目次
履歴
目次
Table of Contents
第一章 納付命令
Chapter I Payment Order
第一条
(監査報酬額)
Article 1
(Audit Certification Fee)
第一条の二
(監査証明を受けるべき直前事業年度がない場合に準ずる場合)
Article 1-2
(In Cases Equivalent to Cases Where There Is No Immediately Preceding Business Year for which Audit Certification is Required)
2
(2)
第一条の三
(有価証券報告書等の虚偽記載等に係る課徴金の計算における市場価額の総額)
Article 1-3
(Total Amount of Market Value in Calculation of Administrative Monetary Penalty for False Statement, etc. in Annual Securities Report, etc.)
第一条の四
(貸借対照表)
Article 1-4
(Balance Sheet)
第一条の五
(投資者の投資判断に重要な影響を及ぼす事項)
Article 1-5
(Matters That May Have Material Influence on Investors' Investment Decisions)
第一条の六
(最終の価格がない場合にこれに相当するもの)
Article 1-6
(Price Equivalent to Closing Price When Closing Price Does Not Exist)
第一条の七
(株券に準ずる有価証券等)
Article 1-7
(Securities, etc. Equivalent to Share Certificates)
2
(2)
3
(3)
4
(4)
第一条の八
(発行者等情報の虚偽等に係る課徴金の計算における市場価額の総額)
Article 1-8
(Total Amount of Market Value in Calculation of Administrative Monetary Penalty for Fake Information, etc. Contained in Issuer's Information, etc.)
第一条の九
(風説の流布又は偽計に係る課徴金の計算における最低の価格がない場合にこれに相当するもの等)
Article 1-9
(Price Equivalent to the Lowest Price in Calculation of Administrative Monetary Penalty for Dissemination of Unfounded Rumors or Trading by Fraudulent Means When the Lowest Price Does Not Exist)
2
(2)
3
(3)
4
(4)
5
(5)
第一条の十
(風説の流布又は偽計に係る課徴金の計算における手数料等の額)
Article 1-10
(Amount of Fees, etc. in Calculation of Administrative Monetary Penalty for Dissemination of Unfounded Rumors or Trading by Fraudulent Means)
2
(2)
第一条の十一
(風説の流布又は偽計に係る課徴金の計算における違反者と密接な関係を有する者等)
Article 1-11
(Persons, etc. Closely Related to Violator in Calculation of Administrative Monetary Penalty for Dissemination of Unfounded Rumors or Trading by Fraudulent Means)
2
(2)
第一条の十二
(仮装売買等による相場操縦行為に係る課徴金の計算における最低の価格がない場合にこれに相当するもの等)
Article 1-12
(Price, etc. Equivalent to the Lowest Price in Calculation of Administrative Monetary Penalty for Market Manipulation through a Fake Purchase and Sale, etc. When the Lowest Price Does Not Exist)
2
(2)
3
(3)
4
(4)
5
(5)
第一条の十三
(仮装売買等による相場操縦行為に係る課徴金の計算における手数料等の額)
Article 1-13
(Amount of Fees, etc. in Calculation of Administrative Monetary Penalty for Market Manipulation through Fake Purchase and Sale, etc.)
2
(2)
第一条の十四
(仮装売買等による相場操縦行為に係る課徴金の計算における違反者と密接な関係を有する者等)
Article 1-14
(Persons, etc. Closely Related to Violator in Calculation of Administrative Monetary Penalty for Market Manipulation through Fake Purchase and Sale, etc.)
2
(2)
第一条の十五
(現実売買等による相場操縦行為に係る課徴金の計算における最低の価格がない場合にこれに相当するもの等)
Article 1-15
(Price, etc. Equivalent to the Lowest Price in Calculation of Administrative Monetary Penalty for Market Manipulation through Actual Purchase and Sale, etc. When the Lowest Price Does Not Exist)
2
(2)
3
(3)
4
(4)
5
(5)
第一条の十六
(現実売買等による相場操縦行為に係る課徴金の計算における手数料等の額)
Article 1-16
(Amount of Fees, etc. in Calculation of Administrative Monetary Penalty for Market Manipulation through Actual Purchase and Sale, etc.)
