金融商品取引法施行令
Order for Enforcement of the Financial Instruments and Exchange Act
昭和四十年九月三十日政令第三百二十一号
Cabinet Order No. 321 of September 30, 1965
内閣は、証券取引法(昭和二十三年法律第二十五号)第二条第八項、第三条第二項、第三十二条第一号、第五十四条第二項、第六十二条第三項、第六十五条第一項、第六十六条、第百二十条、第百二十五条第三項、第百三十三条、第百九十三条の二第一項及び第百九十四条の規定に基づき、この政令を制定する。
The Cabinet enacts this Cabinet Order pursuant to the provisions of Article 2, paragraph (8), Article 3, paragraph (2), Article 32, item (i), Article 54, paragraph (2), Article 62, paragraph (3), Article 65, paragraph (1), Article 66, Article 120, Article 125, paragraph (3), Article 133, Article 193-2, paragraph (1), and Article 194 of the Securities and Exchange Act (Act No. 25 of 1948).
第一章 総則 (第一条―第一条の二十二)
Chapter I General Provisions (Article 1 to Article 1-22)
第二章 企業内容等の開示 (第二条―第五条)
Chapter II Disclosure of Corporate Affairs and Other Related Matters (Article 2 to Article 5)
第三章 公開買付けに関する開示
Chapter III Disclosure Required for a Tender Offer
第一節 発行者以外の者による株券等の公開買付け (第六条―第十四条の三)
Section 1 Tender Offers for Share Certificates by Persons Other Than the Issuer (Article 6 to Article 14-3)
第二節 発行者による上場株券等の公開買付け (第十四条の三の二―第十四条の三の十三)
Section 2 Tender Offers for Listed Share Certificates by the Issuer (Article 14-3-2 to Article 14-3-13)
第三章の二 株券等の大量保有の状況に関する開示 (第十四条の四―第十四条の九)
Chapter III-2 Disclosure of Status of Large Volume Holdings in Share Certificates (Article 14-4 to Article 14-9)
第三章の三 開示用電子情報処理組織による手続の特例等 (第十四条の十―第十四条の十三)
Chapter III-3 Special Rules on Procedures Undertaken Using an Electronic Data Processing System for Disclosure (Article 14-10 to Article 14-13)
第三章の四 特定証券情報等の提供又は公表 (第十四条の十四)
Chapter III-4 Provision or Publication of Specified Information on Securities (Article 14-14)
第三章の五 重要情報の公表 (第十四条の十五―第十四条の十七)
Chapter III-5 Disclosure of Material Information (Article 14-15 to Article 14-17)
第四章 金融商品取引業者等 (第十五条―第十七条の十六)
Chapter IV Financial Instruments Business Operators (Article 15 to Article 17-16)
第四章の二 金融商品仲介業者 (第十八条―第十八条の四)
Chapter IV-2 Financial Instruments Intermediary Service Providers (Article 18 to Article 18-4)
第四章の三 信用格付業者 (第十八条の四の二―第十八条の四の八)
Chapter IV-3 Credit Rating Agencies (Article 18-4-2 to Article 18-4-8)
第四章の四 高速取引行為者 (第十八条の四の九―第十八条の四の十三)
Chapter IV-4 High-Speed Traders (Article 18-4-9 to Article 18-4-13)
第四章の五 金融商品取引業協会 (第十八条の四の十四―第十八条の四の十六)
Chapter IV-5 Financial Instruments Firms Associations (Article 18-4-14 to Article 18-4-16)
第四章の六 投資者保護基金 (第十八条の五―第十八条の十五)
Chapter IV-6 Investor Protection Funds (Article 18-5 to Article 18-15)
第五章 金融商品取引所 (第十九条―第十九条の三の十六)
Chapter V Financial Instruments Exchanges (Article 19 to Article 19-3-16)
第五章の二 外国金融商品取引所 (第十九条の四)
Chapter V-2 Foreign Financial Instruments Exchanges (Article 19-4)
第五章の三 金融商品取引清算機関等 (第十九条の四の二―第十九条の四の五)
Chapter V-3 Financial Instruments Clearing Organizations (Article 19-4-2 to Article 19-4-5)
第五章の四 証券金融会社 (第十九条の五・第十九条の六)
Chapter V-4 Securities Finance Companies (Article 19-5 and Article 19-6)
第五章の五 指定紛争解決機関 (第十九条の七―第十九条の九)
Chapter V-5 Designated Dispute Resolution Organizations (Article 19-7 to Article 19-9)
第五章の六 特定金融指標算出者 (第十九条の十・第十九条の十一)
Chapter V-6 Specified Financial Index Calculation Agents (Article 19-10 and Article 19-11)
第六章 有価証券の取引等に関する規制 (第二十条―第三十三条の四の五)
Chapter VI Regulations on Transactions of Securities (Article 20 to Article 33-4-5)
第六章の二 課徴金 (第三十三条の五―第三十三条の二十二)
Chapter VI-2 Administrative Monetary Penalties (Article 33-5 to Article 33-22)
第七章 雑則 (第三十四条―第三十七条の二)
Chapter VII Miscellaneous Provisions (Article 34 to Article 37-2)
第八章 権限の委任 (第三十七条の三―第四十四条の五)
Chapter VIII Delegation of Authority (Article 37-3 to Article 44-5)
第九章 犯則事件の調査等 (第四十五条)
Chapter IX Investigation into Criminal Cases (Article 45)
附 則
Supplementary Provisions
第一章 総則
Chapter I General Provisions
(有価証券となる証券又は証書)
(Instruments and Certificates Constituting Securities)
第一条 金融商品取引法(以下「法」という。)第二条第一項第二十一号に規定する政令で定める証券又は証書は、次に掲げるものとする。
Article 1 The instruments and certificates specified by Cabinet Order that are provided for in Article 2, paragraph (1), item (xxi) of the Financial Instruments and Exchange Act (hereinafter referred to as "the Act") are as follows:
一 譲渡性預金(払戻しについて期限の定めがある預金で、指名債権でないものをいう。)の預金証書のうち、外国法人が発行するもの
(i) negotiable certificates of deposit (meaning one for which a due date for refund is provided and which is not a nominative claim) that are issued by a foreign corporation;
二 学校法人等(私立学校法(昭和二十四年法律第二百七十号)第三条に規定する学校法人又は同法第六十四条第四項に規定する法人をいう。以下同じ。)が行う割当てにより発生する当該学校法人等を債務者とする金銭債権(指名債権でないものに限る。)を表示する証券又は証書であつて、当該学校法人等の名称その他の内閣府令で定める事項を表示するもの
(ii) instruments or certificates that an incorporated educational institution, etc. (meaning an incorporated educational institution as set forth in Article 3 of the Private Educational Institutions Act (Act No. 270 of 1949) or a corporation as prescribed in Article 64, paragraph (4) of that Act; the same applies hereinafter) issues through allotment, which indicate a monetary claim of which that incorporated educational institution, etc. is the obligor and which show the name of that incorporated educational institution, etc. and any other particulars specified by Cabinet Office Order.
(有価証券とみなされる合名会社又は合資会社の社員権)
(Membership Rights in a General Partnership Company or Limited Partnership Company That Are Deemed to Be Securities)
第一条の二 法第二条第二項第三号に規定する政令で定めるものは、次に掲げるものとする。
Article 1-2 The membership rights specified by Cabinet Order that are provided for in Article 2, paragraph (2), item (iii) of the Act are as follows:
一 その社員のすべてが次のいずれかに該当する合名会社の社員権
(i) membership rights in a general partnership company all of whose members fall under either of the following:
イ 株式会社
(a) a stock company; or
ロ 合同会社
(b) a limited liability company; or
二 その無限責任社員のすべてが次のいずれかに該当する合資会社の社員権
(ii) membership rights in a limited partnership company all of whose unlimited-liability members fall under either of the following:
イ 株式会社
(a) a stock company; or
ロ 合同会社
(b) a limited liability company.
