当該償還により取得する有価証券(以下ニにおいて「償還有価証券」という。)が次に掲げる有価証券である場合の区分に応じ、それぞれ次に定めるいずれかの要件に該当すること。
- corporate bond certificates and the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of corporate bond certificates, with special provisions whereby the relevant corporate bond certificates or Securities shall or may be redeemed through the Securities set forth in Article 1-7, item (ii), sub-item (a) or (b), or Article 1-8-4, item (iii), sub-item (a) or (b) of the Cabinet Order, or sub-item (b) or (c) above (limited to those issued by a person other than the Issuer of the relevant corporate bond certificates) (hereinafter such corporate bond certificates shall be referred to as the 'Convertible Bond Certificates' in this sub-item (d)): that the relevant corporate bond certificates satisfy any of the following requirements according to the cases where the Securities to be acquired upon the relevant redemption (hereinafter referred to as the 'Securities Acquired Upon Redemption' in this sub-item (d)) are the Securities set forth respectively below:
- corporate bond certificates and the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of corporate bond certificates, with special provisions whereby the relevant corporate bond certificates or Securities shall or may be redeemed through the Securities set forth in Article 1-7, item (ii), sub-item (a) or (b), or Article 1-8-4, item (iii), sub-item (a) or (b) of the Cabinet Order, or sub-item (b) or (c) above (limited to those issued by a person other than the issuer of the relevant corporate bond certificates) (hereinafter such corporate bond certificates shall be referred to as the 'Convertible Bond Certificates' in this sub-item (d)): that the relevant corporate bond certificates fall under any of the following cases according to the cases where the Securities to be acquired upon the relevant redemption (hereinafter referred to as the 'Securities Acquired Upon Redemption' in this sub-item (d)) are the Securities set forth respectively below:
- 社債券及び法第二条第一項第十七号に掲げる有価証券のうち社債券の性質を有するもので、令第一条の四第一号若しくは第二号若しくは第一条の七の四第一号若しくは第二号又はロ若しくはハに掲げる有価証券(当該社債券の発行者以外の者が発行したものに限る。)により償還される旨又は償還することができる旨の特約が付されているもの(以下ニにおいて「転換債券」という。) 当該償還により取得する有価証券(以下ニにおいて「償還有価証券」という。)が次に掲げる有価証券である場合の区分に応じ、次に定めるいずれかの場合に該当すること。
- corporate bond certificates and the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of corporate bond certificates, with special provisions that the relevant corporate bond certificates or Securities shall or may be redeemed through the Securities set forth in Article 1-4, item (i) or (ii) or Article 1-7-4, item (i) or (ii) of the Cabinet Order, or sub-item (b) or (c) above (limited to those issued by a person other than the Issuer of the relevant corporate bond certificates) (hereinafter such corporate bond certificates shall be referred to as the 'Convertible Bond Certificates' in this sub-item (d)): that the relevant corporate bond certificates fall under any of the following cases according to the cases where the Securities to be acquired upon the relevant redemption (hereinafter referred to as the 'Securities Acquired Upon Redemption' in this sub-item (d)) are the Securities set forth respectively below:
- 既に、有価証券報告書(第二十四条第一項に規定する報告書をいう。以下この条において同じ。)のうち同項本文に規定する事項を記載したもの又は第二十四条の四の七第一項若しくは第二項の規定による四半期報告書(以下この条において「四半期報告書」という。)のうち第二十四条の四の七第一項に規定する事項を記載したもの若しくは半期報告書(第二十四条の五第一項に規定する報告書をいう。以下この条及び第二十四条第二項において同じ。)のうち第二十四条の五第一項に規定する事項を記載したものを提出している者(前二号に掲げる者を除く。)
- the person who has already submitted an Annual Securities Report (meaning the report set forth in Article 24(1); hereinafter the same shall apply in this Article) which contains descriptions on the matters set forth in the main clause of Article 24(1), a Quarterly Securities Report set forth in Article 24-4-7(1) or (2) (hereinafter referred to as a 'Quarterly Securities Report' in this Article) which contains descriptions on the matters set forth in Article 24-4-7(1), or a Semiannual Securities Report (meaning the report set forth in Article 24-5(1); hereinafter the same shall apply in this Article and Article 24(2)) which contains descriptions on the matters set forth in Article 24-5(1) (excluding those specified in the preceding two items).
- 前条第一項に規定する公開買付けによる上場株券等の買付け等を行おうとする会社は、当該会社の重要事実(第百六十六条第一項に規定する業務等に関する重要事実(内閣府令で定めるものを除く。)をいう。以下この条及び次条において同じ。)であつて第百六十六条第一項に規定する公表がされていないものがあるときは、公開買付届出書(前条第二項において準用する第二十七条の三第二項に規定する公開買付届出書をいう。以下この条及び次条において同じ。)を提出する日前に、内閣府令で定めるところにより、当該重要事実を公表しなければならない。
- A company who intends to make Purchase, etc. of Listed Share Certificates, etc. through Tender Offer as provided for in paragraph (1) of the preceding Article shall, if there are any Material Facts (meaning Material Fact Pertaining to Business or Other Matters provided for in Article 166(1) (excluding those specified by a Cabinet Office Ordinance); hereinafter the same shall apply in this and the following Article) pertaining to the company that has not been published as provided for in Article 166(1), publish the Material Facts pursuant to the provisions of a Cabinet Office Ordinance before the day on which the Tender Offer Notification (meaning Tender Offer Notification as defined in Article 27-3(2) as applied mutatis mutandis pursuant to paragraph (2) of the preceding Article; hereinafter the same shall apply in this and the following Article) is submitted.
- 他勘定預金契約等 他の特別国際金融取引勘定承認金融機関との間の前項第十一号イ若しくはロに掲げる取引であつて当該取引に係る資金の運用若しくは調達に関する経理が当該他の特別国際金融取引勘定承認金融機関における特別国際金融取引勘定において整理されるものに係る契約又は他の特別国際金融取引勘定承認金融機関との間の外国公社債等若しくは流動化証券の取得若しくは譲渡であつて当該行為に係る資金の運用若しくは調達に関する経理が当該他の特別国際金融取引勘定承認金融機関における特別国際金融取引勘定において整理されるものをいう。
- Deposit contract for other account, etc.: Meaning a contract pertaining to the transactions listed in item (xi)(a) or (b) of the preceding paragraph with another approved financial institution for the special international financial transactions account, of which accounting related to the operation or procurement of funds pertaining to the transactions is adjusted in the special international financial transactions account of the another approved financial institution for the special international financial transactions account, or the acquisition or negotiation of the foreign public or corporate bonds, etc. or liquid securities from or to another approved financial institution for the special international financial transactions account, of which accounting related to the operation or procurement of funds pertaining to the act is adjusted in the special international financial transactions account of the another approved financial institution for the special international financial transactions account
- 前項の「特別国際金融取引勘定」とは、銀行その他の政令で定める金融機関が、非居住者(外国法令に基づいて設立された法人その他政令で定める者に限る。以下この項及び次項において同じ。)から受け入れた預金その他の非居住者から調達した資金を非居住者に対する金銭の貸付け、非居住者からの証券の取得その他の非居住者との間での運用に充てるために行う次に掲げる取引又は行為に係る資金の運用又は調達に関する経理をその他の取引又は行為に係る資金の運用又は調達に関する経理と区分して整理するため財務大臣の承認を受けて設ける勘定をいう。
- The 'Special International Financial Transactions Account' set forth in the preceding paragraph shall mean the account set by banks or other financial institutions specified by Cabinet Order with the approval of the Minister of Finance in order to adjust accounting related to the operation or procurement of funds pertaining to the following transactions or acts, which are committed to allocate deposits received from a non-resident (limited to juridical persons established pursuant to foreign laws and regulations and those specified by Cabinet Order; hereinafter the same shall apply in this and the next paragraph) or other funds procured from a non-resident to money loan to a non-resident, acquisition of securities from a non-resident or other operations with a non-resident, in distinction from the accounting related to the operation or procurement of funds pertaining to other transactions or acts.
- 社債券及び法第二条第一項第十七号に掲げる有価証券のうち社債券の性質を有するもので、令第一条の四第一号若しくは第二号若しくは第一条の七の四第一号若しくは第二号又はロ若しくはハに掲げる有価証券(当該社債券の発行者以外の者が発行したものに限る。)により償還される旨又は償還することができる旨の特約が付されているもの(以下ニにおいて「転換債券」という。) 当該償還により取得する有価証券(以下ニにおいて「償還有価証券」という。)が次に掲げる有価証券である場合の区分に応じ、それぞれ次に定めるいずれかの場合に該当すること。
- corporate bond certificates and the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of corporate bond certificates, with special provisions whereby the relevant corporate bond certificates or Securities shall or may be redeemed through the Securities set forth in Article 1-4, item (i) or (ii), or Article 1-7-4, item (i) or (ii) of the Cabinet Order, or sub-item (b) or (c) above (limited to those issued by a person other than the issuer of the relevant corporate bond certificates) (hereinafter such corporate bond certificates shall be referred to as the 'Convertible Bond Certificates' in this sub-item (d)): that the relevant corporate bond certificates fall under any of the following cases according the cases where the Securities to be acquired upon the relevant redemption (hereinafter referred to as the 'Securities Acquired Upon Redemption' in this sub-item (d)) are the Securities set forth below, respectively:
- 組織再編成により吸収合併消滅会社(会社法第七百四十九条第一項第一号に規定する吸収合併消滅会社をいう。)又は株式交換完全子会社(同法第七百六十八条第一項第一号に規定する株式交換完全子会社をいう。)となる会社その他政令で定める会社(第四条第一項第二号イにおいて「組織再編成対象会社」という。)が発行者である株券(新株予約権証券その他の政令で定める有価証券を含む。)の所有者(以下「組織再編成対象会社株主等」という。)が多数の者である場合として政令で定める場合(組織再編成対象会社株主等が適格機関投資家のみである場合を除く。)
- in cases where, as specified by a Cabinet Order, there are a number of holders of shares (including share option certificates and other Securities specified by a Cabinet Order) issued by a company that, through a Reorganization, becomes a Company Absorbed in an Absorption-Type Merger (meaning the Company Absorbed in an Absorption-Type Merger as defined in Article 749(1)(i) of the Companies Act), or a Wholly Owned Subsidiary Company in a Share Exchange (meaning the Wholly Owned Subsidiary Company in a Share Exchange as defined in Article 768(1)(i) of said Act), or by any other kind of company specified by a Cabinet Order (referred to as the 'Reorganized Company' in Article 4(1)(ii)(a)) (such holders are hereinafter referred to as 'Shareholders, etc. of the Reorganized Company')(excluding the cases where the Shareholders, etc. of the Reorganized Company consist exclusively of Qualified Institutional Investors);
- 会社法第四十六条第一項及び第二項(設立時取締役等による調査)の規定は、特定目的会社の設立時取締役及び設立時監査役について準用する。この場合において、同条第一項第一号中「第三十三条第十項第一号又は第二号」とあるのは「資産流動化法第十八条第二項において準用する第三十三条第十項第一号」と、「現物出資財産等(同号に掲げる場合にあっては、同号の有価証券に限る。)」とあるのは「現物出資財産等」と、同項第二号中「第三十三条第十項第三号」とあるのは「資産流動化法第十八条第二項において準用する第三十三条第十項第三号」と読み替えるものとする。
- The provisions of Article 46(1) and (2) (Investigation by Directors at Incorporation) of the Companies Act shall apply mutatis mutandis to a Director at Incorporation and a Company Auditor at Incorporation of a Specific Purpose Company. In this case, the term 'item (i) or item (ii) of Article 33(10)' in Article 46(1)(i) of the Companies Act shall be deemed to be replaced with 'Article 33(10)(i) as applied mutatis mutandis pursuant to Article 18(2) of the Asset Securitization Act,' the phrase 'the Properties Contributed in Kind in the cases listed in item (i) or item (ii) of Article 33(10) (if listed in such item, limited to the securities under such item)' in Article 46(1)(i) of the Companies Act shall be deemed to be replaced with 'the Properties Contributed in Kind in the cases listed in Article 33(10)(i) or (ii),' and the phrase 'item (iii) of Article 33(10)' in Article 46(1)(ii) of the Companies Act shall be deemed to be replaced with 'Article 33(10)(iii) as applied mutatis mutandis pursuant to Article 18(2) of the Asset Securitization Act.'
- 何人も、第四条第一項本文若しくは第二項本文の規定の適用を受ける有価証券又は既に開示された有価証券の募集又は売出しのために第一項の目論見書以外の文書、図画、音声その他の資料(電磁的記録(電子的方式、磁気的方式その他人の知覚によつては認識することができない方式で作られる記録であつて、電子計算機による情報処理の用に供されるものをいう。以下同じ。)をもつて作成された場合においては、その電磁的記録に記録された情報の内容を表示したものを含む。第十七条において同じ。)を使用する場合には、虚偽の表示又は誤解を生じさせる表示をしてはならない。
- When documents other than the Prospectus referred to in paragraph (1), drawings, sound or other materials (in cases where they are prepared as Electromagnetic Record (a record made by an electronic form, a magnetic form, or any other form not recognizable to human perception, which is used in information processing by computers; the same shall apply hereinafter), including anything which indicates the information contained in the Electromagnetic Records; the same shall apply in Article 17) are used for the purpose of Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4(1) or the main clause of Article 4(2) or Already Disclosed Securities, no false indication or misleading indication shall be made.
- 第二項から前項までの規定は、第一項に規定する有価証券の募集又は売出しに際してその全部を取得させることができなかつた場合におけるその残部(第二十四条第一項第一号及び第二号に掲げるものに該当するものを除く。)を、当該募集又は売出しに係る第四条第一項又は第二項の規定による届出がその効力を生じた日から三月(第十条第一項又は第十一条第一項の規定による停止命令があつた場合には、当該停止命令があつた日からその解除があつた日までの期間は、算入しない。)を経過する日までの間において、募集又は売出しによらないで取得させ、又は売り付ける場合について準用する。
- The provisions of paragraph (2) to the preceding paragraph shall apply mutatis mutandis to cases where the remainder of the Securities referred to in paragraph (1) that is not acquired by any person through Public Offering or Secondary Distribution (excluding Securities that fall under any of the categories specified in Article 24(1)(i) and (ii)) is acquired by, or sold to, someone not through Public Offering or Secondary Distribution within three months (excluding, where an order for suspension has been given under Article 10(1) or Article 11(1), the period from the day when the order was given to the day when the order was canceled) from the day when the notification made under Article 4(1) or (2) for the Public Offering or Secondary Distribution came into effect.
- 法第二条第八項第十七号に掲げる行為のうち、金融商品取引業者(同項第七号イに掲げる有価証券に表示されるべき権利であって同条第二項の規定により有価証券とみなされるもの(以下この号において「投資信託受益権」という。)についての同条第八項第七号に掲げる行為に係る業務を行う者に限る。)が、その発行する投資信託受益権について行うものであって、法第四十三条の二第一項及び第二項に規定する方法に準ずる方法により、当該投資信託受益権と自己の固有財産とを分別して管理をするもの(当該管理の状況について、同条第三項に定めるところに準じて行う監査を受けているものに限る。)
- an act which is listed in Article 2, paragraph (8) item (xvii) of the Act, and which is performed by a Financial Instruments Specialist (limited to a person who engages in business activities pertaining to the acts listed in item (vii), paragraph (8) of that Article with respect to the rights to be indicated on the Securities listed in sub-item (a), item (vii) of that paragraph and which are regarded as Securities pursuant to the provisions of paragraph (2) of that Article (hereinafter referred to as the 'Beneficial Interest in the Investment Trust' in this item)) with regard to any Beneficial Interest in the Investment Trust it issues, and in which said Financial Instruments Specialist manages said Beneficial Interest in the Investment Trust separately from its own property in accordance with the method equivalent to that prescribed in Article 43-2, paragraph (1) and (2) of the Act (limited to the case where said management is audited in the same manner as prescribed in paragraph (3) of that Article).