2
(2)
第一条の十七
(現実売買等による相場操縦行為に係る課徴金の計算における違反者と密接な関係を有する者等)
Article 1-17
(Persons, etc. Closely Related to Violator in Calculation of Administrative Monetary Penalty for Market Manipulation through Actual Purchase and Sale, etc.)
2
(2)
第一条の十八
(違反行為後の価格等)
Article 1-18
(Price after Act of Violation, etc.)
2
(2)
第一条の十九
(安定操作取引等に係る課徴金の計算における手数料等の額)
Article 1-19
(Amount of Fees, etc. in Calculation of Administrative Monetary Penalty for Stabilizing Transactions, etc.)
2
(2)
第一条の二十
(安定操作取引等に係る課徴金の計算における違反者と密接な関係を有する者等)
Article 1-20
(Persons, etc. Closely Related to Violator in Calculation of Administrative Monetary Penalty for Stabilizing Transactions, etc.)
2
(2)
第一条の二十一
(重要事実を知った会社関係者の取引等に係る課徴金の計算における手数料等の額)
Article 1-21
(Amount of Fees, etc. in Calculation of Administrative Monetary Penalty for Transactions, etc. with Company Insiders Who Have Come to Know Material Facts)
2
(2)
3
(3)
第一条の二十二
(重要事実を知った会社関係者の取引等に係る課徴金の計算における最低の価格がない場合にこれに相当するもの等)
Article 1-22
(Price, etc. Equivalent to the Lowest Price in Calculation of Administrative Monetary Penalty for Transactions, etc. with Company Insiders Who Have Come to Know Material Facts When the Lowest Price Does Not Exist)
2
(2)
3
(3)
4
(4)
第一条の二十三
(重要事実を知った会社関係者の取引等に係る課徴金の計算における売買等をした者と密接な関係を有する者等)
Article 1-23
(Persons, etc. Closely Related to Persons Who Conducted the Purchase and Sale, etc. in Calculation of Administrative Monetary Penalty for Transactions, etc. with Company Insiders Who Have Come to Know Material Facts)
2
(2)
3
(3)
4
(4)
第二章 審判手続
Chapter II Trial Procedures
第一節 総則
Section 1 General Provisions
第一条の二十四
(趣旨)
Article 1-24
(Purpose)
第二条
(審判手続において提出する書面の記載事項)
Article 2
(Matters to Be Stated in Documents Submitted in Trial Procedures)
2
(2)
3
(3)
第三条
(書面のファクシミリによる提出)
Article 3
(Submission of Documents by Facsimile)
2
(2)
3
(3)
第四条
(通知)
Article 4
(Notice)
2
(2)
第五条
(審判官の合議)
Article 5
(Decision Making by a Panel of Trial Examiners)
第六条
(職務の執行)
Article 6
(Execution of Duties)
2
(2)
第七条
(審判手続の事務を行う職員)
Article 7
(Official Carrying out Clerical Work Relating to Trial Procedures)
2
(2)
第八条
(未成年者及び成年被後見人の審判手続上の行為をする能力等)
Article 8
(Capacity, etc. of Minors and Adult Wards to Conduct Acts in Trial Procedures)
2
(2)
第九条
(代理人)
Article 9
(Counsel)
2
(2)
3
(3)
4
(4)
5
(5)
第十条
(事件記録の謄本の様式)
Article 10
(Form of Transcripts of Case Records)
第十一条
(期間の計算)
Article 11
(Computation of Period of Time)
2
(2)
第十一条の二
(送達場所等の届出)
Article 11-2
(Notification of Place of Service, etc.)