(金銭に類するもの)
(Things Similar to Money)
第一条の三 法第二条第二項第五号に規定する政令で定めるものは、次に掲げるものとする。
Article 1-3 The things specified by Cabinet Order that are provided for in Article 2, paragraph (2), item (v) of the Act are as follows:
一 有価証券
(i) Securities;
二 為替手形
(ii) bills of exchange;
三 約束手形(第一号に掲げるものに該当するものを除く。)
(iii) promissory notes (excluding promissory notes that fall under what is set forth in item (i));
四 法第二条第二項第一号、第二号、第五号又は第六号に掲げる権利を有する者から出資又は拠出を受けた金銭(前三号に掲げるものを含む。)の全部を充てて取得した物品(当該権利を有する者の保護を確保することが必要と認められるものとして内閣府令で定めるものに限る。)
(iv) goods acquired by allocating the entire sum of money (including what is set forth in the preceding three items) invested or contributed by the person that holds the rights set forth in Article 2, paragraph (2), item (i), (ii), (v) or (vi) of the Act (limited to goods specified by Cabinet Office Order as those for which it is found to be necessary to ensure the protection of persons holding rights in them); and
五 前各号に掲げるものに準ずるものとして内閣府令で定めるもの
(v) anything specified by Cabinet Office Order as being equivalent to what is set forth in the preceding items.
(出資対象事業に関与する場合)
(Participation in an Invested Business)
第一条の三の二 法第二条第二項第五号イに規定する政令で定める場合は、次の各号のいずれにも該当する場合とする。
Article 1-3-2 The cases specified by Cabinet Order that are provided for in Article 2, paragraph (2), item (v), (a) of the Act are cases that satisfy all of the following requirements:
一 出資対象事業(法第二条第二項第五号に規定する出資対象事業をいう。以下この条及び次条第四号において同じ。)に係る業務執行がすべての出資者(同項第五号に規定する出資者をいう。以下この条において同じ。)の同意を得て行われるものであること(すべての出資者の同意を要しない旨の合意がされている場合において、当該業務執行の決定についてすべての出資者が同意をするか否かの意思を表示してその執行が行われるものであることを含む。)。
(i) that business is executed in connection with the Invested Business (meaning Invested Business defined in Article 2, paragraph (2), item (v) of the Act; hereinafter the same applies in this Article and item (iv) of the following Article) only with the consent of all of the Equity Holders (meaning Equity Holders as defined in Article 2, paragraph (2), item (v) of the Act; hereinafter the same applies in this Article) (or, if an agreement has been reached that the consent of all of the Equity Holders is not required, that business is executed only after all of the Equity Holders have manifested whether or not it is their intention to consent to the decision on the execution of business); and
二 出資者のすべてが次のいずれかに該当すること。
(ii) that all of the Equity Holders satisfy either of the following:
イ 出資対象事業に常時従事すること。
(a) they regularly engage in the Invested Business; or
ロ 特に専門的な能力であつて出資対象事業の継続の上で欠くことができないものを発揮して当該出資対象事業に従事すること。
(b) they engage in the Invested Business using a highly specialized ability that is indispensable to the continuation of the Invested Business.
(有価証券とみなさなくても公益等のため支障を生ずることがないと認められる権利)
(Rights Whose Non-Treatment as Securities Is Found Not to Compromise the Public Interest)
第一条の三の三 法第二条第二項第五号ニに規定する政令で定める権利は、次に掲げるものとする。
Article 1-3-3 The rights specified by Cabinet Order that are provided for in Article 2, paragraph (2), item (v), (d) of the Act are as follows:
一 保険業法(平成七年法律第百五号)第二条第一項各号に掲げる事業に係る契約に基づく権利
(i) rights based on a contract connected with the business set forth in the items of Article 2, paragraph (1) of the Insurance Business Act (Act No. 105 of 1995);
二 本邦の法令に基づいて設立された法人(公益社団法人以外の一般社団法人及び公益財団法人以外の一般財団法人を除く。)に対する出資又は拠出に係る権利(法第二条第一項第六号から第九号まで及び第十一号に掲げる有価証券に表示される権利並びに同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に掲げる権利を除く。)
(ii) rights connected with the investment or contribution made to a corporation established under Japanese laws and regulations (excluding general incorporated associations other than public interest incorporated associations and general incorporated foundations other than public interest incorporated foundations) (the rights indicated on the Securities set forth in Article 2, paragraph (1), items (vi) to (ix) and (xi) of the Act and the rights set forth in Article 2, paragraph (2), item (iii) of that Act which are regarded as Securities pursuant to the provisions of Article 2, paragraph (2) of that Act are excluded);
三 分収林特別措置法(昭和三十三年法律第五十七号)第二条第三項に規定する分収林契約に基づく権利
(iii) rights based on the profit-sharing forestry contract prescribed in Article 2, paragraph (3) of the Act on Special Measures concerning Shared Forest (Act No. 57 of 1958);
四 次に掲げる者のみを当事者とする組合契約等(民法(明治二十九年法律第八十九号)第六百六十七条第一項に規定する組合契約その他の継続的な契約をいう。)に基づく権利であつて、当該権利に係る出資対象事業が専ら次に掲げる者の業務を行う事業であるもの
(iv) rights based on a Partnership Contract, etc. (meaning a partnership contract set forth in Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896) or other continuous contracts) to which only the following persons are party, if the Invested Business connected with those rights is a business exclusively performing the services of the following persons:
イ 公認会計士
(a) a certified public accountant;
ロ 弁護士(外国法事務弁護士を含む。)
(b) an attorney at law (including registered foreign lawyers);
ハ 司法書士
(c) a judicial scrivener;
ニ 土地家屋調査士
(d) a land and house investigator;
ホ 行政書士
(e) a certified administrative procedures specialist;
ヘ 税理士
(f) a certified tax accountant;
ト 不動産鑑定士
(g) a real property appraiser;
チ 社会保険労務士
(h) a public consultant on social and labor insurance; and
リ 弁理士
(i) a patent attorney;
五 株券又は投資証券(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)に規定する投資証券をいう。以下この号において同じ。)の発行者の役員、従業員その他の内閣府令で定める者(以下この号及び第二条の十二の四第二項第四号において「役員等」という。)が当該発行者の他の役員等と共同して当該発行者の株券又は投資証券の買付けを、一定の計画に従い、個別の投資判断に基づかず、継続的に行うことを約する契約のうち、内閣府令で定める要件に該当するものに基づく権利
(v) rights based on a contract wherein an officer or employee, or any other person specified by Cabinet Office Order of the issuer of share certificates or Investment Securities (meaning Investment Securities as prescribed in the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951); hereinafter the same applies in this item) (hereinafter such persons are collectively referred to as the "Officer, etc." in this item and in Article 2-12-4, paragraph (2), item (iv)) promises to continually purchase share certificates or Investment Securities of the issuer jointly with another Officer, etc. of the issuer according to a fixed plan and without depending on an individual investment decision, which satisfies the requirements specified by Cabinet Office Order; and
六 前各号に掲げるものに準ずるものとして内閣府令で定めるもの
(vi) anything specified by Cabinet Office Order as being equivalent to the rights set forth in the preceding items.
(有価証券とみなす権利)
(Rights Regarded as Securities)
第一条の三の四 法第二条第二項第七号に規定する政令で定める権利は、学校法人等に対する貸付け(次の各号に掲げる要件のすべてに該当するものに限る。)に係る債権とする。
Article 1-3-4 The rights specified by Cabinet Order that are provided for in Article 2, paragraph (2), item (vii) of the Act are the claims connected with the loans made to an incorporated educational institution, etc. (limited to loans which satisfy all of the requirements set forth in the following items):
一 当該貸付けに係る利率、弁済期その他の内閣府令で定める事項が同一で、複数の者が行うもの(当該貸付けが無利息であるものを除く。)であること。
(i) the loans (excluding loans with no interest) are made by two or more persons and the rate, the time of performance, and any other particulars specified by Cabinet Office Order for the loans are the same; and
二 当該貸付けの全部又は一部が次のいずれかに該当すること。
(ii) all or some of the loans fall under either of the following:
イ 当該貸付けを受ける学校法人等の設置する学校(私立学校法第二条第一項に規定する学校をいい、同条第二項に規定する専修学校及び各種学校を含む。)に在学する者その他利害関係者として内閣府令で定める者(ロにおいて「利害関係者」という。)以外の者が行う貸付けであること。
(a) the loan is made by a person other than one attending a School (meaning a school prescribed in Article 2, paragraph (1) of the Private Educational Institutions Act and including the advanced vocational school and vocational school prescribed in paragraph (2) of that Article) established by the incorporated educational institution, etc. that receives the loan or any other person specified by Cabinet Office Order as an interested person (referred to as the "Interested Person" in (b));
ロ 当該貸付けに係る債権の利害関係者以外の者に対する譲渡が禁止されていないこと。
(b) it is not prohibited to transfer the claim associated with the loan to a person other than an Interested Person;
三 当該貸付けの全部又は一部が次のいずれかに該当すること。
(iii) all or some of the loans fall under either of the following:
イ 銀行その他の法令の規定により当該貸付けを業として行うことができる者(ロにおいて「銀行等」という。)以外の者が行う貸付けであること。
(a) the loan is made by a person other than a bank or any other person permitted to make that loan in the course of trade pursuant to the provisions of laws and regulations (referred to as a "Bank, etc." in (b)); or
ロ 当該貸付けに係る債権の銀行等(債権管理回収業に関する特別措置法(平成十年法律第百二十六号)第二条第三項に規定する債権回収会社を含む。)以外の者に対する譲渡が禁止されていないこと。
(b) it is not prohibited to transfer the claim associated with the loan to a person other than a Bank, etc. (including a claim management and collection company as prescribed in Article 2, paragraph (3) of the Act on Special Measures Concerning Claim Management and Collection Businesses (Act No. 126 of 1998)).