- 当該法人が資産の流動化に関する法律(平成十年法律第百五号。以下「資産流動化法」という。)第二条第三項に規定する特定目的会社(以下この号及び第二十三条第七号において「特定目的会社」という。)であって、資産流動化法第四条の規定により届出が行われた資産流動化法第二条第四項に規定する資産流動化計画(当該資産流動化計画の変更に係る資産流動化法第九条の規定による届出が行われた場合には、当該変更後の資産流動化計画。第三項第三号トにおいて同じ。)における資産流動化法第二条第一項に規定する特定資産に有価証券が含まれ、かつ、当該有価証券の価額が十億円以上であること。
- that said juridical person is a special purpose company as defined in Article 2, paragraph (3) of the Act on Securitization of Assets (Act No. 105 of 1998; hereinafter referred to as the 'Asset Securitization Act') (hereinafter referred to as the 'Special Purpose Company' in this item and Article 23, item (vii)), where Securities are included in the specified assets defined in Article 2, paragraph (1) of the Asset Securitization Act under the asset securitization plan defined in Article 2, paragraph (4) of the Asset Securitization Act for which a notification has been made pursuant to the provisions of Article 4 of the Asset Securitization Act (in cases where a notification under Article 9 of the Asset Securitization Act, related to the changes to the relevant asset securitization plan, has been made, the asset securitization plan after such changes; the same shall apply in paragraph (3), item (iii), sub-item (g)), and the value of said Securities is one billion yen or more;
- 金融商品取引業者等は、次に掲げる金銭又は有価証券について、当該金融商品取引業者等が金融商品取引業(登録金融機関業務を含む。以下この項において同じ。)を廃止した場合その他金融商品取引業を行わないこととなつた場合に顧客に返還すべき額として内閣府令で定めるところにより算定したものに相当する金銭を、自己の固有財産と分別して管理し、内閣府令で定めるところにより、当該金融商品取引業者等が金融商品取引業を廃止した場合その他金融商品取引業を行わないこととなつた場合に顧客に返還すべき額に相当する金銭を管理することを目的として、国内において、信託会社等に信託をしなければならない。
- A Financial Instruments Business Operator, etc. shall, with regard to the money or Securities listed in the following items, manage the amount of money calculated pursuant to the provisions of a Cabinet Office Ordinance as the amount to be refunded to the customer in the event that said Financial Instruments Business Operator, etc. has abolished his/her Financial Instruments Business (including Registered Financial Institution Business; hereinafter the same shall apply in this paragraph) or has otherwise ceased to conduct Financial Instruments Business, separately from his/her own property, and shall set a trust with a Trust Company, etc. in Japan, pursuant to the provisions of a Cabinet Office Ordinance, for the purpose of managing the amount of money to be refunded to the customer in the event that said Financial Instruments Business Operator, etc. has abolished his/her Financial Instruments Business or has otherwise ceased to conduct Financial Instruments Business:
- 金融商品取引所は、その定款において、会員等が法令、法令に基づいてする行政官庁の処分、当該金融商品取引所の定款、業務規程、受託契約準則その他の規則(以下この条において単に「規則」という。)及び取引の信義則を遵守しなければならない旨並びに法令、法令に基づいてする行政官庁の処分若しくは規則に違反し、又は取引の信義則に背反する行為をした会員等に対し、過怠金を課し、その者の取引所金融商品市場における有価証券の売買若しくは市場デリバティブ取引若しくはその有価証券等清算取次ぎの委託の停止若しくは制限を命じ、又は除名(取引参加者にあつては、取引資格の取消し)をする旨を定めなければならない。
- A Financial Instruments Exchange shall stipulate in its articles of incorporation that the Member, etc. shall observe the laws and regulations, dispositions given by a government agency based on the laws and regulations, and the Financial Instruments Exchange's articles of incorporation, operational rules, brokerage contract rules and other rules (hereinafter simply referred to as the 'Rules' in this Article) as well as the fair and equitable principles of transactions, and that in the event that a Member, etc. violates the laws and regulations, dispositions given by a government agency based on the laws and regulations or the Rules, or in the event that the Member, etc. commits an act contrary to the fair and equitable principles of transactions, the Financial Instruments Exchange will impose a fine for default on said Member, etc., or order suspension or restriction of sales and purchase of Securities or Market Transactions of Derivatives on the Financial Instruments Exchange Market or entrustment of Broking for Clearing of Securities, etc. for these transactions, or expel said Member, etc. from the Financial Instruments Exchange (or to rescind the Qualification for Trading, with regard to a Trading Participant).
- 第十五条第二項及び第六項の規定は、発行登録を行つた有価証券の募集又は売出しについて準用する。この場合において、同条第二項中「第十三条第二項第一号に定める事項に関する内容を記載した」とあるのは「第二十三条の十二第二項において準用する第十三条第一項の」と、同条第六項中「第二項から前項まで」とあるのは「第二項」と、「第四条第一項又は第二項の規定による届出がその効力を生じた日」とあるのは「発行登録の効力が生じており、かつ、それに係る発行登録追補書類が提出された日」と、「第十条第一項又は第十一条第一項」とあるのは「第二十三条の十第三項又は第二十三条の十一第一項」と読み替えるものとする。
- Article 15(2) and (6) shall apply mutatis mutandis to a Public Offering or Secondary Distribution of Securities for which a Shelf Registration has been made. In this case, the term 'containing the matters specified in Article 13(2)(i)' in Article 15(2) shall be deemed to be replaced with 'referred to in Article 13(1) as applied mutatis mutandis pursuant to Article 23-12(2)'; and the terms 'paragraph (2) to the preceding paragraph,' 'Article 10(1) or Article 11(1)' and 'the notification made under Article 4(1) or (2) for the Public Offering or Secondary Distribution came into effect' in Article 15(6) shall be deemed to be replaced with 'paragraph (2),' 'Article 23-10(3) or Article 23-11(1)' and 'the Shelf Registration Supplements relating to the Shelf Registration which was made for the Public Offering or Secondary Distribution and already came into effect are submitted,' respectively.
- 金融商品取引業者等は、有価証券等管理業務として行う場合その他政令で定める場合を除くほか、その行う投資運用業(第二条第八項第十二号に掲げる行為を行う業務に限る。以下この条及び次条において同じ。)に関して、いかなる名目によるかを問わず、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品取引業者等と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。ただし、当該金融商品取引業者等がその行う投資運用業に関し、顧客のために同項第一号から第四号までに掲げる行為を行う場合において、これらの行為による取引の決済のために必要なときは、この限りでない。
- A Financial Instruments Business Operator, etc., with regard to his/her Investment Management Business (limited to the business of conducting the acts specified in Article 2(8)(xii); hereinafter the same shall apply in this Article and the following Article), may not, for any reason, receive deposit of money or Securities from a customer or have a person specified by a Cabinet Order as a person closely related to the Financial Instruments Business Operator, etc. deposit the customer's money or Securities, except in cases where such act is conducted as Securities, etc. Management Business or other cases specified by a Cabinet Order; provided, however, that this shall not apply where said Financial Instruments Business Operator, etc. conducts, with regard to his/her Investment Management Business, any of the acts listed in Article 2(8)(i) to (iv) on behalf of a customer, and such deposit is necessary for the settlement of the transaction conducted by means of such act.
- 法第二条第八項第二号若しくは第三号に掲げる行為又は同項第四号に掲げる行為(媒介、取次ぎ又は代理に限る。以下この号において同じ。)のうち、金融商品取引業者(投資運用業を行う者に限る。)が関係外国運用業者の委託(当該関係外国運用業者が外国において行う投資運用業に係る運用(その指図を含む。以下同じ。)として行う有価証券の売買(デリバティブ取引に該当するものを除く。以下同じ。)又はデリバティブ取引に係るものに限る。)を受けて行うもの(同項第二号又は第四号に掲げる行為にあっては、関係外国運用業者の委託を受けて行う同項第二号又は第四号に掲げる行為の相手方が金融商品取引業者等である場合に限る。)
- the acts which are listed in Article 2, paragraph (8), item (ii) or (iii) of the Act or the acts listed in item (iv) of that paragraph (limited to intermediation, brokerage, or agency; hereinafter the same shall apply in this item), and are carried out by a Financial Instruments Specialist (limited to a person who engages in Investment Management) under entrustment from an Affiliated Foreign Investment Specialist (limited to entrustment for the purchase and sale of Securities (excluding those which fall under the category of Derivatives Transactions; the same shall apply hereinafter) or to Derivatives Transactions conducted as an investment (including an instructions for investment; the same shall apply hereinafter) under Investment Management carried out by said Affiliated Foreign Investment Specialist in a foreign state) (with regard to the acts set forth in Article 2, paragraph (8), item (ii) or (iv) of the Act, limited to cases where the other party to the acts listed in item (ii) or (iv) of that paragraph which are conducted under entrustment from the Affiliated Foreign Investment Specialist is a Financial Instruments Specialist, etc.);
- この法律において「資産の流動化」とは、一連の行為として、特定目的会社が資産対応証券の発行若しくは特定目的借入れにより得られる金銭をもって資産を取得し、又は信託会社(信託業法(平成十六年法律第百五十四号)第二条第二項に規定する信託会社をいう。以下同じ。)若しくは信託業務を営む銀行(銀行法(昭和五十六年法律第五十九号)第二条第一項に規定する銀行をいう。以下同じ。)その他の金融機関が資産の信託を受けて受益証券を発行し、これらの資産の管理及び処分により得られる金銭をもって、次の各号に掲げる資産対応証券、特定目的借入れ及び受益証券に係る債務又は出資について当該各号に定める行為を行うことをいう。
- The term 'Asset Securitization' as used in this Act means a series of acts wherein a Specific Purpose Company acquires assets with the monies obtained through issuance of Asset-Backed Securities or through Specific Purpose Borrowings, or wherein a Trust Company (meaning a trust company as defined in Article 2(2) of the Trust Business Act (Act No. 154 of 2004); the same shall apply hereinafter) or a Bank (meaning a bank as defined in Article 2(1) of the Banking Act (Act No. 59 of 1981); the same shall apply hereinafter) or any other financial institution carrying out trust business holds assets in trust and issues Beneficiary Certificates, and, with the monies obtained through the administration and disposition of such assets, conducts the acts prescribed in the following items with regard to obligations said person has undertaken in relation to Asset-Backed Securities, Specific Purpose Borrowings, or Beneficiary Certificates, or with regard to equity, as set forth respectively in those items:
- 前項の規定により賠償の責めに任ずべき額は、同項の買付け等を行つた際に公開買付者等が支払つた価格(これに相当する利益の供与を含み、当該価格が均一でないときは、その最も有利な価格とする。)から公開買付価格(公開買付開始公告及び公開買付届出書に記載した買付け等の価格をいい、第二十七条の六第二項又は第三項の公告又は公表により買付け等の価格を変更したときは、当該変更後の買付け等の価格をいう。以下この節において同じ。)を控除した金額に前項の規定による請求権者の応募株券等(あん分比例方式により売付け等ができなかつたものを除く。次条第二項及び第二十七条の二十第二項において同じ。)の数を乗じた額とする。
- The amount of damages to be paid under the preceding paragraph shall be the amount calculated by multiplying the difference between the price (including the provision of profit equivalent thereto; in cases where two or more prices are used for the Purchases, etc., the most favorable price) paid by the Tender Offeror, etc. for the Purchase, etc. referred to in the preceding paragraph and the Tender Offer Price (meaning the price for Purchase, etc. stated in the Public Notice for Commencing Tender Offer and Tender Offer Notification, or, if the price for Purchase, etc. is changed by public notice or public announcement under Article 27-6(2) or (3), the price after the change; hereinafter the same shall apply in this Section), by the number of Share Certificates, etc. Offered to Sell by the person who is entitled to claim damages under the preceding paragraph (excluding those which the person cannot make Sales, etc. of as a result of the Method of Proportional Distribution; the same shall apply in paragraph (2) of the following Article and Article 27-20(2)).
- 内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、金融商品取引所、その子会社、当該金融商品取引所に上場されている有価証券の発行者又は当該金融商品取引所から業務の委託を受けた者に対し当該金融商品取引所若しくは当該子会社の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に当該金融商品取引所、当該子会社若しくは当該金融商品取引所から業務の委託を受けた者の業務若しくは財産の状況若しくは帳簿書類その他の物件の検査(当該子会社又は当該金融商品取引所から業務の委託を受けた者にあつては、当該金融商品取引所の業務又は財産に関し必要な検査に限る。)をさせることができる。
- When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order a Financial Instruments Exchange, its Subsidiary Company, an Issuer of Securities listed in said Financial Instruments Exchange or a person who received entrustment of business from said Financial Instruments Exchange to submit reports or materials that will be helpful for understanding the business or property of said Financial Instruments Exchange or said Subsidiary Company, or have the officials inspect the status of the business or property, or the book and documents or other articles of said Financial Instruments Exchange, Subsidiary Company or the person who received entrustment of business from said Financial Instruments Exchange (with regard to said Subsidiary Company or the person who received entrustment of business from said Financial Instruments Exchange, the inspection shall be limited to what is necessary to understand the business or property of said Financial Instruments Exchange).
- 証券専門関連業務、保険専門関連業務及び信託専門関連業務のいずれも営むもの 当該会社の議決権について、当該銀行の証券子会社等が合算して、当該銀行又はその子会社(証券子会社等、保険子会社等及び信託子会社等を除く。)が合算して保有する当該会社の議決権の数を超えて保有し、かつ、当該銀行の保険子会社等が合算して、当該銀行又はその子会社(証券子会社等、保険子会社等及び信託子会社等を除く。)が合算して保有する当該会社の議決権の数を超えて保有し、かつ、当該銀行の信託子会社等が合算して、当該銀行又はその子会社(証券子会社等、保険子会社等及び信託子会社等を除く。)が合算して保有する当該会社の議決権の数を超えて保有しているもの
- A company that engages in all of Specialized Securities Services, Specialized Insurance Services and Specialized Trust Services: cases where the total voting rights held in the company by the Bank's Securities Subsidiary Companies, etc. exceed the total voting rights held therein by the Bank and its Subsidiary Companies (excluding the Securities Subsidiary Companies, etc., Insurance Subsidiary Companies, etc. and Trust Subsidiary Companies, etc.), where the total voting rights held in the company by the Bank's Insurance Subsidiary Companies, etc. exceed the total voting rights held therein by the Bank and its Subsidiary Companies (excluding the Securities Subsidiary Companies, etc., Insurance Subsidiary Companies, etc. and Trust Subsidiary Companies, etc.), and where the total voting rights held in the company by the Bank's Trust Subsidiary Companies, etc. exceed the total voting rights held therein by the Bank and its Subsidiary Companies (excluding the Securities Subsidiary Companies, etc., Insurance Subsidiary Companies, etc. and Trust Subsidiary Companies, etc.);
- 公開買付者は、公開買付開始公告をした後においては、公開買付けに係る申込みの撤回及び契約の解除(以下この節において「公開買付けの撤回等」という。)を行うことができない。ただし、公開買付者が公開買付開始公告及び公開買付届出書において公開買付けに係る株券等の発行者若しくはその子会社(会社法第二条第三号に規定する子会社をいう。)の業務若しくは財産に関する重要な変更その他の公開買付けの目的の達成に重大な支障となる事情(政令で定めるものに限る。)が生じたときは公開買付けの撤回等をすることがある旨の条件を付した場合又は公開買付者に関し破産手続開始の決定その他の政令で定める重要な事情の変更が生じた場合には、この限りでない。
- A Tender Offeror may not withdraw offers or cancel contracts pertaining to the Tender Offer (hereinafter collectively referred to as 'Withdrawal, etc. of Tender Offer') after having once made the Public Notice for Commencing Tender Offer; provided, however, that this shall not apply in cases where the Tender Offeror states as one of the Terms of Purchase, etc. in the Public Notice for Commencing Tender Offer and Tender Offer Notification that the Tender Offer may be withdrawn if there occurs any important change in the business or property of the Issuer of the Share Certificates, etc. for which the Tender Offer is made or its Subsidiary (meaning Subsidiary as defined in Article 2(iii) of the Companies Act) or there occurs any other circumstance that would significantly impede the achievement of the purpose of the Tender Offer (limited to those specified by a Cabinet Order), or where a decision of commencement of bankruptcy proceedings is made against the Tender Offeror or there occurs any other material change in circumstances as specified by a Cabinet Order.