2
(2)
3
(3)
4
(4)
5
(5)
第十二条
(送達)
Article 12
(Service)
2
(2)
3
(3)
第十三条
(用語)
Article 13
(Terminology)
2
(2)
第二節 審判手続の開始
Section 2 Commencement of Trial Procedures
第十四条
(審判手続開始の決定)
Article 14
(Decision on Commencement of Trial Procedures)
2
(2)
第十五条
(第一回の審判の期日の変更等)
Article 15
(Change, etc. in Date of First Session of Trial)
第十六条
(答弁書の記載事項)
Article 16
(Matters to Be Stated in Written Answer)
2
(2)
第十七条
(審判官の指定)
Article 17
(Designation of Trial Examiner)
2
(2)
第三節 審判における主張等及びその準備
Section 3 Allegations, etc. in and Preparations for Trials
第十八条
(審判廷)
Article 18
(Tribunal)
第十九条
(非公開の申出)
Article 19
(Request for Closed Trial)
2
(2)
第二十条
(審判の期日の指定及び変更並びに期日の呼出し)
Article 20
(Designation and Change of Trial Date and Summon to Appear on Trial Date)
2
(2)
3
(3)
第二十一条
(審判の指揮及び秩序維持)
Article 21
(Control over Trial and Maintenance of Order)
2
(2)
3
(3)
第二十二条
(釈明権等)
Article 22
(Authority to Ask for Explanation, etc.)
2
(2)
3
(3)
4
(4)
第二十三条
(審判手続の併合等)
Article 23
(Consolidation, etc. of Trial Procedures)
2
(2)
第二十四条
(主張の提出又は証拠の申出の時期)
Article 24
(Timing of Submission of Allegations and Offer of Evidence)
第二十五条
(審判調書の形式的記載事項)
Article 25
(Formal Matters to Be Stated in Trial Records)
2
(2)
3
(3)
第二十六条
(審判調書の実質的記載事項)
Article 26
(Substantial Matters to Be Stated in Trial Records)
第二十七条
(調書への引用)
Article 27
(Citation of Record)
第二十八条
(準備書面)
Article 28
(Brief)
2
(2)
3
(3)
4
(4)
5
(5)
第二十九条
(準備書面等の提出期間)
Article 29
(Period of Submission of Brief, etc.)
2
(2)
第三十条
(準備手続)
Article 30
(Preparatory Proceedings)
2
(2)
3
(3)
4
(4)
第四節 証拠
Section 4 Evidence
第一款 総則
Subsection 1 General Provisions
第三十一条
(証拠の申出)
Article 31
(Offer of Evidence)
2
(2)
3
(3)
4
(4)
第三十二条
(職権証拠調べ)
Article 32
(Examination of Evidence by Examiner's Own Authority)
第三十三条
(証拠調べを要しない場合)
Article 33
(When Examination of Evidence Is Not Required)
第三十四条
(受命審判官による証拠調べ)
Article 34
(Examination of Evidence by Authorized Trial Examiner)
2
(2)
第三十五条
(書類その他の物件の提出時期)
Article 35
(Period of Submission of Documents and Other Articles)
第二款 参考人審問
Subsection 2 Hearing of Witness
第三十六条
(参考人審問の申出)
Article 36
(Request for Hearing of Witness)
第三十七条
(審問事項書)
Article 37
(Description of Matters Subject to Hearing)
2
(2)
3
(3)
第三十八条
(呼出状の記載事項等)
Article 38
(Matters to Be Stated, etc. in Writ of Summons)
第三十九条
(参考人の出頭の確保)
Article 39
(Ensuring Appearance of Witness)
第四十条
(不出頭の届出)
Article 40
(Notification of Non-Appearance)
第四十一条
(宣誓)
Article 41
(Oath)
2
(2)
3
(3)
4
(4)
5
(5)
第四十二条
(審問の順序)
Article 42
(Order of Hearing)
2
(2)
3
(3)
4
(4)
5
(5)
6
(6)
第四十三条
(質問の制限)
Article 43
(Limitation of Question)
2
(2)
第四十四条
Article 44
2
(2)
3
(3)
第四十五条
(文書等の質問への利用)
Article 45
(Use of Document, etc. in Questions)
2
(2)
3
(3)
第四十六条
(書類に基づく陳述の禁止)
Article 46
(Prohibition of Statements Made Based on Documents)
第四十七条
(対質)
Article 47
(Simultaneous Examination)
2
(2)
3
(3)
第四十八条
(受命審判官の権限)
Article 48
(Powers of Authorized Trial Examiner)
第三款 被審人審問
Subsection 3 Hearing of Respondent
第四十九条
Article 49
2
(2)
3
(3)
第四款 証拠書類及び証拠物の取調べ
Subsection 4 Examination of Documentary Evidence and Articles of Evidence
第五十条
(証拠書類又は証拠物の提出等)
Article 50
(Submission, etc. of Documentary Evidence or Articles of Evidence)
2
(2)
3
(3)
第五十一条
(訳文の添付等)
Article 51
(Attaching of Translation, etc.)