(取得勧誘において適格機関投資家以外の者に譲渡されるおそれが少ない場合)
(Cases in Which the Relevant Securities Are Not Likely to Be Transferred to Persons Other Than Qualified Institutional Investors through the Solicitation of Offers to Acquire)
第一条の四 法第二条第三項第一号に規定する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並びに同項第二号イ及び法第二条の二第四項第二号イに規定する政令で定める場合は、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とする。
Article 1-4 The case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being transferred, as provided in Article 2, paragraph (3), item (i) of the Act, and the case specified by Cabinet Order that is provided for in the provisions of Article 2, paragraph (3), item (ii), (a) and Article 2-2, paragraph (4), item (ii), (a) of the Act mean a case as specified in the relevant of the following items for the category of Securities set forth in those items:
一 株券(法第二条第一項第十七号に掲げる有価証券で株券の性質を有するもの並びに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。以下「優先出資法」という。)に規定する優先出資証券(この号及び次号を除き、以下「優先出資証券」という。)及び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。)に規定する優先出資証券並びに同項第十七号に掲げる有価証券でこれらの有価証券の性質を有するもの並びに投資信託及び投資法人に関する法律に規定する投資証券及び外国投資証券で投資証券に類する証券(以下「投資証券等」という。)を含む。次号イ、第一条の五の二第二項第二号イ、第一条の七第二号ロ(1)、第一条の七の四第二号イ、第一条の八の二第二号イ及び第一条の八の四第三号ロ(1)において同じ。)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六号に掲げる有価証券の性質を有するもの(以下この号、第一条の五の二第二項第一号、第一条の七第二号イ、第一条の七の四第一号、第一条の八の二第一号、第一条の八の四第三号イ、第二条の四の二第二号イ及び第二条の六の二第二号イにおいて「株券等」という。) 次に掲げる全ての要件に該当する場合
(i) share certificates (including Securities set forth in Article 1, paragraph (2), item (xvii) of the Act which have the nature of share certificates, preferred equity securities as provided in the Act on Preferred Equity Investment by Cooperative Financial Institution (Act No. 44 of 1993; hereinafter referred to as the "Act on Preferred Equity Investment") (such preferred equity securities are referred to as "Preferred Equity Securities" except in this item and the following item), preferred equity securities as set forth in the Act on Securitization of Assets (Act No. 105 of 1998; hereinafter referred to as the "Asset Securitization Act") and the Securities prescribed in Article 1, paragraph (2), item (xvii) of the Act which have the nature of those Securities, investment securities and foreign investment securities which are securities similar to investment securities as provided in the Act on Investment Trusts and Investment Corporations (hereinafter such securities are collectively referred to as "Investment Securities, etc."); hereinafter the same applies in (a) of the following item, Article 1-5-2, paragraph (2), item (ii), (a), Article 1-7, item (ii), (b), 1., Article 1-7-4, item (ii), (a), Article 1-8-2, item (ii), (a) and Article 1-8-4, item (iii), (b), 1.), 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 Article 2, paragraph (1), item (vi) of the Act (hereinafter such Securities are referred to as "Share Certificates, etc." in this item, Article 1-5-2, paragraph (2), item (i), Article 1-7, item (ii), (a), Article 1-7-4, item (i), Article 1-8-2, item (i), Article 1-8-4, item (iii), (a), Article 2-4-2, item (ii), (a) and Article 2-6-2, item (ii), (a)): a case meeting all of the following requirements:
イ 当該株券等の発行者が、当該株券等と同一の内容(株式(優先出資法に規定する優先出資及び資産流動化法に規定する優先出資を含む。)若しくは出資に係る剰余金の配当、残余財産の分配、利益を用いて行う出資の消却又は優先出資法第十五条第一項(第二号に係る部分に限る。)の規定による優先出資の消却についての内容に限る。)を表示した株券等であつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
(a) the issuer of those Share Certificates, etc. is not a person that has already issued Share Certificates, etc. indicating the same features as those Share Certificates, etc. (limited to features with regard to the payment of the dividends of surplus, distribution of residual assets, cancellation of equity by using profits, or the cancellation of preferred equity investment under Article 15, paragraph (1) of the Act on Preferred Equity Investment (limited to the part that involves item (ii)) which are related to shares (including preferred equity investment as provided in the Act on Preferred Equity Investment and the preferred equity set forth in the Asset Securitization Act) or equity) which fall under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
ロ 当該株券等と同一種類の有価証券として内閣府令で定めるものが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。以下同じ。)でないこと。
(b) what is specified by Cabinet Office Order as being a Security of the same type as those Share Certificates, etc. is not a Security for Professional Investors (meaning Securities for Professional Investors as defined in Article 4, paragraph (3) of the Act; the same applies hereinafter); and
ハ 当該株券等を取得した者が当該株券等を適格機関投資家(法第二条第三項第一号に規定する適格機関投資家をいう。以下同じ。)以外の者に譲渡を行わない旨を定めた譲渡に係る契約を締結することを取得の条件として、取得勧誘(同項に規定する取得勧誘をいう。以下同じ。)又は組織再編成発行手続(法第二条の二第二項に規定する組織再編成発行手続をいう。第一条の七の三第七号及び第二条の四の二第一号において同じ。)が行われること。
(c) the Solicitation of Offers to Acquire (meaning Solicitation of Offers to Acquire as prescribed in Article 2, paragraph (3) of the Act; the same applies hereinafter) is done or Procedures Related to the Issuance of Securities During a Reorganization (meaning the Procedures Related to the Issuance of Securities During a Reorganization as prescribed in Article 2-2, paragraph (2) of the Act; the same applies in Article 1-7-3, item (vii) and Article 2-4-2, item (i)) are taken in a way that makes the acquisition of the Share Certificates, etc. conditional upon the conclusion of a contract for their transfer which provides that the person acquiring the Share Certificates, etc. will not transfer them to a person other than a Qualified Institutional Investor (meaning a Qualified Institutional Investor as set forth in Article 2, paragraph (3), item (i) of the Act; the same applies hereinafter);
二 新株予約権証券及び新株予約権、新優先出資引受権(資産流動化法に規定する新優先出資引受権をいう。以下同じ。)又は資産流動化法に規定する優先出資証券に転換する権利が付されている有価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これらの有価証券の性質を有するもの並びに新投資口予約権証券(投資信託及び投資法人に関する法律に規定する新投資口予約権証券をいう。以下同じ。)及び投資信託及び投資法人に関する法律に規定する外国投資証券で新投資口予約権証券に類する証券(以下「新投資口予約権証券等」という。)(法第二条第一項第十九号に掲げる有価証券を除く。以下この号、第一条の五の二第二項第二号、第一条の七第二号ロ、第一条の七の四第二号、第一条の八の二第二号、第一条の八の四第三号ロ、第二条の四の二第二号ロ、第二条の六の二第二号ロ及び第二条の十二の三第五号において「新株予約権証券等」という。) 次に掲げる全ての要件に該当する場合