- 独立行政法人住宅金融支援機構、中小企業金融公庫又は公営企業金融公庫(次項において「機構等」という。)が、独立行政法人住宅金融支援機構法(平成十七年法律第八十二号)第二十二条、中小企業金融公庫法(昭和二十八年法律第百三十八号)第二十五条の四第一項又は公営企業金融公庫法(昭和三十二年法律第八十三号)第二十六条の三第一項の規定による第二条第一項第十四号に掲げる有価証券若しくは同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)に表示される権利又は同条第二項第一号若しくは第二号に掲げる権利の販売(次項において「信託受益権の販売」という。)を行う場合には、第二十九条の規定は、適用しない。
- Article 29 shall not apply to cases where the Independent Administrative Agency Japan Housing Finance Agency, Japan Finance Corporation for Small and Medium Enterprise or Japan Finance Corporation for Municipal Enterprises (referred to as the 'Agency, etc.' in the following paragraph) is engaged in sales of the rights indicated by the securities listed in Article 2(1)(xiv) or the securities listed in Article 2(1)(xvii) (limited to those having a nature of the securities listed in item (xiv) of said paragraph) or in sales of rights listed in Article 2(2)(i) or (ii), pursuant to Article 22 of the Act on Independent Administrative Agency Japan Housing Finance Agency (Act No. 82 of 2005), Article 25-4(1) of the Act on Japan Finance Corporation for Small and Medium Enterprise (Act No. 138 of 1953) or Article 26-3(1) of the Act on Japan Finance Corporation for Municipal Enterprises (Act. No. 83 of 1957) (referred to as the 'Sales of Trust Beneficial Rights' in the following paragraph).
- 第十八条の規定による賠償の請求権は、請求権者が有価証券届出書若しくは目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていたことを知つた時又は相当な注意をもつて知ることができる時から三年間、これを行わないときは、消滅する。当該有価証券の募集若しくは売出しに係る第四条第一項若しくは第二項の規定による届出がその効力を生じた時又は当該目論見書の交付があつた時から七年間(第十条第一項又は第十一条第一項の規定による停止命令があつた場合には、当該停止命令があつた日からその解除があつた日までの期間は、算入しない。)、これを行わないときも、また、同様とする。
- The right to claim damages under Article 18 shall be extinguished by prescription when the right is not exercised within three years from the time when the person who is entitled to claim the damages comes to know, or is able to know, that the Securities Registration Statement or the Prospectus contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. The same shall also apply when the right is not exercised within seven years (excluding, where an order for suspension has been given under Article 10(1) or Article 11(1), the period from the day when the order was given to the day when the order was canceled) from the time when the notification made under Article 4(1) or (2) for Public Offering or Secondary Distribution of the Securities comes into effect or the delivery of the Prospectus is made.
- 第一項第二十三号及び第二十四号に掲げる者(非居住者に限る。)並びに同項第二十五号及び第二十六号に掲げる者は、本邦内に本店若しくは主たる事務所の所在地又は住所を有する者であって、当該者が取得した有価証券(その発行の際にその取得勧誘が法第二条第三項第一号に掲げる場合に該当する場合における同号の規定により当該取得勧誘の相手方から除かれる適格機関投資家を相手方として行うもの又は同項第二号イ若しくは法第二条の二第四項第二号イに掲げる場合に該当するものであった有価証券に限る。)に係る法第二十三条の十三第一項の規定による告知及び同条第二項の規定による書面の交付に関する一切の行為につき、当該者を代理する権限を有するものを定めなければならない。
- A person listed in any of items (xxiii) and (xxiv) of paragraph (1) (limited to a Non-resident) and a person listed in any of items (xxv) and (xxvi) of that paragraph shall designate a person whose head office or principal office is located in Japan or who has a domicile in Japan and has the authority to represent said person with regard to any and all acts relating to a notification as prescribed in Article 23-13, paragraph (1) of the Act or to the delivery of documents as prescribed in Article 23-13, paragraph (2) of the Act pertaining to Securities acquired by said person (limited to Securities for which the Solicitation of Offers to Acquire fell under the cases listed in Article 2, paragraph (3), item (i) of the Act at the time of the issuance thereof, and was made to Qualified Institutional Investors excluded from being the counterparty to said Solicitation of Offers to Acquire pursuant to the provisions of the provisions of that item, or Securities for which Solicitation of Offers to Acquire fell under the cases listed in sub-item (a), item (ii) of that paragraph or Article 2-2, paragraph (4), item (ii), sub-item (a) of the Act at the time of the issuance thereof).
- 登記官は、所有権の登記以外の権利に関する登記がある土地について分筆の登記をする場合において、当該分筆の登記の申請情報と併せて当該権利に関する登記に係る権利の登記名義人(当該権利に関する登記が抵当権の登記である場合において、抵当証券が発行されているときは、当該抵当証券の所持人又は裏書人を含む。)が当該権利を分筆後のいずれかの土地について消滅させることを承諾したことを証する情報が提供されたとき(当該権利を目的とする第三者の権利に関する登記がある場合にあっては、当該第三者が承諾したことを証する情報が併せて提供されたときに限る。)は、法務省令で定めるところにより、当該承諾に係る土地について当該権利が消滅した旨を登記しなければならない。
- Where a registrar makes a registration of a parcel subdivision in relation to the land for which there is a registration of a right other than a registration of ownership, and when he/she is provided with, in addition to the application information regarding the registration of the parcel subdivision, information certifying that the registered holder of the right pertaining to said registration of the right (in cases where said registration of the right is a registration of a mortgage and mortgage securities have been issued, including the holder or endorser of the mortgage securities) has consented to cause the right to be extinguished for any of the subdivisions of the land (in cases where there is a registration concerning a third party's right established over said right, the information certifying that the third party has given consent must also be provided), he/she shall, as provided for by Ordinance of the Ministry of Justice, make a registration to the effect that said right has been extinguished in relation to the land for which the consent has been given.
- 外国証券業者(有価証券関連業と密接な関係を有する業を行う者で内閣府令で定めるものを含む。以下この条において同じ。)又は外国で投資助言業務若しくは投資運用業を行う者(第二十九条又は第三十三条の二の登録を受けた者を除く。以下この条において同じ。)は、有価証券及び有価証券に係る金融指標の市場に関する情報の収集及び提供その他金融商品取引等に関連のある業務で内閣府令で定めるものを行うため、国内において駐在員事務所その他の施設を設置しようとする場合(他の目的をもつて設置している施設において当該業務を行おうとする場合を含む。)には、あらかじめ、当該業務の内容、当該施設の所在の場所その他内閣府令で定める事項を内閣総理大臣に届け出なければならない。
- A Foreign Securities Broker (including those whose business is closely related to Securities-Related Business and those which are specified by a Cabinet Office Ordinance; hereinafter the same shall apply in this Article) or a person who conducts Investment Advisory Business or Investment Management Business in a foreign state (excluding persons registered under Article 29 or Article 33-2; hereinafter the same shall apply in this Article) shall, when it intends to establish a representative office or any other institution in Japan for the purposes of collection or provision of information regarding the securities market and the market of financial indicator of the Securities, or to conduct other business related to financial instruments business, etc. which are specified by a Cabinet Office Ordinance (including the cases where said Foreign Securities Broker intends to conduct said business in the institution established for other purposes), notify the contents of said business, the location of said facility and other matters specified by a Cabinet Office Ordinance to the Prime Minister in advance.
- 金融商品取引業者等は、第二条第二項第五号若しくは第六号に掲げる権利又は同条第一項第二十一号に掲げる有価証券(政令で定めるものに限る。)若しくは同条第二項第七号に掲げる権利(政令で定めるものに限る。)については、当該権利又は有価証券に関し出資され、又は拠出された金銭(これに類するものとして政令で定めるものを含む。以下この条において同じ。)が、当該金銭を充てて行われる事業を行う者の固有財産その他当該者の行う他の事業に係る財産と分別して管理することが当該権利又は有価証券に係る契約その他の法律行為において確保されているものとして内閣府令で定めるものでなければ、第二条第八項第一号、第二号又は第七号から第九号までに掲げる行為を行つてはならない。
- With regard to the rights listed in Article 2(2)(v) or (vi) or the Securities listed in Article 2(1)(xxi) (limited to those specified by a Cabinet Order) or the rights listed in Article 2(2)(vii) (limited to those specified by a Cabinet Order), a Financial Instruments Business Operator, etc. may not conduct any of the acts listed in Article 2(8)(i), (ii) or (vii) to (ix) unless the relevant right or Securities are specified by a Cabinet Office Ordinance as those for which it is ensured by means of a contract or other juristic act pertaining to the right or Securities that the money invested or contributed for the right or Securities (including those specified by a Cabinet Order as being similar to money; hereinafter the same shall apply in this Article) is managed separately from the property that belongs to the person who conducts the relevant business to be operated using such money, or any other property pertaining to other businesses conducted by that person.
- 第二十条の規定は、前条の規定による賠償の請求権について準用する。この場合において、第二十条中「第十八条」とあるのは「第二十一条の二」と、「有価証券届出書若しくは目論見書」とあるのは「第二十五条第一項各号(第五号及び第九号を除く。)に掲げる書類」と、「三年間」とあるのは「二年間」と、「当該有価証券の募集若しくは売出しに係る第四条第一項若しくは第二項の規定による届出がその効力を生じた時又は当該目論見書の交付があつた時から七年間(第十条第一項又は第十一条第一項の規定による停止命令があつた場合には、当該停止命令があつた日からその解除があつた日までの期間は、算入しない。)」とあるのは「当該書類が提出された時から五年間」と読み替えるものとする。
- Article 20 shall apply mutatis mutandis to the right to claim damages under the preceding Article. In this case, the terms 'Article 18,' 'the Securities Registration Statement or the Prospectus' and 'three years' in Article 20 shall be deemed to be replaced with 'Article 21-2,' 'any of the documents specified in the items of Article 25(1) (excluding Article 25(1)(v) and (ix))' and 'two years,' respectively; and the part 'seven years (excluding, where an order for suspension has been given under Article 10(1) or Article 11(1), the period from the day when the order was given to the day when the order was canceled) from the time when the notification made under Article 4(1) or (2) for Public Offering or Secondary Distribution of the Securities comes into effect or the delivery of the Prospectus is made' in Article 20 also shall be deemed to be replaced with 'five years from the time when the document is submitted.'
- 公開買付者(第二項において準用する第二十七条の三第二項に規定する公開買付者をいう。以下この節において同じ。)は、公開買付撤回届出書(第二項において準用する第二十七条の十一第三項に規定する公開買付撤回届出書をいう。以下この節において同じ。)又は公開買付報告書(第二項において準用する第二十七条の十三第二項に規定する公開買付報告書をいう。以下この節において同じ。)を提出した後、直ちに当該公開買付撤回届出書又は公開買付報告書の写しを、第二項において準用する第二十七条の三第四項各号に掲げる当該公開買付けに係る上場株券等の区分に応じ、当該各号に定める者に送付しなければならない。この場合において、当該写しの送付に関し必要な事項は、内閣府令で定める。
- A Tender Offeror (meaning Tender Offeror as defined in Article 27-3(2) as applied mutatis mutandis pursuant to paragraph (2); hereinafter the same shall apply in this Section) shall, immediately after the submission of a Written Withdrawal of Tender Offer (meaning Written Withdrawal of Tender Offer as defined in Article 27-11(3) as applied mutatis mutandis pursuant to paragraph (2); hereinafter the same shall apply in this Section) or Tender Offer Report (meaning Tender Offer Report as defined in Article 27-13(2) as applied mutatis mutandis pursuant to paragraph (2); hereinafter the same shall apply in this Section), send a copy of the Written Withdrawal of Tender Offer or Tender Offer Report to the exchange or association specified in the following items for each kind of Listed Share Certificates, etc. set forth in the respective items. In this case, matters necessary for sending of the copies shall be specified by a Cabinet Office Ordinance.
- 金融商品取引所は、当該金融商品取引所が発行者である有価証券をその売買のため、又は当該有価証券、当該有価証券に係る金融指標若しくは当該有価証券に係るオプションを市場デリバティブ取引のために取引所金融商品市場その他政令で定める市場(当該金融商品取引所(その子会社である金融商品取引所を含む。)及び当該金融商品取引所の総株主の議決権の百分の五十を超える対象議決権を保有する金融商品取引所が開設する取引所金融商品市場を除く。)に上場しようとするときは、その上場しようとする取引所金融商品市場その他政令で定める市場ごとに、その上場について、内閣総理大臣の承認を受けなければならない。ただし、第百二十五条の規定による命令に基づき上場する場合は、この限りでない。
- When a Financial Instruments Exchange intends to list the Securities issued by said Financial Instruments Exchange for the purpose of sales and purchase, or to list said Securities, Financial Indicators pertaining thereto or Options pertaining thereto for the purpose of Market Transactions of Derivatives, on the Financial Instruments Exchange Market or any other market specified by a Cabinet Order (excluding the Financial Instruments Exchange Market established by said Financial Instruments Exchange (including the Financial Instruments Exchange which is its Subsidiary Company) and by the Financial Instruments Exchange which holds the subject voting rights exceeding 50% of the voting rights of all shareholders of said Financial Instruments Exchange), it shall obtain approval on such listing from the Prime Minister, for each Financial Instruments Exchange Market or any other market prescribed by a Cabinet Order subject to said listing; provided, however, that this shall not apply to the cases where such listing is made based on the order given under the provision of Article 125.