2
(2)
第五十二条
(書類等の提出命令の申立て)
Article 52
(Filing Petition for Order to Submit Documents, etc.)
2
(2)
3
(3)
4
(4)
第五十三条
(証拠書類の提出の方法)
Article 53
(Method of Submission of Documentary Evidence)
2
(2)
第五款 鑑定
Subsection 5 Expert Testimony
第五十四条
(鑑定事項)
Article 54
(Matters for Expert Testimony)
2
(2)
3
(3)
4
(4)
第五十五条
(宣誓の方式)
Article 55
(Method of Swearing under Oath)
2
(2)
第五十六条
(鑑定人の陳述の方式等)
Article 56
(Method for Making Statements for Expert Witness, etc.)
2
(2)
第五十七条
(鑑定人質問)
Article 57
(Asking Questions to Expert Witness)
2
(2)
3
(3)
第五十八条
(参考人審問の規定の準用)
Article 58
(Mutatis Mutandis Application of Provisions Concerning Hearing of Witness)
第六款 立入検査
Subsection 6 On-Site Inspection
第五十九条
(立入検査の申出の方式)
Article 59
(Method for Requesting On-Site Inspection)
第五節 決定
Section 5 Decision
第六十条
(審判手続の終結)
Article 60
(Conclusion of Trial Procedures)
2
(2)
3
(3)
第六十一条
(決定の記載事項)
Article 61
(Matters to Be Stated in Decision)
2
(2)
3
(3)
4
(4)
第六十一条の二
(継続開示書類を提出しない発行者について既決定がある場合の按分額)
Article 61-2
(Prorated Amount When There Is a Prior Decision for Issuer Who Does Not Submit Ongoing Disclosure Documents)
第六十一条の三
(虚偽記載のある継続開示書類等を提出した発行者等について二以上の決定をする場合の按分額)
Article 61-3
(Prorated Amount When Two or More Decisions Are to Be Issued for Issuer, etc. Who Submitted Ongoing Disclosure Documents containing False Statement)
第六十一条の四
(虚偽記載のある継続開示書類等を提出した発行者等について既決定がある場合の按分額)
Article 61-4
(Prorated Amount When There Is a Prior Decision for Issuer, etc. Who Submitted Ongoing Disclosure Documents Containing False Statement)
第六十一条の五
(虚偽等のある発行者等情報の提供又は公表をした発行者等について二以上の決定をする場合の按分額)
Article 61-5
(Prorated Amount When Two or More Decisions Are to Be Issued for Issuer, etc. Who Provided or Publicized Issuer's Information Containing Fake Information, etc.)
第六十一条の六
(虚偽等のある発行者等情報の提供又は公表をした発行者等について既決定がある場合の按分額)
Article 61-6
(Prorated Amount When There Is a Prior Decision for Issuer, etc. Who Provided or Publicized Issuer's Information Containing Fake Information, etc.)
第六十一条の七
(法第百七十二条の二第一項に該当する事実等の報告)
Article 61-7
(Report of Facts, etc. Falling under Article 172-2, Paragraph (1) of the Act)
2
(2)
3
(3)
4
(4)
5
(5)
第六十一条の八
(罰金の確定裁判がある場合の按分額)
Article 61-8
(Prorated Amount When There Is a Final and Binding Court Decision on Imposing a Fine)
第六十一条の九
(罰金の確定裁判があった場合の按分額)
Article 61-9
(Prorated Amount If There Has Been a Final and Binding Court Decision on Imposing a Fine)
第六節 雑則
Section 6 Miscellaneous Provisions
第六十二条
(決定後の罰金、没収等との調整)
Article 62
(Adjustment with Fine, Confiscation, etc. after Decision)
2
(2)
3
(3)
4
(4)