(ii) Share option certificates and share options, Rights to Subscribe for Preferred Equity (meaning the Right to Subscribe for Preferred Equity set forth in the Asset Securitization Act; the same applies hereinafter) or Securities with the rights of conversion into Preferred Equity Securities prescribed in the Asset Securitization Act, Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of those Securities, and Investment Equity Subscription Right Certificates (meaning Investment Equity Subscription Right Certificates as prescribed in the Act on Investment Trusts and Investment Corporations; hereinafter the same applies) and foreign investment securities as prescribed in the Act on Investment Trusts and Investment Corporations which are similar to Investment Equity Subscription Right Certificates (hereinafter referred to as "Investment Equity Subscription Right Certificates, etc.") (excluding Securities set forth in Article 2, paragraph (1), item (xix) of the Act; hereinafter referred to as "Share Option Certificates, etc." in this item, Article 1-5-2, paragraph (2), item (ii), Article 1-7, item (ii), (b), Article 1-7-4, item (ii), Article 1-8-2, item (ii), Article 1-8-4, item (iii), (b), Article 2-4-2, item (ii), (b), Article 2-6-2, item (ii), (b) and Article 2-12-3, item (v)): a case meeting all of the following requirements:
イ 当該新株予約権証券等に表示された権利の行使により取得され、引き受けられ、又は転換されることとなる株券の発行者並びに当該株券、新株予約権証券及び新投資口予約権証券がそれぞれ前号イ及びロに掲げる要件に該当すること。
(a) the issuer of the share certificates which that would be acquired, subscribed for or converted through the exercise of the rights indicated on the Share Option Certificates, etc., and the share certificates, share option certificates, and Investment Equity Subscription Right Certificates satisfy the requirements set forth in (a) and (b) of the preceding item, respectively;
ロ 当該新株予約権証券等(新株予約権証券及び新投資口予約権証券を除く。以下ロ及びハにおいて同じ。)の発行者が、当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと
(b) the issuer of the Share Option Certificates, etc. (excluding share option certificates and Investment Equity Subscription Right Certificates; hereinafter the same applies in (b) and (c)) is not a person that has already issued anything specified by Cabinet Office Order as being a Security of the same type as those Share Option Certificates, etc. and that falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
ハ 当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
(c) what is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Option Certificates, etc. is not a Security for Professional Investors; and
ニ 当該新株予約権証券等(当該新株予約権証券等が新優先出資引受権付特定社債券(資産流動化法に規定する新優先出資引受権付特定社債券をいう。以下同じ。)である場合であつて、特定社債券(資産流動化法に規定する特定社債券をいう。以下同じ。)と分離して新優先出資引受権のみを譲渡することができるときは、当該特定社債券及びこれとともに発行される新優先出資引受権証券(資産流動化法に規定する新優先出資引受権証券をいう。以下同じ。))に、内閣府令で定める方式に従い、これを取得し、又は買い付けた者が当該新株予約権証券等を適格機関投資家に譲渡する場合以外の譲渡が禁止される旨の制限が付されていることその他当該新株予約権証券等がこれに準ずるものとして内閣府令で定める要件に該当すること。
(d) a restriction has been placed on the relevant Share Option Certificates, etc. (if those Share Option Certificates, etc. are Specified Corporate Bond Certificates with a Right to Subscribe for Preferred Equity (meaning the Specified Corporate Bond Certificate with a Right to Subscribe for Preferred Equity as provided in the Asset Securitization Act; the same applies hereinafter) and the Right to Subscribe for Preferred Equity may be transferred independently from the Specified Corporate Bond Certificates (meaning Specified Corporate Bond Certificates as provided in the Asset Securitization Act; the same applies hereinafter), the Specified Corporate Bond Certificates and the Certificate of a Right to Subscribe for Preferred Equity (meaning a Certificate of a Right to Subscribe for Preferred Equity as provided in the Asset Securitization Act; the same applies hereinafter) issued therewith), as per the formalities specified by Cabinet Office Order, prohibiting the person that has acquired or purchased the Share Option Certificates, etc. from transferring them other than to a Qualified Institutional Investor, or the Share Option Certificates, etc. otherwise satisfy the requirements specified by Cabinet Office Order as being equivalent to this;
三 前二号に掲げる有価証券以外の有価証券 次に掲げる全ての要件に該当する場合
(iii) Securities other than the Securities set forth in the preceding two items: a case meeting all of the following requirements:
イ 当該有価証券の発行者が、当該有価証券と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
(a) the issuer of the relevant Securities is not a person that has already issued anything that is specified by Cabinet Office Order as being a Security of the same type as those Securities and that falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
ロ 当該有価証券と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
(b) what is specified by Cabinet Office Order as being a Security of the same type as the relevant Securities is not a Security for Professional Investors; and
ハ 前号に準じて内閣府令で定める要件に該当すること。
(c) the Securities meet the requirements specified by Cabinet Office Order in accordance with the preceding item.
(勧誘の相手方が多数である場合)
(Cases in Which a Large Number of Persons Are Party to a Solicitation)
第一条の五 法第二条第三項第一号に規定する多数の者を相手方として行う場合として政令で定める場合は、五十名以上の者を相手方として有価証券の取得勧誘を行う場合とする。
Article 1-5 The cases specified by Cabinet Order as those in which the transaction is conducted with a large number of persons as the other parties thereto as provided in Article 2, paragraph (3), item (i) of the Act are cases in which the Solicitation of Offers to Acquire Securities is conducted with not less than 50 persons as the other parties thereto.
(取得勧誘において特定投資家等以外の者に譲渡されるおそれが少ない場合等)
(Cases in Which the Relevant Securities Are Not Likely to Be Transferred to Persons Other Than Professional Investors through the Solicitation of Offers to Acquire)
第一条の五の二 法第二条第三項第二号ロ(2)に規定する政令で定める者は、次のいずれかに該当する者とする。
Article 1-5-2 (1) The persons specified by Cabinet Order that are provided for in Article 2, paragraph (3), item (ii), (b), 2. of the Act are persons falling under either of the following:
一 当該有価証券を証券関連業者(金融商品取引業者等(法第三十四条に規定する金融商品取引業者等をいう。第四十四条を除き、以下同じ。)又は外国証券業者(法第五十八条に規定する外国証券業者をいう。以下同じ。)をいう。次号において同じ。)の媒介、取次ぎ又は代理によつて居住者(外国為替及び外国貿易法(昭和二十四年法律第二百二十八号)第六条第一項第五号前段に規定する居住者をいう。以下同じ。)から取得する非居住者(同項第六号に規定する非居住者をいう。以下同じ。)
(i) Non-Residents (meaning non-residents as defined in Article 6, paragraph (1), item (vi) of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949); the same applies hereinafter) that acquire the relevant Securities from Residents (meaning the residents set forth in the first sentence of Article 6, paragraph (1), item (v) of that Act; the same applies hereinafter) through the intermediation, brokerage, or agency of a Security Related Business Entity (meaning a Financial Instruments Business Operator, etc. (meaning a Financial Instruments Business Operator, etc. as prescribed in Article 34 of the Act; hereinafter the same applies except in Article 44) or a Foreign Securities Services Provider (meaning a Foreign Securities Services Provider as prescribed in Article 58 of the Act; the same applies hereinafter); the same applies in the following item); or
二 当該有価証券を証券関連業者又は他の非居住者から取得する非居住者
(ii) Non-Residents that acquire the relevant Securities from Security Related Business Entities or another Non-Resident.