- 公開買付けに係る対象者は、内閣府令で定める場合には、第二十七条の十第九項(同条第十項において準用する場合を含む。)の規定により当該公開買付けに係る公開買付者(当該公開買付けに係る意見表明報告書(その訂正報告書を含む。以下この項において同じ。)を提出した日において、当該公開買付者以外の者で既に当該公開買付けに係る発行者の株券等に係る公開買付届出書の提出をしている者がある場合には、当該提出をしている者を含む。)に送付するものとされている書類の写しに代えて、当該意見表明報告書に記載すべき事項を電子情報処理組織を使用する方法その他の内閣府令で定める方法により提供することができる。この場合において、当該公開買付けに係る対象者は、当該書類の写しを送付したものとみなす。
- A Subject Company of a Tender Offer may, in lieu of the copies of the documents to be sent under the provision of Article 27-10(9) (including the cases where it is applied mutatis mutandis pursuant to Article 27-10(10)) to the Tender Offeror pertaining to the Tender Offer (in cases where, as of the day when the Tender Offeror has submitted the Subject Company's Position Statement (including the Amendment Reports thereof; hereinafter the same shall apply in this paragraph) pertaining to said Tender Offer, any person other than the Tender Offeror has already submitted the Tender Offer Notification relating to the Share Certificates, etc. of the issuer pertaining to said Tender Offer, including said person), provide the information to be contained in the Subject Company's Position Statement by means of the electronic data processing system or by other method specified by a Cabinet Office Ordinance, in the cases specified by a Cabinet Office Ordinance. In this case, the Subject of said Tender Offer shall be deemed to have sent the copy of said documents.
- 定款、株主名簿、株券喪失登録簿、新株予約権原簿、社債原簿、議事録、財産目録、会計帳簿、貸借対照表、損益計算書、事業報告、事務報告、第四百三十五条第二項若しくは第四百九十四条第一項の附属明細書、会計参与報告、監査報告、会計監査報告、決算報告又は第百二十二条第一項、第百四十九条第一項、第二百五十条第一項、第二百七十条第一項、第六百八十二条第一項、第六百九十五条第一項、第七百八十二条第一項、第七百九十一条第一項、第七百九十四条第一項、第八百一条第一項若しくは第二項、第八百三条第一項、第八百十一条第一項若しくは第八百十五条第一項若しくは第二項の書面若しくは電磁的記録に記載し、若しくは記録すべき事項を記載せず、若しくは記録せず、又は虚偽の記載若しくは記録をしたとき。
- when the person fails to state or record matters to be stated or recorded in the articles of incorporation, shareholder registry, registry of lost share certificates, Share Option registry, Bond Registry, minutes, inventory of property, accounting books, balance sheet, profit and loss statement, business report, administrative report, annexed detailed statements set forth in Article 435(2) or Article 494(1), accounting advisor's report, audit report, accounting audit report, settlement of accounts, or the documents or Electromagnetic Records set forth in Article 122(1), Article 149(1), Article 250(1), Article 270(1), Article 682(1), Article 695(1), Article 782(1), Article 791(1), Article 794(1), Article 801(1) or (2), Article 803(1), Article 811(1) or Article 815(1) or (2), or states or records false matters;
- 前二項の規定により報告書提出外国会社が有価証券報告書等に代えて外国会社報告書及びその補足書類を提出する場合には、第一項中「当該事業年度経過後三月以内(当該会社が外国会社である場合には、公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内)」とあるのは「当該事業年度経過後公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内」とし、第五項中「「当該事業年度」とあるのは「当該特定期間」」とあるのは「「当該事業年度経過後三月以内(当該会社が外国会社である場合には、公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内)」とあるのは「当該特定期間経過後公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内」」とする。
- In cases where a Reporting Foreign Company submits a Foreign Company Report and Supplementary Documents thereof instead of Annual Securities Reports, etc. under the preceding two paragraphs, the part 'within three months after the end of that business year (or, in the case of a foreign company, within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the end of that business year)' in paragraph (1) shall be deemed to be replaced with 'within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors,'; and the part, 'the term 'that business year' in the main clause of paragraph (1) shall be deemed to be replaced with 'that Specified Period'' in paragraph (5) shall be deemed to be replaced with 'the part 'within three months after the end of that business year (or, in the case of a foreign company, within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the end of that business year)' in the main clause of paragraph (1) shall be deemed to be replaced with 'within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the end of that business year'.'
- 第八項又は前項の場合において、会社又は議決権の保有者が保有する議決権には、金銭又は有価証券の信託に係る信託財産として所有する株式等に係る議決権(委託者又は受益者が行使し、又はその行使について当該会社若しくは当該議決権の保有者に指図を行うことができるものに限る。)その他内閣府令で定める議決権を含まないものとし、信託財産である株式等に係る議決権で、当該会社又は当該議決権の保有者が委託者若しくは受益者として行使し、又はその行使について指図を行うことができるもの(内閣府令で定める議決権を除く。)及び社債、株式等の振替に関する法律(平成十三年法律第七十五号)第百四十七条第一項又は第百四十八条第一項の規定により発行者に対抗することができない株式に係る議決権を含むものとする。
- In the case referred to in paragraph (8) and the preceding paragraph, the voting rights held by a company or an individual holder of voting rights shall not include any voting rights pertaining to Shares, etc. held in the form of trust property pertaining to a monetary or security trust (limited to cases where the settlor or the beneficiary may exercise voting rights or give instructions to the company or the holders of the voting rights) and any other voting rights specified by Cabinet Office Ordinance, but shall include any voting rights from Shares, etc. which are held as trust property and which the other company or the person who holds voting rights in the Bank may exercise, as the settlor or beneficiary, or on whose exercise he/she may give instructions (excluding those specified by Cabinet Office Ordinance) and any voting rights from shares which cannot be asserted against the issuer pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Transfer of Corporate Bonds, Shares, etc. (Act No. 75 of 2001).
- 第十二項又は前項の場合において、会社又は議決権の保有者が保有する議決権には、金銭又は有価証券の信託に係る信託財産として所有する株式又は持分に係る議決権(委託者又は受益者が行使し、又はその行使について当該会社若しくは当該議決権の保有者に指図を行うことができるものに限る。)その他内閣府令で定める議決権を含まないものとし、信託財産である株式又は持分に係る議決権で、当該会社又は当該議決権の保有者が委託者若しくは受益者として行使し、又はその行使について指図を行うことができるもの(内閣府令で定める議決権を除く。)及び社債、株式等の振替に関する法律(平成十三年法律第七十五号)第百四十七条第一項又は第百四十八条第一項の規定により発行者に対抗することができない株式に係る議決権を含むものとする。
- In the case prescribed in paragraph (12) and the preceding paragraph, the voting rights held by a company or a person who holds voting rights shall not include any voting rights pertaining to shares or equity interests held in the form of trust property pertaining to a monetary or securities trust (limited to cases where the settlor or the beneficiary may exercise the voting rights or may instruct the company or the holder of the voting rights on the exercise of such voting rights) or any of the voting rights specified by a Cabinet Office Ordinance, but shall include voting rights of the Shares or equity interests which are held as trust property and of which the other company or the person holding voting rights of the Insurance Company may, as a settlor or beneficiary, make exercise or may give instructions on the exercise(excluding those specified by a Cabinet Office Ordinance) and any voting rights of the shares which cannot be asserted against the issuer pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Transfer of Bonds, Shares, etc. (Act No. 75 of 2001).
- 金融商品取引所が第百四十八条若しくは第百五十二条第一項の規定により免許を取り消された場合、金融商品取引清算機関が第百五十六条の十七第一項若しくは第二項の規定により免許を取り消された場合、証券金融会社が第百五十六条の三十二第一項の規定により免許を取り消された場合若しくは外国金融商品取引所が第百五十五条の十第一項の規定により認可を取り消された場合又はこの法律に相当する外国の法令の規定により当該外国において受けている同種類の免許若しくは認可(当該免許又は認可に類する許可その他の行政処分を含む。)を取り消された場合において、その取消しの日前三十日以内にその法人の役員(外国金融商品取引所にあつては、国内における代表者を含む。ホにおいて同じ。)であつた者でその取消しの日から五年を経過するまでの者
- when a Financial Instruments Exchange has had its license rescinded under the provision of Article 148 or Article 152(1), when a Financial Instruments Clearing Organization has had its license rescinded under the provision of Article 156-17(1) or (2), when a Securities Finance Company has had its license rescinded under the provision of Article 156-32(1), when a Foreign Financial Instruments Exchange has had its authorization rescinded under the provision of Article 155-10(1), or when such person had obtained license or authorization of the same kind in a foreign state under the provisions of laws and regulations of said foreign state equivalent to this Act and has had the license or authorization (including permission or other administrative dispositions similar to said license or authorization) rescinded, a person who was an Officer of such juridical person (in the case where said person is a Foreign Financial Instruments Exchange, including its Representative Person in Japan; hereinafter the same shall apply in sub-item(e)) within 30 days prior to the date of rescission, and for whom five years have not passed since the date of the rescission;
- その株券、新株予約権付社債券その他の有価証券で政令で定めるもの(以下この章及び第二十七条の三十の十一(第四項を除く。)において「株券等」という。)について有価証券報告書を提出しなければならない発行者の株券等につき、当該発行者以外の者が行う買付け等(株券等の買付けその他の有償の譲受けをいい、これに類するものとして政令で定めるものを含む。以下この節において同じ。)であつて次のいずれかに該当するものは、公開買付けによらなければならない。ただし、新株予約権を有する者が当該新株予約権を行使することにより行う株券等の買付け等及び株券等の買付け等を行う者がその者の特別関係者(第七項第一号に掲げる者のうち内閣府令で定めるものに限る。)から行う株券等の買付け等その他政令で定める株券等の買付け等は、この限りでない。
- As for Shares, bonds with share option and other Securities specified by a Cabinet Order (hereinafter collectively referred to as 'Share Certificates, etc.' in this Chapter and Article 27-30-11 (excluding Article 27-30-11(4))) for which their Issuer is required to submit Annual Securities Reports, Purchase, etc. (meaning purchase or other type of acceptance of transfer for value of Share Certificates, etc. and including acts specified by a Cabinet Order as being similar to such acceptance; hereinafter the same shall apply in this Section) of them shall be made by means of a Tender Offer, if the Purchase, etc. is made by a person other than the Issuer and falls under any of the categories listed in the following items; provided, however, that this shall not apply to Purchase, etc. of Share Certificates, etc. conducted as exercise of share option by the holder thereof, Purchase, etc. of Share Certificates, etc. from Persons in Special Relationship with the person conducting Purchase, etc. of Share Certificates, etc.(limited to such persons specified in item (i) of paragraph (7) and specified by a Cabinet Office Ordinance) or other Purchase, etc. of Share Certificates, etc. so specified by a Cabinet Order:
- 登記官は、所有権等(所有権、地上権、永小作権、地役権及び採石権をいう。以下この款及び第百十八条第五項において同じ。)の登記以外の権利に関する登記がある建物について合体による登記等をする場合において、当該合体による登記等の申請情報と併せて当該権利に関する登記に係る権利の登記名義人(当該権利に関する登記が抵当権の登記である場合において、抵当証券が発行されているときは、当該抵当証券の所持人又は裏書人を含む。)が合体後の建物について当該権利を消滅させることについて承諾したことを証する情報が提供されたとき(当該権利を目的とする第三者の権利に関する登記がある場合にあっては、当該第三者が承諾したことを証する情報が併せて提供されたときに限る。)は、法務省令で定めるところにより、当該権利が消滅した旨を登記しなければならない。
- Where a registrar makes a registration, etc. by reason of combination in relation to a building for which there is a registration of a right other than a registration of ownership, etc. (meaning ownership, superficies, farming right, servitude and the right of quarrying; hereinafter the same shall apply in this Subsection and Article 118, paragraph (5)), and when he/she is provided with, in addition to the application information regarding the registration, etc. by reason of combination, the information certifying that the registered holder of the right pertaining to said registration of the right (in cases where said registration of the right is a registration of a mortgage and mortgage securities have been issued, including the holder or endorser of the mortgage securities) has consented to cause the right to be extinguished for the building resulting from the combination (in cases where there is a registration concerning a third party's right established over said right, the information certifying that the third party has given consent must also be provided), he/she shall, as provided for by Ordinance of the Ministry of Justice, make a registration to the effect that said right has been extinguished.
- 外国で既に発行された有価証券(政令で定めるものを除く。)その他これに準ずるものとして政令で定める有価証券の売付けの申込み又はその買付けの申込みの勧誘で、第四条第一項本文の規定の適用を受けないもの(以下この条において「海外発行証券の少人数向け勧誘」という。)は、当該有価証券がその買付者から多数の者に譲渡されるおそれを少なくするために必要な条件として政令で定める条件が当該有価証券の売付けに付されることを明らかにして、しなければならない。た だし、当該有価証券に関して開示が行われている場合、当該有価証券の売付けの総額が一億円を超えない範囲内で内閣府令で定める金額未満である場合その他当 該有価証券の売付けに当該条件を付さなくても公益又は投資者保護に欠けることがないものとして内閣府令で定める要件を満たす場合については、この限りでな い。
- With regard to Securities already-issued in a foreign State (excluding those specified by a Cabinet Order) or Securities specified by a Cabinet Order as those equivalent to such Securities, among solicitations of an application to sell or purchase such Securities, those exempted from application of the main clause of Article 4(1) (hereinafter referred to as 'Solicitation for Small Number of Investors for Foreign Securities)' in this Article) shall be made by clearly indicating that the conditions specified by a Cabinet Order as those necessary to reduce the likelihood that the Securities will be transferred from any person who purchased them to a large number of persons are imposed on sales of the Securities; provided, however, that this shall not apply to the Case Where Disclosures Have Been Made with regard to the Securities and to cases where the requirements specified by a Cabinet Office Ordinance in order to qualify sales of Securities as those which will not impair the public interest or protection of investors even if such conditions are not imposed thereon, including the requirement that the total amount of the sales of the Securities must be less than the amount specified by a Cabinet Office Ordinance, which may not be more than 100 million yen, are satisfied.