2 法第二条第三項第二号ロ(2)に規定する政令で定める場合は、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とする。
(2) The case specified by Cabinet Order that is provided for in Article 2, paragraph (3), item (ii), (b), 2. of the Act means a case as specified in the relevant of the following items for the category of Securities set forth in that item:
一 株券 次に掲げるすべての要件に該当する場合
(i) share certificates: a case meeting all of the following requirements:
イ 当該株券等と同一種類の有価証券として内閣府令で定めるものが法第二十四条第一項各号(法第二十七条において準用する場合を含む。)に掲げる有価証券のいずれにも該当しないこと。
(a) what is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Certificates, etc. does not fall under the category of any of the Securities set forth in the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act); and
ロ 当該株券等の発行者と当該株券等の取得勧誘に応じて当該株券等を取得しようとする者(以下この号において「取得者」という。)との間及び当該取得勧誘を行う者と当該取得者との間において、当該取得者が取得した当該株券等を特定投資家等(法第二条第三項第二号ロ(2)に規定する特定投資家等をいう。以下同じ。)以外の者に譲渡を行わない旨その他の内閣府令で定める事項を定めた譲渡に係る契約を締結することを取得の条件として、取得勧誘が行われること。
(b) the Solicitation of Offers to Acquire is done in a way that makes the acquisition of the Share Certificates, etc. conditional upon the conclusion of a contract for their transfer between the issuer of the Share Certificates, etc. and the person that seeks to acquire the Share Certificates, etc. in response to the Solicitation of Offers to Acquire them (hereinafter such a person is referred to as the "Acquirer" in this item); as well as between the person that makes the Solicitation of Offers to Acquire and the Acquirer; which provides that the Acquirer of the Share Certificates, etc. will not transfer them to a person other than a Professional Investor, etc. (meaning a Professional Investor, etc. as prescribed in Article 2, paragraph (3), item (ii), (b), 2. of the Act; the same applies hereinafter) and provides for any other particulars specified by Cabinet Office Order;
二 新株予約権証券等 次に掲げるすべての要件に該当する場合
(ii) Share Option Certificates, etc.: a case meeting all of the following requirements:
イ 当該新株予約権証券等に表示された権利の行使により取得され、引き受けられ、又は転換されることとなる株券が前号イに掲げる要件に該当すること。
(a) the share certificates that would be acquired, subscribed for or converted through the exercise of the rights indicated on the Share Option Certificates, etc. satisfy the requirements set forth in (a) of the preceding item;
ロ 当該新株予約権証券等(当該新株予約権証券等が新優先出資引受権付特定社債券である場合であつて、特定社債券と分離して新優先出資引受権のみを譲渡することができるときは、当該特定社債券及びこれとともに発行される新優先出資引受権証券。以下この号において同じ。)の発行者と当該新株予約権証券等の取得勧誘に応じて当該新株予約権証券等を取得しようとする者(以下この号において「取得者」という。)との間及び当該取得勧誘を行う者と当該取得者との間において、当該取得者が取得した当該新株予約権証券等を特定投資家等以外の者に譲渡を行わない旨その他の内閣府令で定める事項を定めた譲渡に係る契約を締結することを取得の条件として、取得勧誘が行われること。
(b) the Solicitation of Offers to Acquire is done in a way that makes the acquisition of the Share Option Certificates, etc. conditional upon the conclusion of a contract for transfer between the issuer of the Share Option Certificates, etc. (if the Share Option Certificates, etc. are Specified Corporate Bond Certificates with Rights to Subscribe for Preferred Equity and the Rights to Subscribe for Preferred Equity may be transferred independently from the Specified Corporate Bond Certificate, the Specified Corporate Bond Certificate and the Certificate of a Right to Subscribe for Preferred Equity issued therewith; hereinafter the same applies in this item) and the person that seeks to acquire the Share Option Certificates, etc. in response to the Solicitation of Offers to Acquire them (hereinafter such a person is referred to as the "Acquirer" in this item); as well as between the person that makes the Solicitation of Offers to Acquire and the Acquirer; which provides that the Acquirer will not transfer the Share Option Certificates, etc. acquired thereby to a person other than a Professional Investor, etc. and provides for any other particulars specified by Cabinet Office Order;
三 前二号に掲げる有価証券以外の有価証券 前号に準じて内閣府令で定める要件に該当する場合
(iii) Securities other than the Securities set forth in the preceding two items: a case meeting the requirements specified by Cabinet Office Order in accordance with the preceding item.
(取得勧誘が少人数向け勧誘に該当しないための要件)
(Requirements for a Solicitation of Offers to Acquire Not to Constitute Solicitation to a Small Number of Investors)
第一条の六 法第二条第三項第二号ハに規定する政令で定める要件は、当該有価証券の発行される日以前六月以内に、当該有価証券と同一種類の有価証券として内閣府令で定める他の有価証券(その発行の際にその取得勧誘が同号イに掲げる場合及び第二条の十二に規定する場合に該当するものであつた有価証券並びにその発行の際にその取得勧誘が有価証券の募集に該当し、かつ、当該有価証券の募集に関し法第四条第一項の規定による届出又は法第二十三条の八第一項(法第二十七条において準用する場合を含む。)に規定する発行登録追補書類の提出が行われた有価証券を除く。以下この条において「同種の新規発行証券」という。)が発行されており、当該有価証券の取得勧誘を行う相手方(当該有価証券の取得勧誘を行う相手方が適格機関投資家であつて、当該有価証券が第一条の四に定める場合に該当するときは、当該適格機関投資家を除く。)の人数と当該六月以内に発行された同種の新規発行証券の取得勧誘を行つた相手方(当該同種の新規発行証券の取得勧誘を行つた相手方が適格機関投資家であつて、当該同種の新規発行証券が第一条の四に定める場合に該当するときは、当該適格機関投資家を除く。)の人数との合計が五十名以上となることとする。
Article 1-6 The requirement specified by Cabinet Order that is provided for in Article 2, paragraph (3), item (ii), (c) of the Act is that the other Securities specified by Cabinet Office Order as being Securities of the same type as the referenced Securities (excluding Securities for which the Solicitation of Offers to Acquire fell under the case set forth in Article 2, paragraph (3), item (ii), (a) of the Act and the case set forth in Article 2-12 at the time of issuance and Securities for which the Solicitation of Offers to Acquire fell under the category of a public offering of Securities at the time of its issuance and for which the notification under Article 4, paragraph (1) of the Act has been made or Supplements to Shelf Registration Documents prescribed in Article 23-8, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) have been submitted with regard to the public offering of those Securities; hereinafter referred to as the "Newly Issued Securities of the Same Type" in this Article) have been issued within six months prior to the day on which the relevant Securities are issued, and the total number of persons to which the Solicitation of Offers to Acquire those Securities is to be made (if the Solicitation of Offers to Acquire the Securities is made to Qualified Institutional Investors and the Securities fall under the cases specified in Article 1-4, the Qualified Institutional Investors are excluded from the total) and the persons to which the Solicitation of Offers to Acquire Newly Issued Securities of the Same Type which have been issued within six months prior to the day on which the relevant Securities are issued, has been made (if the Solicitation of Offers to Acquire the Newly Issued Securities of the Same Type is made to Qualified Institutional Investors and the Newly Issued Securities of the Same Type fall under the cases specified in Article 1-4, the Qualified Institutional Investors are excluded) is not less than 50 persons.