- 資本取引に係る契約の締結(法第二十二条の三に規定する両替業務に係るものを除く。)に基づいて行われる行為のうち、現金、持参人払式小切手(小切手法(昭和八年法律第五十七号)第五条第一項第三号に掲げる持参人払式として振り出された小切手又は同条第二項若しくは第三項の規定により持参人払式小切手とみなされる小切手をいう。以下この号において同じ。)、自己宛小切手(同法第六条第三項の規定により自己宛に振り出された小切手をいう。以下この号において同じ。)、旅行小切手又は無記名の公社債(所得税法(昭和四十年法律第三十三号)第二条第一項第九号に掲げる公社債をいう。)の本券若しくは利札の受払いをする行為であつて、その金額が二百万円に相当する額を超えるもの(持参人払式小切手及び自己宛小切手にあつては、小切手法第三十七条第一項に規定する線引がないものに限る。)
- Among acts committed based on the conclusion of a contract pertaining to capital transactions (excluding those pertaining to money exchange business prescribed in Article 22-3 of the Act), acts of receiving or paying cash, bearer checks (meaning checks drawn as bearer checks listed in Article 5, paragraph (1), item (iii) of the Checks Act (Act No. 57 of 1933) or checks deemed to be bearer checks pursuant to the provision of paragraph (2) or (3) of the said Article; hereinafter the same shall apply in this item), bank cashiers checks (meaning checks drawn to self pursuant to the provision of Article 6, paragraph (3) of the said act; hereinafter the same shall apply in this item), traveler's checks, or certificates or interest coupons of public and corporate bonds not bearing the owner's name (meaning public and corporate bonds listed in Article 2, paragraph (1), item (ix) of the Income Tax Act), of which the amount exceeds that equivalent to two million yen (for bearer checks and bank cashiers checks, limited to those without crossing prescribed in Article 37, paragraph (1) of the Checks Act)
- 社債券及び法第二条第一項第十七号に掲げる有価証券で同項第一号から第五号までに掲げる有価証券の性質を有するもの(新株予約権付社債券等及び同項第十七号に掲げる有価証券のうち新株予約権付社債券等の性質を有するものを除く。)、同項第十五号に掲げる有価証券(同項第十七号に掲げる有価証券で同項第十五号に掲げる有価証券の性質を有するものを含む。)、投資信託又は外国投資信託の受益証券、特定目的信託の受益証券(同項第十七号に掲げる有価証券のうち特定目的信託の受益証券の性質を有するものを含む。)、学校債券、抵当証券(同項第十七号に掲げる有価証券のうち抵当証券の性質を有するものを含む。)並びに受益証券発行信託の受益証券(同項第十七号に掲げる有価証券のうち受益証券発行信託の受益証券の性質を有するものを含み、次号に掲げるものを除く。) 次に掲げるすべての要件
- corporate bond certificates, and the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities set forth in items (i) to (v) inclusive of that paragraph (excluding corporate bond certificates with share options, etc. and the Securities set forth in item (xvii) of that paragraph which have the nature of the corporate bond certificates with share options, etc.), the Securities set forth in item (xv) of that paragraph (including the Securities set forth in item (xvii) of that paragraph which have the nature of the Securities set forth in item (xv) of that paragraph), Beneficiary Certificates of an Investment Trust or Foreign Investment Trust, Beneficiary Certificates of a Special Purpose Trust (including the Securities set forth in item (xvii) of that paragraph which have the nature of the Beneficiary Certificates of a Special Purpose Trust), School Bonds, Mortgage Securities (including the Securities set forth in item (xvii) of that paragraph which have the nature of Mortgage Securities), and Beneficiary Certificates of a Trust That Issues Beneficiary Certificates (including the Securities set forth in item (xvii) of that paragraph which have the nature of Beneficiary Certificates of a Trust That Issues Beneficiary Certificates, and excluding those listed in the following item): all of the following requirements:
- 令第一条の四第一号又は第一条の七の四第一号に掲げる有価証券 令第一条の四第一号に定める場合(当該償還有価証券が新たに発行される有価証券でなく、かつ、当該償還有価証券の発行者が当該転換債券の発行者の親会社(会社法第二条第四号に掲げる親会社をいう。第十三条第三項第二号ニ、第十三条の四第二項第二号ニ及び第十三条の七第三項第二号ニにおいて同じ。)又は子会社(同法第二条第三号に掲げる子会社をいう。第十三条第三項第二号ニ、第十三条の四第二項第二号ニ及び第十三条の七第三項第二号ニにおいて同じ。)でない場合(以下(1)及び(2)において「既発行償還有価証券である場合」という。)には、令第一条の四第一号イに掲げる要件に該当する場合を除く。)又は令第一条の七の四第一号に定める場合(既発行償還有価証券である場合には、同号イに掲げる要件に該当する場合を除く。)
- the Securities set forth in Article 1-4, item (i) or Article 1-7-4, item (i) of the Cabinet Order: the cases specified in Article 1-4, item (i) of the Cabinet Order (in cases where the relevant Securities Acquired Upon Redemption are not to be newly issued and where the Issuer of said Securities Acquired Upon Redemption is not the Parent Company (meaning a Parent Company as defined in Article 2, item (iv) of the Companies Act; the same shall apply in Article 13, paragraph (3), item (ii), sub-item (d), Article 13-4, paragraph (2), item (ii), sub-item (d) and Article 13-7, paragraph (3), item (ii), sub-item (d)) or a Subsidiary Company (meaning a Subsidiary Company as defined in Article 2, item (iii) of that Act; the same shall apply in Article 13, paragraph (3), item (ii), sub-item (d), Article 13-4, paragraph (2), item (ii), sub-item (d) and Article 13-7, paragraph (3), item (ii), sub-item (d)) of the Issuer of the relevant Convertible Bond Certificates (such case shall be referred to as the 'Case of Already Issued Securities Acquired Upon Redemption' in 1. and 2. below), excluding the cases where the relevant Securities fall under the requirements set forth in Article 1-4, item (i), sub-item (a) of the Cabinet Order), or the cases specified in Article 1-7-4, item (i) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the cases where the relevant Securities fall under the requirements set forth in sub-item (a) of that item);
- 第四項の規定により臨時報告書を提出しなければならない会社(第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社に限る。)が、内閣府令で定めるところにより、第四項の規定による臨時報告書に記載すべき内容の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「臨時代替書面」という。)を臨時報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第四項の規定の適用については、同項中「その内容を記載した報告書」とあるのは、「その内容(第十五項に規定する臨時代替書面に記載された内容を除く。)を記載した報告書」とする。
- In cases where a company required to submit an Extraordinary Report under paragraph (4) (limited to a company which is required to submit Annual Securities Reports under Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5)) submits documents containing, pursuant to the provisions of a Cabinet Office Ordinance, descriptions on part of the matters to be stated in an Extraordinary Report set forth in paragraph (4) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as 'Documents Substituting Part of an Extraordinary Report' in this paragraph and the following paragraph) together with an Extraordinary Report to the Prime Minister, with regard to the application of paragraph (4) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term 'a report stating the details thereof' in paragraph (4) shall be deemed to be replaced with 'a report stating the details thereof (excluding the details stated in Documents Substituting Part of an Extraordinary Report as defined in paragraph (15).'
- 第一条中証券取引法第三十三条の三、第六十四条の二第一項第二号及び第六十四条の七第五項の改正規定、同法第六十五条の二第五項の改正規定(「及び第七号」を「、第七号及び第十二号」に改める部分に限る。)並びに同法第百四十四条、第百六十三条第二項並びに第二百七条第一項第一号及び第二項の改正規定、第二条中外国証券業者に関する法律(以下この条において「外国証券業者法」という。)第三十六条第二項の改正規定、第四条中投資信託及び投資法人に関する法律(以下この条において「投資信託法」という。)第十条の五の改正規定、第六条中有価証券に係る投資顧問業の規制等に関する法律(以下この条において「投資顧問業法」という。)第二十九条の三の改正規定、第十一条及び第十二条の規定、第十三条中中小企業等協同組合法第九条の八第六項第一号に次のように加える改正規定並びに第十四条から第十九条までの規定 この法律の公布の日
- The provisions in Article 1 which revise Article 33-3, Article 64-2, paragraph (1), item (ii) and Article 64-7, paragraph (5) of the Securities and Exchange Act, Article 65-2, paragraph (5) (limited to the part which is to revise the term 'and (vii)' to ', (vii) and (xii)') of that Act and Article 144, Article 163, paragraph (2) and Article 207, paragraph (1), item (i) and paragraph (2) of that Act, the provisions in Article 2 which is to revise Article 36, paragraph (2) of the Act on Foreign Securities Brokers (hereinafter referred to as the 'Foreign Brokers Act' in this Article), the provisions in Article 4 which revise Article 10-5 of the Act on Investment Trust and Investment Corporations (hereinafter referred to as the 'Investment Trust Act' in this Article), the provisions in Article 6 which revise Article 29-3 of the Act on Regulation, etc. on Securities Investment Advisory Services (hereinafter referred to as the 'Investment Advisory Services Act' in this Article), the provisions of Articles 11 and 12, the provisions in Article 13 which revise Article 9-8, paragraph (6), item (i) of the Small and Medium Sized Enterprise, etc., Cooperatives Act by adding as described below, and the provisions of Articles 14 to 19 inclusive: the day of promulgation of this Act
- From Article 1, the provisions revising Article 33-3, Article 64-2, paragraph (1), item (ii) and Article 64-7, paragraph (5) of the Securities and Exchange Act, the provisions revising Article 65-2, paragraph (5) of the same Act (limited to the portions changing 'and item (vii)' to ', item (vii) and item (xii)'), and the provisions revising Article 144, Article 163, paragraph (2) and Article 207, paragraph (1), item (i) and paragraph (2) of the same Act; from Article 2, the provisions revising Article 36, paragraph (2) of the Act on Foreign Securities Brokers (hereinafter referred to as the 'Foreign Securities Brokers Act' in this Article); from Article 4, the provisions revising Article 10-5 of the Act on Securities Investment Trust and Securities Investment Corporations (hereinafter referred to as the 'Investment Trust Act' in this Article); from Article 6, the provisions revising Article 29-3 of the Act on Regulation, etc. of Investment Advisory Business Pertaining to Securities (hereinafter referred to as the 'Investment Advisory Business Act' in this Article); the provisions of Article 11 and Article 12; from Article 13, the provisions adding the following to Article 9-8, paragraph (6), item (i) of the Small and Medium-Sized Enterprise Cooperatives Act; and the provisions of Articles 14 to 19- The day of promulgation of this Act
- 法令、法令に基づく行政官庁の処分若しくは定款その他の規則に違反したとき、又は会員等若しくは当該金融商品取引所に上場されている有価証券の発行者が法令、法令に基づく行政官庁の処分若しくは当該金融商品取引所の定款、業務規程、受託契約準則その他の規則(以下この号において「法令等」という。)に違反し、若しくは定款その他の規則に定める取引の信義則に背反する行為をしたにもかかわらず、これらの者に対し法令等若しくは当該取引の信義則を遵守させるために、この法律、この法律に基づく命令若しくは定款その他の規則により認められた権能を行使せずその他必要な措置をとることを怠つたとき 第八十条第一項の免許を取り消し、一年以内の期間を定めてその業務の全部若しくは一部の停止を命じ、その業務の変更若しくはその業務の一部の禁止を命じ、その役員の解任を命じ、又は定款その他の規則に定める必要な措置をとることを命ずること。
- when the Financial Instruments Exchange violates laws and regulations, a disposition given by government agencies based on laws and regulations, or the articles of incorporation or any other rules; or, despite the fact that a Member, etc. or an Issuer of Securities listed in a Financial Instruments Exchange has violated laws and regulations, a disposition given by government agencies under laws and regulations, or the Financial Instruments Exchange's articles of incorporation, operational rules, brokerage contract rules or any other rules (hereinafter referred to as 'Laws and Regulations, etc.' in this item), or has committed an act contrary to the fair and equitable principles of transactions specified in the articles of incorporation or any other rules, the Financial Instruments Exchange has failed to exercise its powers vested under this Act, an order given under this Act, or its articles of incorporation or any other rules, or to take any other necessary measures, for having such persons observe the Laws and Regulations, etc. or the fair and equitable principles of transactions: Rescission of the license granted under Article 80(1), issuance of an order of suspension of all or part of its business, specifying a period of suspension not exceeding one year, issuance of an order of change of its business or of prohibition of a part of its business, issuance of an order of dismissal of its Officers, or issuance of an order to take necessary measures specified in the articles of incorporation or any other rules; or
- 銀行、金融商品取引業者(有価証券関連業を営む者に限る。)、信託会社(信託業法第三条又は第五十三条第一項の免許を受けたものに限る。)その他の内閣府令で定める者のうち基準日を内閣総理大臣に届け出た者が保有する議決権で当該議決権に係る株式の発行者である銀行又は銀行持株会社の営業活動を支配することを保有の目的としないもの(議決権保有割合が内閣府令で定める数を超えた場合及び保有の態様その他の事情を勘案して内閣府令で定める場合を除く。以下この条において「特例対象議決権」という。)に係る銀行議決権保有届出書は、第五十二条の二の十一第一項の規定にかかわらず、議決権保有割合が初めて百分の五を超える数となつた基準日における当該議決権の保有状況に関する事項であつて、内閣府令で定めるものを記載したものを、内閣府令で定めるところにより、当該基準日の属する月の翌月十五日までに、内閣総理大臣に提出しなければならない。
- Notwithstanding the provisions of Article 52-2-11, paragraph (1), among Banks, Financial Instruments Specialists (limited to those that engage in Securities Services), trust companies (limited to those that have obtained a license set forth in Article 3 or Article 53, paragraph (1) of the Trust Business Act) and any other persons specified by Cabinet Office Ordinance, where those who have notified the Prime Minister of a Reference Date hold voting rights for a purpose other than to control the business activities of the Bank or Bank Holding Company that has issued the shares related to said voting rights (excluding the case where the Proportion of Voting Rights Held has exceeded the number specified by Cabinet Office Ordinance and any case specified by a Cabinet Office Ordinance by taking into consideration the manner in which they are held and other circumstances; hereinafter referred to as 'Voting Rights Subject to Special Provisions' in this Article), their Written Notices of Voting Rights Held in the Bank shall be submitted to the Prime Minister stating matters that relate to the holding status of those voting rights as of the Reference Date on which the Proportion of Voting Rights Held exceeded five hundredths for the first time and that are specified by Cabinet Office Ordinance, by the 15th day of the month following the month containing said Reference Date, pursuant to the provisions of Cabinet Office Ordinance.
- 内閣総理大臣は、認可協会が法令、法令に基づく行政官庁の処分若しくは当該認可協会の定款その他の規則(以下この条において「法令等」という。)に違反した場合又は協会員、金融商品仲介業者若しくは店頭売買有価証券若しくは取扱有価証券の発行者が法令等に違反し、若しくは定款その他の規則に定める取引の信義則に背反する行為をしたにもかかわらず、これらの者に対し法令等若しくは当該取引の信義則を遵守させるために認可協会がこの法律、この法律に基づく命令若しくは定款その他の規則により認められた権能を行使せずその他必要な措置をすることを怠つた場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、その設立の認可を取り消し、一年以内の期間を定めてその業務の全部若しくは一部の停止を命じ、その業務の方法の変更若しくはその業務の一部の禁止を命じ、その役員の解任を命じ、又は定款その他の規則に定める必要な措置をすることを命ずることができる。
- When an Authorized Association has violated laws and regulations, a disposition given by government agencies based on laws and regulations, or its articles of incorporation or any other rules (hereinafter referred to as the 'Laws and Regulations, etc.' in this Article); or, despite the fact that a Member Firm, a Financial Instruments Intermediary Service Provider, or an issuer of Over-the-Counter Traded Securities or Tradable Securities has violated the Laws and Regulations, etc., or has committed an act contrary to the fair and equitable principles of transactions specified in the articles of incorporation or any other rules, the Authorized Association has failed to exercise its powers vested under this Act, an order given under this Act, or its articles of incorporation or any other rules, or to take any other necessary measures, for having such persons observe the Laws and Regulations, etc. or the fair and equitable principles of transactions, if the Prime Minister finds it necessary and appropriate for the public interest and protection of investors, he/she may rescind the authorization of its establishment, issue an order of suspension of all or part of its business, specifying a period of suspension not exceeding one year, issue an order of change of its business methods or of prohibition of a part of its business, issue an order of dismissal of its Officers, or issue an order to take necessary measures specified in the articles of incorporation or any other rules.