(取得勧誘において少人数向け勧誘に該当する場合)
(Cases in Which the Solicitation of Offers to Acquire Constitutes Solicitation to a Small Number of Investors)
第一条の七 法第二条第三項第二号ハに規定する政令で定める場合は、次に掲げる全ての要件に該当する場合とする。
Article 1-7 The cases specified by Cabinet Order that are provided for in Article 2, paragraph (3), item (ii), (c) of the Act are cases meeting all of the following requirements:
一 当該取得勧誘が特定投資家(法第二条第三十一項に規定する特定投資家をいう。以下同じ。)のみを相手方とし、かつ、五十名以上の者(当該者が適格機関投資家であつて、当該取得勧誘に係る有価証券が第一条の四に定める場合に該当するときは、当該者を除く。)を相手方として行う場合でないこと。
(i) the Solicitation of Offers to Acquire is not made only to Professional Investors (meaning Professional Investors as defined in Article 2, paragraph (31) of the Act; the same applies hereinafter) of which there are not less than 50 persons (if those persons are Qualified Institutional Investors and the Securities involved in the Solicitation of Offers to Acquire fall under the cases specified in Article 1-4, those persons are excluded);
二 次のイからハまでに掲げる有価証券の区分に応じ、当該イからハまでに定める要件に該当すること。
(ii) the requirements specified in the relevant of (a) to (c) below are satisfied for the category of Securities set forth in that item:
イ 株券等 次に掲げる全ての要件に該当すること。
(a) Share Certificates, etc.: All of the following requirements are satisfied:
(1) 当該株券等の発行者が、当該株券等と同一の内容(株式(優先出資法に規定する優先出資及び資産流動化法に規定する優先出資を含む。)若しくは出資に係る剰余金の配当、残余財産の分配、利益を用いて行う出資の消却又は優先出資法第十五条第一項(第二号に係る部分に限る。)の規定による優先出資の消却についての内容に限る。)を表示した株券等であつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
1. the issuer of the Share Certificates, etc. is not a person that has already issued Share Certificates, etc. indicating the same features as those Share Certificates, etc. (limited to features with regard to the payment of the dividends of surplus, distribution of residual assets, cancellation of equity by using profits, or the cancellation of preferred equity investment under Article 15, paragraph (1) of the Act on Preferred Equity Investment (limited to the part that involves item (ii)) which are related to shares (including preferred equity investment as provided in the Act on Preferred Equity Investment and the preferred equity set forth in the Asset Securitization Act) or equity) and that fall under any of the items of Article 24, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27 of the Act); and
(2) 当該株券等と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
2. what is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Certificates, etc. is not a Security for Professional Investors;
ロ 新株予約権証券等 次に掲げる全ての要件に該当すること。
(b) Share Option Certificates, etc.: All of the following requirements are satisfied:
(1) 当該新株予約権証券等に表示された権利の行使により取得され、引き受けられ、又は転換されることとなる株券の発行者並びに当該株券、新株予約権証券及び新投資口予約権証券がそれぞれイ(1)及び(2)に掲げる要件に該当すること。
1. the issuer of the share certificates that would be acquired, subscribed for or converted through the exercise of the rights indicated on the Share Option Certificates, etc., and the share certificates, share option certificates, and Investment Equity Subscription Right Certificates satisfy the requirements set forth in (a), 1. and 2. respectively;
(2) 当該新株予約権証券等(新株予約権証券及び新投資口予約権証券を除く。以下ロにおいて同じ。)の発行者が、当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
2. the issuer of the Share Option Certificates, etc. (excluding share option certificates and Investment Equity Subscription Right Certificates; hereinafter the same applies in (b)) is not a person that has already issued anything that is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Option Certificates, etc. and that falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
(3) 当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
3. what is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Option Certificates, etc. is not a Security for Professional Investors; and
(4) 当該新株予約権証券等(当該新株予約権証券等が新優先出資引受権付特定社債券である場合であつて、特定社債券と分離して新優先出資引受権のみを譲渡することができるときは、当該特定社債券及びこれとともに発行される新優先出資引受権証券)に、内閣府令で定める方式に従い、これを取得し又は買い付けた者(当該有価証券を取得し、又は買い付けた者が適格機関投資家であつて、当該新株予約権証券等が第一条の四に定める場合に該当するときは、当該適格機関投資家を除く。)が当該新株予約権証券等を一括して他の一の者に譲渡する場合以外の譲渡が禁止される旨の制限が付されていることその他これに準ずるものとして内閣府令で定める要件に該当すること。
4. a restriction has been placed on the Share Option Certificates, etc. (if those Share Option Certificates, etc. are Specified Corporate Bond Certificates with a Right to Subscribe for Preferred Equity and the Right to Subscribe for Preferred Equity may be transferred independently from the Specified Corporate Bond Certificates, the Specified Corporate Bond Certificate and the Certificate of a Right to Subscribe for Preferred Equity issued therewith), as per the formalities specified by Cabinet Office Order, prohibiting the person that has acquired or purchased the Share Option Certificates, etc. (if the person that has acquired or purchased the Share Option Certificates, etc. is a Qualified Institutional Investor and the Share Option Certificates, etc. fall under the cases specified in Article 1-4, that Qualified Institutional Investor is excluded) from transferring them unless doing so all at once to another single person, or the Share Option Certificates, etc. otherwise satisfy the requirements specified by Cabinet Office Order as being equivalent to this;
ハ イ及びロに掲げる有価証券以外の有価証券 次に掲げる全ての要件に該当すること。
(c) Securities other than the Securities set forth in (a) and (b): All of the following requirements are satisfied:
(1) 当該有価証券の発行者が、当該有価証券と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
1. the issuer of the Securities is not a person that has already issued anything that is specified by Cabinet Office Order as being a Security of the same type as the relevant Securities and that falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
(2) 当該有価証券と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
2. what is specified by Cabinet Office Order as being a Security of the same type as the relevant Securities is not a Security for Professional Investors; and
(3) ロに準じて内閣府令で定める要件に該当すること。
3. the Securities meet the requirements specified by Cabinet Office Order in accordance with (b).
(取得勧誘により相当程度多数の者が所有する場合)
(Cases in Which Securities Come to Be Owned by a Considerably Large Number of Persons through a Solicitation of Offers to Acquire)
第一条の七の二 法第二条第三項第三号に規定する政令で定める場合は、その取得勧誘に係る有価証券を五百名以上の者が所有することとなる取得勧誘を行う場合とする。
Article 1-7-2 The case specified by Cabinet Order that is provided for in Article 2, paragraph (3), item (iii) of the Act is a case in which the relevant person conducts Solicitation of Offers to Acquire that causes not less than 500 persons to own the Securities related to that Solicitation of Offers to Acquire.
(有価証券の売出しに該当しない有価証券の取引)
(Transactions of Securities Which Are Not Secondary Distributions of Securities)
第一条の七の三 法第二条第四項及び第六項に規定する政令で定める有価証券の取引は、次の各号のいずれかに該当する取引とする。
Article 1-7-3 The transactions of Securities specified by Cabinet Order that are provided for in Article 2, paragraphs (4) and (6) of the Act are transactions falling under any of the following items:
一 取引所金融商品市場における有価証券の売買
(i) the purchase and sale of Securities on a Financial Instruments Exchange Market;
二 店頭売買有価証券市揚(法第六十七条第二項に規定する店頭売買有価証券市場をいう。以下同じ。)における有価証券の売買
(ii) the purchase and sale of Securities on an Over-the-Counter Securities Market (meaning Over-the-Counter Securities Market as defined in Article 67, paragraph (2) of the Act; the same applies hereinafter);
三 法第二条第八項第十号に掲げる行為による有価証券(金融商品取引所に上場されているもの又は店頭売買有価証券(同号ハに規定する店頭売買有価証券をいう。以下同じ。)に限る。)の売買(当該有価証券が特定上場有価証券(同条第三十三項に規定する特定上場有価証券をいう。以下同じ。)である場合にあつては、特定投資家等のみを当事者として行われるものに限る。)
(iii) the purchase and sale of Securities (limited to those listed on a Financial Instruments Exchange or Over-the-Counter Traded Securities (meaning Over-the-Counter Traded Securities as defined in Article 2, paragraph (8), item (x), (c) of the Act; the same applies hereinafter)) through the acts set forth in Article 2, paragraph (8), item (x) of the Act (if the Securities are Specified Listed Securities (meaning Specified Listed Securities as defined in Article 2, paragraph (33) of the Act; the same applies hereinafter), limited to a purchase and sale to which only Professional Investors, etc. are party);
四 金融商品取引業者等又は特定投資家が他の金融商品取引業者等又は特定投資家と行う取引所金融商品市場によらないで行う有価証券(法第二十四条第一項第一号に掲げる有価証券に該当するものに限る。)の売買のうち、当該有価証券の公正な価格形成及び流通の円滑を図るために行うものであつて、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基礎として取引状況を勘案した適正な価格で行うもの
(iv) the purchase and sale of Securities (limited to Securities that fall under Article 24, paragraph (1), item (i) of the Act) conducted by a Financial Instruments Business Operator, etc. or Professional Investor with another Financial Instruments Business Operator, etc. or Professional Investor without relying on a Financial Instruments Exchange Market at an appropriate price considering the circumstances surrounding securities transactions based on the trading price of the Securities on a Financial Instruments Exchange Market for the formation of a fair price and facilitation of smooth distribution of the Securities;
五 法第五十八条の二ただし書の規定により外国証券業者が金融商品取引業者等又は適格機関投資家に対して行う外国で既に発行された当該有価証券(第二条の十二の二に規定する有価証券を含み、売付け勧誘等(法第二条第四項に規定する売付け勧誘等をいう。以下同じ。)のうち同項第二号イからハまでに掲げる場合に該当するもの又は組織再編成交付手続(法第二条の二第三項に規定する組織再編成交付手続をいう。以下同じ。)のうち法第二条の二第五項第二号イ若しくはロに掲げる場合に該当するものが行われていないものに限る。次号及び第一条の八の四第四号において「譲渡制限のない海外発行証券」という。)の売付け
(v) the selling of the relevant Securities, which have already been issued in a foreign state by a Foreign Securities Services Provider pursuant to the provisions of the proviso to Article 58-2 of the Act to a Financial Instruments Business Operator, etc. or Qualified Institutional Investor (including Securities prescribed in Article 2-12-2, limited to Solicitation of Offers to Sell, etc. (meaning Solicitation of Offers to Sell, etc. as defined in Article 2, paragraph (4) of the Act; the same applies hereinafter) falling under the cases specified in Article 2, paragraph (4), item (ii), (a) to (c) or Procedures Relating to Securities Delivery for Reorganization (meaning Procedures Related to the Delivery of Securities During a Reorganization as defined in Article 2-2, paragraph (3) of the Act; the same applies hereinafter) falling under the case specified in Article 2-2, paragraph (5), item (ii), (a) or (b) which have not been conducted; referred to as "Foreign Securities with No Restriction on Transfer" in the following Article and Article 1-8-4, item (iv));
六 譲渡制限のない海外発行証券を取得した金融商品取引業者等又は適格機関投資家(以下この号において「売付け金融商品取引業者等」という。)による他の金融商品取引業者等(当該譲渡制限のない海外発行証券を他の者に取得させる目的で買い付ける者に限る。以下この号において「買付け金融商品取引業者等」という)に対する当該譲渡制限のない海外発行証券の売付け(売付け金融商品取引業者等又は買付け金融商品取引業者等が認可金融商品取引業協会(金融庁長官が指定する一の認可金融商品取引業協会に限る。以下この号及び第一条の八の四第四号において同じ。)の会員である売付けに限る。)であつて、当該売付け金融商品取引業者等(当該売付け金融商品取引業者等が認可金融商品取引業協会の会員でない場合には、当該買付け金融商品取引業者等)より当該譲渡制限のない海外発行証券の銘柄、数その他の内閣府令で定める事項が認可金融商品取引業協会に報告されるもの
(vi) the Selling of Foreign Securities with No Restriction on Transfer by the Financial Instruments Business Operator, etc. or Qualified Institutional Investor that has acquired them (hereinafter referred to as "Selling Financial Instruments Business Operator, etc." in this item) to another Financial Instruments Business Operator, etc. (limited to one purchasing the Foreign Securities with No Restriction on Transfer for the purpose of having them acquired by other persons; hereinafter referred to as "Purchasing Financial Instruments Business Operator, etc." in this item) (limited to sales by a Selling Financial Instruments Business Operator, etc. or Purchasing Financial Instruments Business Operator, etc. that is a member of an Authorized Financial Instruments Firms Association (limited to an Authorized Financial Instruments Firms Association designated by the Commissioner of the Financial Services Agency; hereinafter the same applies in this item and Article 1-8-4, item (iv))), in which the issues, number and other particulars of those Foreign Securities with No Restriction on Transfer specified by Cabinet Office Order is reported by the Selling Financial Instruments Business Operator, etc. (if the Selling Financial Instruments Business Operator, etc. is not a member of an Authorized Financial Instruments Firms Association, the Purchasing Financial Instruments Business Operator, etc.) to the Authorized Financial Instruments Firms Association;
七 取得勧誘のうち法第二条第三項第二号イからハまでに掲げる場合に該当するもの、売付け勧誘等のうち同条第四項第二号イからハまでに掲げる場合に該当するもの、組織再編成発行手続のうち法第二条の二第四項第二号イ若しくはロに掲げる場合に該当するもの又は組織再編成交付手続のうち同条第五項第二号イ若しくはロに掲げる場合に該当するものが行われていない有価証券(以下この号及び次号において「譲渡制限のない有価証券」という。)であつて、次に掲げる者以外の者が所有するものの売買
(vii) the purchase and sale of Securities for which Solicitation of Offers to Acquire falling under the cases specified in Article 2, paragraph (3), item (ii), (a) to (c) of the Act, Solicitation of Offers to Sell, etc. falling under the cases specified in Article 2, paragraph (4), item (ii), (a) to (c) of the Act, Procedures Related to the Issuance of Securities During a Reorganization falling under the cases specified in Article 2-2, paragraph (4), item (ii), (a) or (b) of the Act or Procedures Related to the Delivery of Securities During a Reorganization falling under the cases specified in Article 2-2, paragraph (5), item (ii), (a) or (b) of the Act have not been conducted (hereinafter referred to as "Securities with No Restriction on Transfer" in this item and the following item) and owned by a person other than the following persons:
イ 当該譲渡制限のない有価証券の発行者
(a) the Issuer of the Securities with No Restriction on Transfer;
ロ 当該譲渡制限のない有価証券の発行者である法人(外国法人を含む。以下この号において同じ。)の役員(取締役、執行役、会計参与及び監査役(理事及び監事その他これらに準ずる者を含む。)をいう。以下この号において同じ。)又は発起人その他これに準ずる者(当該法人の設立後に当該法人の役員又は株主その他の構成員のいずれにも該当しない期間があり、かつ、当該期間が連続して五年を超える場合の発起人その他これに準ずる者を除く。)
(b) an Officer (meaning a director, executive officer, accounting advisor and company auditor (including board members, auditors and persons equivalent thereto); hereinafter the same applies in this item) or incorporator of the corporation (including foreign corporation; hereinafter the same applies in this item) that is the Issuer of the Securities with No Restriction on Transfer or any other person equivalent thereto (excluding the incorporator and any other person equivalent thereto, if there was a period during which that person was not the officer, shareholder, or other member of that corporation after its establishment, and that period exceeds five continuous years);
ハ 当該譲渡制限のない有価証券の発行者である法人の主要株主(法第百六十三条第一項に規定する主要株主をいう。以下ハにおいて同じ,)又は当該主要株主(法人である場合に限る。)の役員若しくは発起人その他これに準ずる者(当該主要株主である法人の設立後に当該法人の役員又は株主その他の構成員のいずれにも該当しない期間があり、かつ、当該期間が連続して五年を超える場合の発起人その他これに準ずる者を除く。)
(c) a Major Shareholder (meaning a Major Shareholder as defined in Article 163, paragraph (1) of the Act; hereinafter the same applies in (c)) of the corporation that is the Issuer of the Securities with No Restriction on Transfer or an officer or incorporator of the Major Shareholder (limited to cases in which the Major Shareholder is a corporation) or any other person equivalent thereto (excluding the incorporator and any other person equivalent thereto, if there was a period during which that person was not the officer, shareholder, or other member of the corporation that constitutes that Major Shareholder after its establishment, and that period exceeds five continuous years);
ニ 当該譲渡制限のない有価証券の発行者である法人の子会社等(法第二十九条の四第四項に規定する子会社その他これに準ずる法人をいう。以下ニにおいて同じ。)又は当該子会社等の役員若しくは発起人その他これに準ずる者(当該子会社等の設立後に当該子会社等の役員又は株主その他の構成員のいずれにも該当しない期間があり、かつ、当該期間が連続して五年を超える場合の発起人その他これに準ずる者を除く。)
(d) a Subsidiary Company, etc. (meaning Subsidiary Company as defined in Article 29-4, paragraph (4) of the Act or any other corporation equivalent thereto; hereinafter the same applies in (d)) of the corporation that is the Issuer of the Securities with No Restriction on Transfer, or an officer or incorporator of that Subsidiary Company, etc. or any other person equivalent thereto (excluding the incorporator and any other person equivalent thereto, if there was a period during which that person was not the officer, shareholder, or other member of that Subsidiary Company, etc. after its establishment, and that period exceeds five continuous years); or
ホ 金融商品取引業者等
(e) a Financial Instruments Business Operator, etc.;
八 譲渡制限のない有価証券の売買(当該売買の当事者の双方が前号イからホまでに掲げる者であるもの(当該当事者の双方が同号ホに掲げる者であるものを除く。)に限る。)
(viii) the purchase and sale of Securities with No Restriction on Transfer (limited to those in which both parties to the purchase and sale are persons set forth in (a) to (e) of the preceding item (excluding those in which both parties are persons specified in (e) of that item));
九 有価証券(社債券その他の内閣府令で定める有価証券に限る。)に係る買戻又は売戻条件付売買であつて、買戻又は売戻価格及び買戻しの日又は売戻しの日があらかじめ定められているもの
(ix) a purchase and sale of Securities (limited to corporate bond certificates and other Securities specified by Cabinet Office Order) on condition of repurchase or resale in which the repurchase price or resale price and the repurchase date or resale date are set in advance;
十 発行者又は当該発行者に対する当該有価証券の売付けを行おうとする者(当該者に対する当該有価証券の売付けを行おうとする者を含む。)に対する当該有価証券の売付け
(x) the selling of Securities to the Issuer or a person that seeks to sell the Securities to the Issuer (including those that seek to sell the Securities to that person); or
十一 金融商品取引業者等が顧客のために取引所金融商品市場又は外国金融商品市場(法第二条第八項第三号ロに規定する外国金融商品市場をいう。以下同じ。)における有価証券の売買の取次ぎを行うことに伴う有価証券の売買
(xi) the purchase and sale of Securities associated with the brokering of the purchase and sale of Securities by a Financial Instruments Business Operator, etc. for a customer in a Financial Instruments Exchange Market or Foreign Financial Instruments Market (meaning Foreign Financial Instruments Market as defined in Article 2, paragraph (8), item (iii), (b) of the Act; the same applies hereinafter).