- 株式会社の株式交換又は株式移転の無効の訴えに係る請求を認容する判決が確定した場合において、株式交換又は株式移転をする株式会社(以下この条において「旧完全子会社」という。)の発行済株式の全部を取得する株式会社(以下この条において「旧完全親会社」という。)が当該株式交換又は株式移転に際して当該旧完全親会社の株式(以下この条において「旧完全親会社株式」という。)を交付したときは、当該旧完全親会社は、当該判決の確定時における当該旧完全親会社株式に係る株主に対し、当該株式交換又は株式移転の際に当該旧完全親会社株式の交付を受けた者が有していた旧完全子会社の株式(以下この条において「旧完全子会社株式」という。)を交付しなければならない。この場合において、旧完全親会社が株券発行会社であるときは、当該旧完全親会社は、当該株主に対し、当該旧完全子会社株式を交付するのと引換えに、当該旧完全親会社株式に係る旧株券を返還することを請求することができる。
- In cases where a judgment upholding a claim relating to an action seeking invalidation of a Share Exchange or Share Transfer of a Stock Company has become final and binding, if the Stock Company acquiring all of the Issued Shares (hereinafter referred to as the 'Former Wholly Owning Parent Company' in this Article) of the Stock Company effecting the Share Exchange or Share Transfer (hereinafter referred to as the 'Former Wholly Owned Subsidiary Company' in this Article) has delivered the shares of the Former Wholly Owning Parent Company (hereinafter referred to as the 'Shares of the Former Wholly Owning Parent Company' in this Article) at the time of the Share Exchange or Share Transfer, the Former Wholly Owning Parent Company shall deliver to shareholders pertaining to the Shares of the Former Wholly Owning Parent Company as of the time such judgment became final and conclusive the shares of the Former Wholly Owned Subsidiary Company (hereinafter referred to as the 'Shares of the Former Wholly Owned Subsidiary Company' in this Article) that had been held, at the time of the Share Exchange or Share Transfer, by the persons who received delivery of the Shares of the Former Wholly Owning Parent Company. In such cases, when such Former Wholly Owning Parent Company is a Company Issuing Share Certificates, the Former Wholly Owning Parent Company may request such shareholders to return the old share certificates representing such Shares of the Former Wholly Owning Parent Company in exchange for the delivery of such Shares of the Former Wholly Owned Subsidiary Company.
- 第四条第一項本文若しくは第二項本文の規定の適用を受ける有価証券又は既に開示された有価証券の募集又は売出しについて、重要な事項について虚偽の記載があり、若しくは記載すべき重要な事項若しくは誤解を生じさせないために必要な事実の記載が欠けている第十三条第一項の目論見書又は重要な事項について虚偽の表示若しくは誤解を生ずるような表示があり、若しくは誤解を生じさせないために必要な事実の表示が欠けている資料を使用して有価証券を取得させた者は、記載が虚偽であり、若しくは欠けていること又は表示が虚偽であり、若しくは誤解を生ずるような表示であり、若しくは表示が欠けていることを知らないで当該有価証券を取得した者が受けた損害を賠償する責めに任ずる。ただし、賠償の責めに任ずべき者が、記載が虚偽であり、若しくは欠けていること又は表示が虚偽であり、若しくは誤解を生ずるような表示であることを知らず、かつ、相当な注意を用いたにもかかわらず知ることができなかつたことを証明したときは、この限りでない。
- With regard to a Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4(1) or the main clause of Article 4(2) or Already Disclosed Securities, a person who has another person acquire the Securities using a Prospectus referred to in Article 13(1) that contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, or a material that contains any false indication or misleading indication on important matters or lacks indication on a material fact that is necessary for avoiding misunderstanding, shall be held liable to compensate damage sustained by the other person who acquires the Securities without knowing of the existence of such fake statement, lack of such statement, the existence of such false indication or misleading indication or lack of such indication; provided, however, that this shall not apply to the cases where the person liable for such damage proves that he/she did not know of, and was not able to know of even with reasonable care, the existence of such fake statement, lack of such statement, the existence of such false indication or misleading indication or lack of such indication.
- 投資信託委託会社若しくは投資信託委託会社であつた者、信託会社等、受益権原簿管理人、外国投資信託の受益証券の発行者、投資法人の設立企画人、設立時執行役員、設立時監督役員、執行役員、監督役員、会計監査人若しくはその職務を行うべき社員、清算執行人、清算監督人、清算執行人代理、民事保全法第五十六条に規定する仮処分命令により選任された執行役員、監督役員、清算執行人若しくは清算監督人の職務を代行する者、第二百二十八条第一項第五号に規定する一時役員の職務を行うべき者、同条第二項第三号に規定する一時清算執行人若しくは清算監督人の職務を行うべき者、第二百三十三条第一項第三号に規定する一時会計監査人の職務を行うべき者、検査役、監督委員、調査委員、投資法人債管理者、事務を承継する投資法人債管理者、代表投資法人債権者若しくは決議執行者、一般事務受託者、資産運用会社又は資産保管会社は、次の各号のいずれかに該当する場合には、百万円以下の過料に処する。ただし、その行為について刑を科すべきときは、この限りでない。
- When a Settlor Company of an Investment Trust or a person who was a Settlor Company of an Investment Trust, a Trust Company, etc., an administrator of the registry of beneficial interest holders, an issuer of the Beneficiary Certificates of a Foreign Investment Trust, an Investment Corporation's organizer(s), Corporate Officer(s) at Establishment, Supervisory Officers at Establishment, corporate officer(s), supervisory officers, accounting auditor(s) or a member to perform the duties thereof, executive liquidator(s), liquidation supervisors, Executive Liquidator's Agent, person to perform duties on behalf of a corporate officer(s), supervisory officers, executive liquidator(s) or liquidation supervisors appointed by a provisional disposition order under Article 56 of the Civil Provisional Remedies Act, person to temporarily perform the duties on behalf of an officer as prescribed in Article 228, paragraph (1), item (v), person to temporarily perform the duties on behalf of an executive liquidator or liquidation supervisor prescribed in Article 228, paragraph (2), item (iii), person to temporarily perform the duties of an accounting auditor as prescribed in Article 233, paragraph (1), item (iii), inspector, Supervisor, Investigator, administrator of Investment Corporation Bonds, manager of the Investment Corporation Bonds to succeed to the administration of the Investment Corporation Bonds, Representative Creditor of an Investment Corporation or Resolution Administrator, Administrative Agent, Asset Management Company, or Asset Custody Company falls under any of the following items, such person shall be punished by a non-penal fine of not more than one million yen; provided, however, that this shall not apply when such acts should be made subject to criminal punishment:
- 公開買付者(第二十七条の二十二の二第二項において準用する第二十七条の三第二項に規定する公開買付者をいう。以下この項において同じ。)は、内閣府令で定める場合には、第二十七条の二十二の二第二項又は第三項において準用する第二十七条の三第四項の規定により当該公開買付け(第二十七条の二十二の二第二項において準用する第二十七条の三第一項に規定する公開買付けをいう。以下この項において同じ。)に係る公開買付届出書(第二十七条の二十二の二第二項において準用する第二十七条の三第二項に規定する公開買付届出書をいい、その訂正届出書を含む。)を提出した日において、既に当該公開買付者である会社が発行者である株券等に係る公開買付届出書(第二十七条の三第二項に規定する公開買付届出書をいう。)の提出をしている者がある場合において送付するものとされている書類の写しに代えて、当該公開買付けに係る公開買付届出書(第二十七条の二十二の二第二項において準用する第二十七条の三第二項に規定する公開買付届出書をいい、その訂正届出書を含む。)に記載すべき事項を電子情報処理組織を使用する方法その他の内閣府令で定める方法により提供することができる。この場合において、当該公開買付者は、当該書類の写しを送付したものとみなす。
- A Tender Offeror (meaning the Tender Offeror prescribed in Article 27-3(2) as applied mutatis mutandis pursuant to Article 27-22-2(2); hereinafter the same shall apply in this paragraph) may, in lieu of the copies of the documents to be sent under the provision of Article 27-3(4) as applied mutatis mutandis pursuant to Article 27-22-2(2) or (3) to the person who has already submitted the Tender Offer Notification (meaning the Tender Offer Notification prescribed in Article 27-3(2)) pertaining to the Share Certificates, etc. issued by a company which is the Tender Offeror, as of the date when the Tender Offeror has submitted the Tender Offer Notification (meaning the Tender Offer Notification prescribed in Article 27-3(2) as applied mutatis mutandis pursuant to Article 27-22-2(2), and including Amendments thereof) pertaining to the Tender Offer (meaning the Tender Offer prescribed in Article 27-3(1) as applied mutatis mutandis pursuant to Article 27-22-2(2); hereinafter the same shall apply in this paragraph), provide the information to be contained in the Tender Offer Notification (meaning the Tender Offer Notification prescribed in Article 27-3(2) as applied mutatis mutandis to Article 27-22-2(2), and including the Amendments thereof) pertaining to said Tender Offer by means of the electronic data processing system or by any other method specified by a Cabinet Office Ordinance, in the case specified by a Cabinet Office Ordinance. In this case, said Tender Offeror shall be deemed to have sent the copy of said documents.
- 登記官は、敷地権付き区分建物(区分建物に関する敷地権の登記がある建物をいう。第七十三条第一項及び第三項、第七十四条第二項並びに第七十六条第一項において同じ。)のうち特定登記(所有権等の登記以外の権利に関する登記であって、第七十三条第一項の規定により敷地権についてされた登記としての効力を有するものをいう。以下この条において同じ。)があるものについて、第四十四条第一項第九号の敷地利用権が区分所有者の有する専有部分と分離して処分することができるものとなったことにより敷地権の変更の登記をする場合において、当該変更の登記の申請情報と併せて特定登記に係る権利の登記名義人(当該特定登記が抵当権の登記である場合において、抵当証券が発行されているときは、当該抵当証券の所持人又は裏書人を含む。)が当該変更の登記後の当該建物又は当該敷地権の目的であった土地について当該特定登記に係る権利を消滅させることを承諾したことを証する情報が提供されたとき(当該特定登記に係る権利を目的とする第三者の権利に関する登記がある場合にあっては、当該第三者が承諾したことを証する情報が併せて提供されたときに限る。)は、法務省令で定めるところにより、当該承諾に係る建物又は土地について当該特定登記に係る権利が消滅した旨を登記しなければならない。
- Where a registrar, in relation to a condominium unit with a registered right of site (meaning a condominium unit for which a right of site is registered; the same shall apply in Article 73, paragraph (1) and paragraph (3), Article 74, paragraph (2), and Article 76, paragraph (1)) for which there is a specified registration (meaning a registration of a right other than a registration of ownership, etc., which shall have the effect of a registration made relating to a right of site pursuant to the provision of Article 73, paragraph (1); hereinafter the same shall apply in this Article), makes a registration of change of the registered right of site on the grounds that it has become possible to dispose of the registered right of site set forth in Article 44, paragraph (1), item (ix) separately from the proprietary elements owned by the unit owner, when he/she is provided with, in addition to the application information regarding the registration of change, information certifying that the registered holder of the right pertaining to the specified registration (in cases where the specified registration is a registration of a mortgage and mortgage securities have been issued, including the holder or endorser of the mortgage securities) has consented to cause the right pertaining to the specified registration to be extinguished, after the registration of change is made, for said condominium unit or the land on which the registered right of site existed (in cases where there is a registration concerning a third party's right established over said right pertaining to the specified registration, the information certifying that the third party has given consent must also be provided), he/she shall, as provided for by Ordinance of the Ministry of Justice, make a registration to the effect that said right pertaining to the specified registration has been extinguished in relation to said condominium unit or land for which the consent has been given.
- 「金融指標等先物契約」とは、証券取引法(昭和二十三年法律第二十五号)第二条第二十一項に規定する有価証券指数等先物取引、同条第二十二項に規定する有価証券オプション取引(同項第二号に掲げる取引に係るもののうち、政令で定めるものに限る。以下この号において同じ。)、同条第二十三項に規定する外国市場証券先物取引(同条第二十一項に規定する有価証券指数等先物取引及び同条第二十二項に規定する有価証券オプション取引に類する取引に限る。)、同条第二十五項に規定する有価証券店頭指数等先渡取引、同条第二十六項に規定する有価証券店頭オプション取引(同項第二号に掲げる取引及びこれに類する取引に限る。)及び同条第二十七項に規定する有価証券店頭指数等スワップ取引並びに金融先物取引法(昭和六十三年法律第七十七号)第二条第二項に規定する取引所金融先物取引(同項第二号に掲げる取引又は同項第三号に掲げる取引(同号ロに掲げる取引に係るもののうち、政令で定めるものに限る。)に該当するものに限る。以下この号において同じ。)、同条第四項に規定する店頭金融先物取引(同項第二号に掲げる取引又は同項第三号に掲げる取引(政令で定めるものに限る。)に類する取引に限る。)及び同条第三項に規定する海外金融先物市場において行われる同条第二項に規定する取引所金融先物取引に類する取引その他これらに類する取引として政令で定める取引に係る契約をいう。
- The term 'futures contract on a financial index, etc.' shall mean a contract pertaining to securities index futures trading, etc. prescribed in Article 2, paragraph 21 of the Securities and Exchange Act, securities options trading prescribed in paragraph 22 of the said article (limited to those pertaining to transactions listed in item 2 of the said paragraph, which are specified by Cabinet Order; hereinafter the same shall apply in this item), securities futures trading in the foreign market prescribed in paragraph 23 of the said article (limited to trading similar to securities index futures trading, etc. prescribed in paragraph 21 of the said article and securities options trading prescribed in paragraph 22 of the said article), forward trading in an over-the-counter securities index, etc. prescribed in paragraph 25 of the said article, over-the-counter securities options trading prescribed in paragraph 26 of the said article (limited to transactions listed in item 2 of the said paragraph and transactions similar thereto) and over-the-counter securities index swap trading, etc. prescribed in paragraph 27 of the said article, and exchange financial futures trading prescribed in Article 2, paragraph 2 of the Financial Futures Trading Act (Act No. 77 of 1988) (limited to those falling under transactions listed in item 2 of the said paragraph or transactions listed in item 3 of the said paragraph (limited to those pertaining to transactions listed in (b) of the said item, which are specified by Cabinet Order); hereinafter the same shall apply in this item), over-the-counter financial futures trading prescribed in paragraph 4 of the said article (limited to transactions similar to those listed in item 2 of the said paragraph or those listed in item 3 of the said paragraph (limited to those specified by Cabinet Order)), transactions similar to exchange financial futures trading prescribed in paragraph 2 of the said article, which are conducted in the overseas financial futures market prescribed in paragraph 3 of the said article, or other transactions specified by Cabinet Order as transactions similar thereto.
- その発行の際にその取得勧誘(法第二条第三項に規定する取得勧誘をいい、法第二条の二第二項に規定する組織再編成発行手続を含む。第十三条第二項を除き、以下同じ。)が法第二条第三項第一号に掲げる場合に該当する場合における同号の規定により当該取得勧誘の相手方から除かれる適格機関投資家を相手方として行うもの又は同項第二号イ若しくは法第二条の二第四項第二号イに掲げる場合に該当するものであった有価証券を前項各号に掲げる者が取得し又は買い付けた場合(当該取得又は買付けの際に、当該有価証券に関して法第四条第七項に規定する開示が行われている場合又はその者が前項第一号から第十四号まで若しくは第十六号から第二十六号までに掲げる者で同項ただし書の指定を既に受けていた者であった場合、同項第十五号に掲げる者で同項ただし書の指定を既に解除されていた者であった場合若しくは同項第九号、第十七号、第十九号若しくは第二十一号から第二十六号までに掲げる者について第五項に規定する期間を経過している場合を除く。)には、その者が前項第一号から第十四号まで若しくは第十六号から第二十六号までに掲げる者で同項ただし書の指定を受けた場合、同項第十五号に掲げる者で同項ただし書の指定を解除された場合又は同項第九号、第十七号、第十九号若しくは第二十一号から第二十六号までに掲げる者について第五項に規定する期間を経過した場合においても、当該有価証券の売付けの申込み又はその買付けの申込みの勧誘を行う場合には適格機関投資家に該当する者とみなして法第四条第二項の規定を適用する。
- In cases where a person listed in any of the items of the preceding paragraph has acquired or purchased Securities for which, at the time of the issuance thereof, Solicitation of an Offer to Acquire (meaning the Solicitation of Offers to Acquire as prescribed in Article 2, paragraph (3) of the Act, and including Procedures Related to the Issuance of Securities During a Reorganization as prescribed in Article 2-2, paragraph (2) of the Act; hereinafter the same shall apply except in Article 13, paragraph (2)) was made to any Qualified Institutional Investor that is excluded from being a counterparty to said Solicitation of Offers to Acquire pursuant to the provisions of Article 2, paragraph (3), item (i) of the Act in cases where that item applies, or for which, at the time of the issuance thereof, the Solicitation of an Offer to Acquire fell under the case specified in Article 2, paragraph (3), item (ii), sub-item (a) or Article 2-2, paragraph (4), item (ii), sub-item (a) of the Act (excluding cases where the disclosure prescribed in Article 4, paragraph (7) of the Act has been made with regard to said Securities, cases where the person is a person who falls under any of items (i) to (xiv) inclusive or items (xvi) to (xxvi) inclusive of the preceding paragraph and who has already been designated under the proviso to that paragraph, cases where the person is a person who falls under item (xv) of that paragraph and whose designation under the proviso to that paragraph has already been cancelled, or cases where the person is a person who falls under any of items (ix), (xvii), (xix) or (xxi) to (xxvi) inclusive of that paragraph and for whom the period prescribed in paragraph (5) has elapsed, at the time of said acquisition or purchase), even when the person is a person who falls under any of items (i) to (xiv) inclusive or items (xvi) to (xxvi) inclusive of the preceding paragraph and who has been designated under the proviso to that paragraph, even when the person is a person who falls under item (xv) of that paragraph and whose designation under the proviso to that paragraph has already been canceled, or even when the person is a person who falls under items (ix), (xvii), (xix) or (xxi) to (xxvi) inclusive of that paragraph and for whom the period prescribed in paragraph (5) has elapsed, if offers to sell and the solicitation of offers to buy said Securities are to be made, the person shall be deemed to be a person who falls under the category of a Qualified Institutional Investor, and the provisions of Article 4, paragraph (2) of the Act shall apply thereto.
- 第七条、第九条第一項及び第十条第一項の規定は四半期報告書について、第二十二条の規定は四半期報告書及びその訂正報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について、それぞれ準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「四半期報告書(第二十四条の四の七第一項又は第二項(これらの規定を同条第三項において準用する場合を含む。)の規定による四半期報告書をいう。以下この条、第九条第一項、第十条第一項及び第二十二条において同じ。)」と、「届出者」とあるのは「四半期報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「四半期報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「四半期報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正報告書の提出」と、第二十二条第一項中「有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者」とあるのは「四半期報告書又はその訂正報告書の提出者が発行者である有価証券を取得した者」と、同条第二項中「前項」とあるのは「第二十四条の四の七第四項において準用する前項」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- Articles 7, 9(1) and 10(1) shall apply mutatis mutandis to Quarterly Securities Reports, and Article 22 shall apply mutatis mutandis to cases where a Quarterly Securities Report and amendment report thereof contain fake statements on important matters or lack statements of important matters to be stated or of important matters necessary for avoiding misunderstanding. In this case, the part 'the statement set forth in Article 5(1) or in other documents required under Article 5(6)' in Article 7 shall be deemed to be replaced with 'a Quarterly Securities Report (meaning a Quarterly Securities Report set forth in Article 24-4-7(1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-7(3); hereinafter the same shall apply in this Article, Article 9(1), Article 11(1) and Article 22)'; the part 'during the period on or after the day on which the notification was made under Article 4(1) or (2) but before the day on which the notification is to take effect,' in Article 7 shall be deemed to be deleted; the term 'the person making the notification' in Article 7 shall be deemed to be replaced with 'the person submitting the Quarterly Securities Report'; the term 'the amendment' in Article 7 shall be deemed to be replaced with 'an amendment report'; the terms 'the person submitting them' and 'the amendment ' in Article 9(1) shall be deemed to be replaced with 'the person submitting the Quarterly Securities Report' and 'an amendment report,' respectively; the term 'the person submitting the Securities Registration Statement' in Article 10(1) shall be deemed to be replaced with 'the person submitting the Quarterly Securities Report'; the part 'submit the amendment and may, when it is found necessary, order the suspension of the effect of the notification made under Article 4(1) or (2)' in Article 10(1) shall be deemed to be replaced with 'to submit an amendment report'; the part 'persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution' in Article 22(1) shall be deemed to be replaced with 'persons who have acquired the Securities issued by the person submitting the Quarterly Securities Report and amendment reports'; the term 'the preceding paragraph' in Article 22(2) shall be deemed to be replaced with 'the preceding paragraph as applied mutatis mutandis pursuant to Article 24-4-7(4)'; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第一項から前項までの規定は、当該有価証券が特定有価証券である場合について準用する。この場合において、第一項中「有価証券の募集及び売出しを除く」とあるのは「有価証券の募集又は売出しに限る」と、「当該有価証券(特定有価証券を除く。以下この項から第四項までにおいて同じ。)」とあるのは「当該特定有価証券」と、同項第二号中「当該会社の商号、当該会社の属する企業集団(当該会社及び当該会社が他の会社の議決権の過半数を所有していることその他の当該会社と密接な関係を有する者として内閣府令で定める要件に該当する者(内閣府令で定める会社その他の団体に限る。)の集団をいう。以下同じ。)及び当該会社の経理の状況その他事業」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産の経理の状況その他資産」と、第二項中「有価証券の募集又は売出しのうち」とあるのは「特定有価証券に係る有価証券の募集又は売出しのうち」と、同項第一号中「有価証券の」とあるのは「特定有価証券の」と、同項第二号中「有価証券の募集又は売出し」とあるのは「特定有価証券に係る有価証券の募集又は売出し」と、同項第三号中「同項本文」とあるのは「第二十四条第五項において準用する同条第一項本文」と、「第二十四条の四の七第一項若しくは第二項」とあるのは「第二十四条の四の七第三項において準用する同条第一項若しくは第二項」と、「第二十四条の四の七第一項に規定する事項」とあるのは「第二十四条の四の七第三項において準用する同条第一項に規定する事項」と、「第二十四条の五第一項に規定する事項」とあるのは「第二十四条の五第三項において準用する同条第一項に規定する事項」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- The provisions of paragraph (1) to the preceding paragraph shall apply mutatis mutandis to cases where the Securities for which the notification set forth in paragraph (1) is made are Regulated Securities. In this case, the terms 'excluding a Public Offering or Secondary Distribution of Securities' and 'said Securities (excluding Regulated Securities; hereinafter the same shall apply in this paragraph to paragraph (iv))' in paragraph (1) shall be deemed to be replaced with 'limited to a Public Offering or Secondary Distribution of Securities' and 'said Securities,' respectively; the terms 'Trade name of the company, financial conditions of the Corporate Group (meaning the group consisting of the company and other persons (limited to companies or other organizations specified by a Cabinet Office Ordinance) who satisfies the requirements specified by a Cabinet Office Ordinance as those for being regarded as having a close relationship with the company, including the requirement that the company holds the majority of voting rights of the person who is a company; the same shall apply hereinafter) to which the company belongs and of the company, other important matters concerning the company's business' in item (ii) of said paragraph shall be deemed to be replaced with 'Financial conditions of asset investment or other similar businesses conducted by the company, other important matters concerning the company's assets'; the term 'a Public Offering or Secondary Distribution of Securities' in paragraph (2) shall be deemed to be replaced with 'a Public Offering or Secondary Distribution of Regulated Securities'; the term 'Securities falling under any of the categories' in item (i) of said paragraph shall be deemed to be replaced with 'Regulated Securities falling under any of the categories of Securities'; the term 'Public Offering or Secondary Distribution of Securities' in item (ii) of said paragraph shall be deemed to be replaced with 'Public Offering or Secondary Distribution of Regulated Securities'; the term 'the main clause of Article 24(1),' 'Article 24-4-7(1) or (2),' 'the matters set forth in Article 24-4-7(1)' and 'the matters set forth in Article 24-5(1)' in item (iii) of said paragraph shall be deemed to be replaced with 'the main clause of Article 24(1) as applied mutatis mutandis pursuant to Article 24(5),' 'Article 24-4-7(1) or (2) as applied mutatis mutandis pursuant to Article 24-4-7(3),' 'the matters set forth in Article 24-4-7(1) as applied mutatis mutandis pursuant to Article 24-4-7(3)' and 'the matters set forth in Article 24-5(1) as applied mutatis mutandis pursuant to Article 24-5(3) '; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
- 第七条、第九条第一項及び第十条第一項の規定は半期報告書及び臨時報告書について、第二十二条の規定は半期報告書及び臨時報告書並びにこれらの訂正報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について、それぞれ準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「半期報告書(第二十四条の五第一項(同条第三項において準用する場合を含む。)に規定する半期報告書をいう。以下この条、第九条第一項、第十条第一項及び第二十二条において同じ。)又は臨時報告書(第二十四条の五第四項に規定する臨時報告書をいう。以下この条、第九条第一項、第十条第一項及び第二十二条において同じ。)」と、「届出者」とあるのは「半期報告書又は臨時報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「半期報告書又は臨時報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「半期報告書又は臨時報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正報告書の提出」と、第二十二条第一項中「有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者」とあるのは「半期報告書又は臨時報告書若しくはこれらの訂正報告書の提出者が発行者である有価証券を取得した者」と、同条第二項中「前項」とあるのは「第二十四条の五第五項において準用する前項」と読み替えるものとする。
- Articles 7, 9(1) and 10(1) shall apply mutatis mutandis to Semiannual Securities Reports and Extraordinary Reports, and Article 22 shall apply mutatis mutandis to cases where a Semiannual Securities Report and Extraordinary Report thereof contain fake statements on important matters or lack statements of important matters or of important matters necessary for avoiding misunderstanding. In this case, the part 'the statement set forth in Article 5(1) or in other documents required under Article 5(6)' in Article 7 shall be deemed to be replaced with 'a Semiannual Securities Report (meaning a Semiannual Securities Report set forth in Article 24-5(1) (including the cases where it is applied mutatis mutandis pursuant to Article 24-5(3)); hereinafter the same shall apply in this Article, Article 9(1), Article 10(1) and Article 22) or an Extraordinary Report (meaning an Extraordinary Report set forth in Article 24-5(4); hereinafter the same shall apply in this Article, Article 9(1), Article 10(1) and Article 22)'; the part 'during the period on or after the day on which the notification was made under Article 4(1) or (2) but before the day on which the notification is to take effect,' in Article 7 shall be deemed to be deleted; the term 'the person making the notification' in Article 7 shall be deemed to be replaced with 'the person submitting the Semiannual Securities Report or Extraordinary Report'; the term 'the amendment' in Article 7 shall be deemed to be replaced with 'an amendment report'; the terms 'the person submitting them' and 'the amendment' in Article 9(1) shall be deemed to be replaced with 'the person submitting the Semiannual Securities Report or Extraordinary Report' and 'an amendment report,' respectively; the term 'the person submitting the Securities Registration Statement' in Article 10(1) shall be deemed to be replaced with 'the person submitting the Semiannual Securities Report or Extraordinary Report'; the part 'submit the amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4(1) or (2)' in Article 10(1) shall be deemed to be replaced with 'to submit an amendment report'; the part 'persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution' in Article 22(1) shall be deemed to be replaced with 'persons who have acquired the Securities issued by the person submitting the Semiannual Securities Report or Extraordinary Report, or amendment reports therefor'; and the term 'the preceding paragraph' in Article 22(2) shall be deemed to be replaced with 'the preceding paragraph as applied mutatis mutandis pursuant to Article 24-5(5)'.
- この法律は、公布の日から起算して六月を超えない範囲内において政令で定める日から施行する。ただし、第一条中商法第二百八十五条ノ四、第二百八十五条ノ五第二項、第二百八十五条ノ六第二項及び第三項、第二百九十条第一項並びに第二百九十三条ノ五第三項の改正規定並びに附則第六条中農林中央金庫法(大正十二年法律第四十二号)第二十三条第三項及び第二十四条第一項の改正規定、附則第七条中商工組合中央金庫法(昭和十一年法律第十四号)第三十九条ノ三第三項及び第四十条ノ二第一項の改正規定、附則第九条中農業協同組合法(昭和二十二年法律第百三十二号)第五十二条第一項の改正規定、附則第十条中証券取引法(昭和二十三年法律第二十五号)第五十三条第三項の改正規定及び同条第四項を削る改正規定、附則第十一条中水産業協同組合法(昭和二十三年法律第二百四十二号)第五十六条第一項の改正規定、附則第十二条中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)第五条の五の次に一条を加える改正規定及び同法第十二条第一項の改正規定、附則第十三条中船主相互保険組合法(昭和二十五年法律第百七十七号)第四十二条第一項の改正規定、附則第十六条中信用金庫法(昭和二十六年法律第二百三十八号)第五十五条の三第三項及び第五十七条第一項の改正規定、附則第十八条中労働金庫法(昭和二十八年法律第二百二十七号)第六十一条第一項の改正規定、附則第二十三条中銀行法(昭和五十六年法律第五十九号)第十七条の二第三項の改正規定及び同条第四項を削る改正規定、附則第二十六条の規定、附則第二十七条中保険業法(平成七年法律第百五号)第十五条に一項を加える改正規定、同法第五十五条第一項及び第二項、第百十二条第一項並びに第百十二条の二第三項の改正規定、同条第四項を削る改正規定、同法第百十五条第二項、第百十八条第一項、第百十九条及び第百九十九条の改正規定並びに同法附則第五十九条第二項及び附則第九十条第二項を削る改正規定、附則第二十九条中株式の消却の手続に関する商法の特例に関する法律(平成九年法律第五十五号)第七条第二項の改正規定並びに附則第三十一条中特定目的会社による特定資産の流動化に関する法律(平成十年法律第百五号)第百一条第一項及び第百二条第三項の改正規定は、平成十二年四月一日から施行する。
- This Act shall come into effect as of the date specified by Cabinet Order within a period not exceeding six months from the day of promulgation; provided, however, that the provisions in Article 1 which are to revise Articles 285-4, Article 285-5, paragraph (2), Article 285-6, paragraphs (2) and (3), Article 290, paragraph (1) and Article 293-5, paragraph (3) of the Commercial Code, and the provisions in Article 6 of these Supplementary Provisions which are to revise Articles 23, paragraph (3) and Article 24, paragraph (1) of the Norinchukin Bank Act (Act No. 42 of 1923), the provisions in Article 7 of these Supplementary Provisions which are to revise Articles 39-3, paragraph (3) and Article 40-2, paragraph (1) of the Shoko Chukin Bank Act (Act No. 14 of 1936), the provisions in Article 9 of these Supplementary Provisions which is to revise Article 52, paragraph (1) of the Agricultural Cooperatives Act (Act No. 132 of 1947), the provisions in Article 10 of these Supplementary Provisions which are to revise Article 53, paragraph (3) of the Securities and Exchange Act (Act No. 25 of 1948) and to delete Article 53, paragraph (4) of that Act, the provisions in Article 11 of these Supplementary Provisions which is to revise Article 56, paragraph (1) of the Fisheries Cooperatives Act (Act No. 242 of 1948), the provisions in Article 12 of these Supplementary Provisions which are to add a new Article after Article 5-5 of the Act on Financial Services by Cooperatives (Act No. 183 of 1949) and to revise Article 12, paragraph (1) of that Act, the provisions in Article 13 of these Supplementary Provisions which is to revise Article 42, paragraph (1) of the Ship Owner's Mutual Insurance Union Act (Act No. 177 of 1950), the provisions in Article 16 of these Supplementary Provisions which are to revise Articles 55-3, paragraph (3) and Article 57, paragraph (1) of the Shinkin Bank Act (Act No. 238 of 1951), the provisions in Article 18 of these Supplementary Provisions which is to revise Article 61, paragraph (1) of the Labor Bank Act (Act No. 227 of 1953), the provisions in Article 23 of these Supplementary Provisions which are to revise Article 17-2, paragraph (3) of the Banking Act (Act No. 59 of 1981) and to delete Article 17-2, paragraph (4) of that Act, the provisions of Article 26 of these Supplementary Provisions, the provisions in Article 27 of these Supplementary Provisions which are to add a new paragraph to Article 15 of the Insurance Services Act (Act No. 105 of 1995), to revise Articles 55, paragraphs (1) and (2), Article 112, paragraph (1) and Article 112-2, paragraph (3) of that Act, to delete Article 112-2, paragraph (4) of that Act, to revise Articles 115, paragraph (2), Article 118, paragraph (1), Article 119 and Article 199 of that Act, and to delete Article 59, paragraph (2) and Article 90, paragraph (2) of the Supplementary Provisions to that Act, the provisions in Article 29 of these Supplementary Provisions which is to revise Article 7, paragraph (2) of the Act on Special Measures under the Commercial Code Concerning Procedures for Canceling Shares (Act No. 55 of 1997) and the provisions in Article 31 of these Supplementary Provisions which are to revise Article 101, paragraph (1) and Article 102, paragraph (3) of the Act on Securitization of Specified Assets by Special Purpose Companies (Act No. 105 of 1998), shall come into effect as of April 1, 2000.
- この節の規定若しくは農業協同組合法(昭和二十二年法律第百三十二号)第九十二条第五項、公認会計士法第三十四条の二十第六項、水産業協同組合法(昭和二十三年法律第二百四十二号)第百二十一条第五項、中小企業等協同組合法(昭和二十四年法律第百八十一号)第三十三条第七項(輸出水産業の振興に関する法律(昭和二十九年法律第百五十四号)第二十条並びに中小企業団体の組織に関する法律(昭和三十二年法律第百八十五号)第五条の二十三第三項及び第四十七条第二項において準用する場合を含む。)、弁護士法(昭和二十四年法律第二百五号)第三十条の二十八第六項(同法第四十三条第三項において準用する場合を含む。)、船主相互保険組合法(昭和二十五年法律第百七十七号)第五十五条第三項、司法書士法(昭和二十五年法律第百九十七号)第四十五条の二第六項、土地家屋調査士法(昭和二十五年法律第二百二十八号)第四十条の二第六項、商品取引所法(昭和二十五年法律第二百三十九号)第十一条第九項、行政書士法(昭和二十六年法律第四号)第十三条の二十の二第六項、投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)第四十八条の二第三項(同法第四十九条の十三第二項及び第三項並びに第五十九条において準用する場合を含む。)及び第百八十六条の二第四項、税理士法第四十八条の十九の二第六項(同法第四十九条の十二第三項において準用する場合を含む。)、信用金庫法(昭和二十六年法律第二百三十八号)第八十七条の四第四項、輸出入取引法(昭和二十七年法律第二百九十九号)第十五条第六項(同法第十九条の六において準用する場合を含む。)、中小漁業融資保証法(昭和二十七年法律第三百四十六号)第五十五条第五項、労働金庫法(昭和二十八年法律第二百二十七号)第九十一条の四第四項、鉱工業技術研究組合法(昭和三十六年法律第八十一号)第九条第七項、農業信用保証保険法(昭和三十六年法律第二百四号)第四十八条の三第五項(同法第四十八条の九第七項において準用する場合を含む。)、社会保険労務士法(昭和四十三年法律第八十九号)第二十五条の二十三の二第六項、外国証券業者に関する法律(昭和四十六年法律第五号)第二十三条第六項、森林組合法(昭和五十三年法律第三十六号)第八条の二第五項、銀行法第四十九条の二第二項、金融先物取引法(昭和六十三年法律第七十七号)第八十四条第七項、保険業法(平成七年法律第百五号)第六十七条の二及び第二百十七条第三項、資産の流動化に関する法律(平成十年法律第百五号)第百九十四条第四項及び第二百八十八条第三項、弁理士法(平成十二年法律第四十九号)第五十三条の二第六項、農林中央金庫法(平成十三年法律第九十三号)第九十六条の二第四項並びに信託業法第五十七条第六項(以下この節において「電子公告関係規定」と総称する。)において準用する第九百五十五条第一項の規定又はこの節の規定に基づく命令に違反し、罰金以上の刑に処せられ、その執行を終わり、又は執行を受けることがなくなった日から二年を経過しない者
- a person who has been sentenced to a fine or a severer punishment for the violation of the provisions of this Section or the provisions of Article 955(1) as applied mutatis mutandis pursuant to Article 92(5) of the Agricultural Cooperatives Act (Act No. 132 of 1947), Article 34-20(6) of the Certified Public Accountants Act, Article 121(5) of the Fisheries Cooperatives Act (Act No. 242 of 1948), Article 33(7) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) (including the cases where it is applied mutatis mutandis pursuant to Article 20 of the Export Fisheries Promotion Act (Act No. 154 of 1954) and Article 5-23(3) and Article 47(2) of the Act on Organizations of Small and Medium Sized Enterprises (Act No. 185 of 1957)), Article30-28(6) of the Attorneys Act (Act No. 205 of 1949) (including the cases where it is applied mutatis mutandis pursuant to Article 43(3) of that Act), Article 55(3) of the Ship Owners' Mutual Insurance Union Act (Act No. 177 of 1950), Article 45-2(6) of the Judicial Scrivener Act (Act No. 197 of 1950), Article 40-2(6) of the Land and House Investigator Act (Act No. 228 of 1950), Article 11(9) of the Commodity Exchange Act (Act No. 239 of 1950), Article 13-20-2(6) of the Administrative Scrivener Act (Act No. 4 of 1951), Article 48-2(3) of the Act on Securities Investment Trust and Securities Investment Corporations (Act No. 198 of 1951) (including the cases where it is applied mutatis mutandis pursuant to Article 49-13(2) and (3) and Article 59 of that Act) and Article 186-2(4) of that Act, Article 48-19-2(6) of the Certified Public Tax Accountant Act (including the cases where it is applied mutatis mutandis pursuant to Article 49-12(3) of that Act), Article 87-4(4) of the Shinkin Bank Act (Act No. 238 of 1951), Article 15(6) of the Export and Import Transaction Act (Act No. 299 of 1952) (including the cases where it is applied mutatis mutandis pursuant to Article 19-6 of that Act), Article 55(5) of the Loan Security Act for Small and Medium Sized Fishery Industry (Act No. 346 of 1952), Article 91-4(4) of the Labor Bank Act (Act No. 227 of 1953), Article 9(7) of the Act on Research and Development Partnership concerning Mining and Manufacturing Technology (Act No. 81 of 1961), Article 48-3(5) of the Agricultural Credit Guarantee Insurance Act (Act No. 204 of 1961) (including the cases where it is applied mutatis mutandis pursuant to Article 48-9(7) of that Act), Article 25-23-2(6) of the Act on Public Consultants on Social and Labor Insurance (Act No. 89 of 1968), Article 23(6) of the Act on Foreign Securities Brokers (Act No. 5 of 1971), Article 8-2(5) of the Forestry Partnership Act (Act No. 36 of 1978), Article 49-2(2) of the Banking Act, Article 84(7) of the Financial Instruments and Exchange Act (Act No. 77 of 1988), Article 67-2 and Article 217(3) of the Insurance Business Act (Act No. 105 of 1995), Article 194(4) and Article 288(3) of the Act on Securitization of Assets (Act No. 105 of 1998), Article 53-2(6) of the Patent Attorney Act (Act No. 49 of 2000), Article 96-2(4) of the Norinchukin Bank Act (Act No. 93 of 2001) and Article 57(6) of the Trust Business Act (hereinafter collectively referred to as the 'Electronic Public Notice Related Provisions' in this Section) or the violation of an order based on the provisions this Section and where two years have yet to elapse from the day on which the execution of the sentence has been completed or the sentence has become no longer applicable;
- 金融商品取引法第三章第一節第五款(第三十四条の二第六項から第八項まで(特定投資家が特定投資家以外の顧客とみなされる場合)並びに第三十四条の三第五項及び第六項(特定投資家以外の顧客である法人が特定投資家とみなされる場合)を除く。)(特定投資家)、同章第二節第一款(第三十五条から第三十六条の四まで(第一種金融商品取引業又は投資運用業を行う者の業務の範囲、第二種金融商品取引業又は投資助言・代理業のみを行う者の兼業の範囲、顧客に対する誠実義務、標識の掲示、名義貸しの禁止、社債の管理の禁止等)、第三十七条第一項第二号(広告等の規制)、第三十七条の二(取引態様の事前明示義務)、第三十七条の三第一項第二号から第四号まで及び第六号並びに第三項(契約締結前の書面の交付)、第三十七条の四(契約締結時等の書面の交付)、第三十七条の五(保証金の受領に係る書面の交付)、第三十八条第一号及び第二号並びに第三十八条の二(禁止行為)、第三十九条第一項、第二項第二号、第三項及び第五項(損失補てん等の禁止)、第四十条第一号(適合性の原則等)並びに第四十条の二から第四十条の五まで(最良執行方針等、分別管理が確保されていない場合の売買等の禁止、特定投資家向け有価証券の売買等の制限、特定投資家向け有価証券に関する告知義務)を除く。)(通則)及び第四十五条(第三号及び第四号を除く。)(雑則)の規定は、信託会社が行う信託契約(金利、通貨の価格、金融商品市場(同法第二条第十四項に規定する金融商品市場をいう。)における相場その他の指標に係る変動により信託の元本について損失が生ずるおそれがある信託契約として内閣府令で定めるものをいう。以下「特定信託契約」という。)による信託の引受けについて準用する。この場合において、これらの規定中「金融商品取引契約」とあるのは「特定信託契約」と、「金融商品取引業」とあるのは「特定信託契約の締結の業務」と、これらの規定(同法第三十四条の規定を除く。)中「金融商品取引行為」とあるのは「特定信託契約の締結」と、同法第三十四条中「顧客を相手方とし、又は顧客のために金融商品取引行為(第二条第八項各号に掲げる行為をいう。以下同じ。)を行うことを内容とする契約」とあるのは「信託業法第二十四条の二に規定する特定信託契約」と、同法第三十七条の三第一項第一号中「商号、名称又は氏名及び住所」とあるのは「住所」と、同法第三十七条の六第一項中「第三十七条の四第一項」とあるのは「信託業法第二十六条第一項」と、同法第三十九条第二項第一号中「有価証券売買取引等」とあるのは「特定信託契約の締結」と、「前項第一号」とあるのは「損失補てん等(信託業法第二十四条第一項第四号の損失の補てん又は利益の補足をいう。第三号において同じ。)」と、同項第三号中「有価証券売買取引等」とあるのは「特定信託契約の締結」と、「前項第三号の提供」とあるのは「損失補てん等」と、同条第四項中「事故」とあるのは「信託会社の責めに帰すべき事故」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
- The provisions of Chapter III, Section 1, Subsection 5 of the Financial Instruments and Exchange Act (Professional Investors) (excluding Article 34-2(6) to (8) inclusive (Cases Where Professional Investors Are Deemed to Be Customers Other Than Professional Investors) and Article 34-3(5) and (6) (Cases Where Juridical Persons Who Are Customers Other than Professional Investors Are Deemed to Be Professional Investors)), the provisions of Chapter III, Section 2, Subsection 1 of that Act (General Rules) (excluding Article 35 to Article 36-4 inclusive (Scope of Business of Persons Who Engage in Type I Financial Instruments Business or Investment Management Business; Scope of Additional Business of Persons Who Only Engage in Type II Financial Instruments Business or Investment Advisory and Agency Business; Duty of Good Faith to Customers; Posting of Signs; Prohibition on Name Lending; Prohibition on Administration of Bonds, etc.), Article 37(1)(ii) (Regulations on Advertising, etc.), Article 37-2 (Obligation to Clarify in Advance), Article 37-3(1)(ii) to (iv) inclusive and (vi) and 37-3(3) (Delivery of Documents Prior to the Conclusion of a Contract), Article 37-4 (Delivery of Documents upon Conclusion of a Contract, etc.), Article 37-5 (Delivery of Documents Pertaining to Receipt of Security Deposits), Article 38(i) and (ii) and Article 38-2 (Prohibited Acts), Article 39(1), Article 39(2)(ii), Article 39(3) and (5) (Prohibition of Compensation of Loss, etc.), Article 40(i) (Rule of Suitability), and Article 40-2 to Article 40-5 inclusive (Best Execution Policy; Prohibition of Sales and Purchases, etc. where Separate Management Is Not Maintained; Restriction on Sales, etc. of Securities to Professional Investors; Obligation to Provide Professional Investors with Information Regarding Securities)), and the provisions of Article 45 (Miscellaneous Provisions) of that Act (excluding items (iii) and (iv)) shall apply mutatis mutandis to acceptance by a Trust Company of a trust under a trust agreement (meaning those that are specified by a Cabinet Office Ordinance as trust agreements with the risk of a trust principal loss caused by fluctuation in the interest rate, currency value, quotations on a Financial Instruments Market (meaning a Financial Instruments Market as prescribed in Article 2(14) of that Act), or any other index; hereinafter referred to as a 'Specific Trust Agreement'). In this case, the term 'Contract for a Financial Instruments Transaction' and 'Financial Instruments Business' in these provisions shall respectively be deemed to be replaced with 'Specific Trust Agreement' and 'business for the conclusion of Specific Trust Agreements'; the term 'Financial Instruments Transaction' in these provisions (excluding Article 34 of that Act) shall be deemed to be replaced with 'conclusion of Specific Trust Agreements'; the term 'contract to carry out Acts for a Financial Instruments Transaction (meaning acts listed in the items of Article 2(8); the same shall apply hereinafter) with a customer as the other party or on behalf of a customer' in Article 34 of that Act shall be deemed to be replaced with 'Specific Trust Agreements prescribed in Article 24-2 of the Trust Business Act'; the term 'the trade name or name and address' in Article 37-3(1)(i) of the Financial Instruments and Exchange Act shall be deemed to be replaced with 'the address'; the term 'Article 37-4(1)' in Article 37-6(1) of that Act shall be deemed to be replaced with 'Article 26(1) of the Trust Business Act'; the terms 'Sales and Purchases or Other Transactions of Securities, etc.' and 'item (i) of the preceding paragraph' in Article 39(2)(i) of the Financial Instruments and Exchange Act shall respectively be deemed to be replaced with 'conclusion of Specific Trust Agreements' and 'Compensation of Losses, etc. (meaning compensation for losses or supplementation of profit as prescribed in Article 24(1)(iv) of the Trust Business Act; the same shall apply in item (iii))'; the term 'Sales and Purchases or Other Transactions of Securities, etc.' and 'provided under item (iii) of the preceding paragraph' in Article 39(2)(iii) of the Financial Instruments and Exchange Act shall respectively be deemed to be replaced with 'conclusion of Specific Trust Agreements' and 'pertaining to compensation of losses, etc.'; and the term 'Problematic Conduct' in Article 39(4) of that Act shall be deemed to be replaced with 'an accident imputable to a Trust Company.' In addition, the necessary technical replacement of terms shall be specified by a Cabinet Order.