(売付け勧誘等において適格機関投資家以外の者に譲渡されるおそれが少ない場合)
(Cases in Which the Relevant Securities Are Not Likely to Be Transferred to Persons Other Than Qualified Institutional Investors through the Solicitation of Offers to Sell)
第一条の七の四 法第二条第四項第一号に規定する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並びに同項第二号イ及び法第二条の二第五項第二号イに規定する政令で定める場合は、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とする。
Article 1-7-4 The case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being transferred as prescribed in Article 2, paragraph (4), item (i) of the Act, and the case specified by Cabinet Order that is provided for in the provisions of Article 2, paragraph (4), item (ii), (a) and Article 2-2, paragraph (5), item (ii), (a) of the Act mean a case as specified in the following items according to the category of Securities set forth in that item:
一 株券等 次に掲げる全ての要件に該当する場合
(i) Share Certificates, etc.: a case meeting all of the following requirements:
イ 当該株券等の発行者が、当該株券等と同一の内容(株式(優先出資法に規定する優先出資及び資産流動化法に規定する優先出資を含む。)若しくは出資に係る剰余金の配当、残余財産の分配、利益を用いて行う出資の消却又は優先出資法第十五条第一項(第二号に係る部分に限る。)の規定による優先出資の消却についての内容に限る。)を表示した株券等であつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
(a) the issuer of the Share Certificates, etc. is not a person that has already issued Share Certificates, etc. indicating the same features as those Share Certificates, etc. (limited to features with regard to the payment of the dividends of surplus, distribution of residual assets, cancellation of equity by using profits, or the cancellation of preferred equity investment under Article 15, paragraph (1) of the Act on Preferred Equity Investment (limited to the part that involves item (ii)) which are related to shares (including preferred equity investment as provided in the Act on Preferred Equity Investment and the preferred equity set forth in the Asset Securitization Act) or equity) and which fall under any of the items of Article 24, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27 of the Act);
ロ 当該株券等と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
(b) what is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Certificates, etc. is not a Security for Professional Investors; and
ハ 当該株券等を取得した者が当該株券等を適格機関投資家以外の者に譲渡を行わない旨を定めた譲渡に係る契約を締結することを取得の条件として、売付け勧誘等又は組織再編成交付手続が行われること。
(c) the Offer to Sell, etc. is made or Procedures Related to the Delivery of Securities During a Reorganization are taken in a way that makes the acquisition of the Share Certificates, etc. conditional upon the conclusion of a contract for their transfer which provides that the person acquiring the Share Certificates, etc. will not transfer them to a person other than a Qualified Institutional Investor;
二 新株予約権証券等 次に掲げる全ての要件に該当する場合
(ii) Share Option Certificates, etc.: a case meeting all of the following requirements:
イ 当該新株予約権証券等に表示された権利の行使により取得され、引き受けられ、又は転換されることとなる株券の発行者並びに当該株券、新株予約権証券及び新投資口予約権証券がそれぞれ前号イ及びロに掲げる要件に該当すること。
(a) the issuer of the share certificates that would be acquired, subscribed for or converted through the exercise of the rights indicated on the Share Option Certificates, etc., and the share certificates, share option certificates, and Investment Equity Subscription Right Certificates satisfy the requirements set forth in (a) and (b) respectively, of the preceding item;
ロ 当該新株予約権証券等(新株予約権証券及び新投資口予約権証券を除く。以下ロ及びハにおいて同じ。)の発行者が、当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
(b) the issuer of the Share Option Certificates, etc. (excluding share option certificates and Investment Equity Subscription Right Certificates; hereinafter the same applies in (b) and (c)) is not a person that has already issued anything specified by Cabinet Office Order as being a Security of the same type as the relevant Share Option Certificates, etc. and that falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
ハ 当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
(c) what is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Option Certificates, etc. is not a Security for Professional Investors; and
ニ 当該新株予約権証券等(当該新株予約権証券等が新優先出資引受権付特定社債券である場合であつて、特定社債券と分離して新優先出資引受権のみを譲渡することができるときは、当該特定社債券及びこれとともに発行される新優先出資引受権証券)に、内閣府令で定める方式に従い、これを取得し、又は買い付けた者が当該新株予約権証券等を適格機関投資家に譲渡する場合以外の譲渡が禁止される旨の制限が付されていることその他当該新株予約権証券等がこれに準ずるものとして内閣府令で定める要件に該当すること。
(d) a restriction has been placed on the Share Option Certificates, etc. (if those Share Option Certificates, etc. are Specified Corporate Bond Certificates with a Right to Subscribe for Preferred Equity and the Right to Subscribe for Preferred Equity may be transferred independently from the Specified Corporate Bond Certificates, the Specified Corporate Bond Certificates and the Certificate of a Right to Subscribe for Preferred Equity issued therewith), as per the formalities specified by Cabinet Office Order, prohibiting the person that has acquired or purchased the Share Option Certificates, etc. from transferring them other than to a Qualified Institutional Investor, or the Share Option Certificates, etc. otherwise satisfy the requirements specified by Cabinet Office Order as being equivalent to this;
三 前二号に掲げる有価証券以外の有価証券 次に掲げる全ての要件に該当する場合
(iii) Securities other than the Securities set forth in the preceding two items: a case meeting all of the following requirements:
イ 当該有価証券の発行者が、当該有価証券と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
(a) the issuer of the Securities is not a person that has already issued anything specified by Cabinet Office Order as being a Security of the same type as the relevant Securities which falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
ロ 当該有価証券と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
(b) what is specified by Cabinet Office Order as being a Security of the same type as the relevant Securities is not a Security for Professional Investors; and
ハ 前号に準じて内閣府令で定める要件に該当すること。
(c) the Securities meet the requirements specified by Cabinet Office Order in accordance with the preceding item.
(多数の者を相手方とする場合)
(Cases in Which a Large Number of Persons Are the Other Parties to a Transaction)
第一条の八 法第二条第四項第一号に規定する多数の者を相手方として行う場合として政令で定める場合は、五十名以上の者を相手方として行う場合とする。
Article 1-8 The cases specified by Cabinet Order as those in which the transaction is conducted with a large number of persons as the other parties thereto as provided in Article 2, paragraph (4), item (i) of the Act are cases in which the Solicitation of Offers to Acquire is conducted with not less than 50 persons as the other parties thereto.
(売付け勧誘等において特定投資家等以外の者に譲渡されるおそれが少ない場合)
(Cases in Which the Relevant Securities Are Not Likely to Be Transferred to Persons Other Than Professional Investors through an Offer to Sell)
第一条の八の二 法第二条第四項第二号ロ(2)に規定する政令で定める場合は、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とする。
Article 1-8-2 The cases specified by Cabinet Order that are provided for in Article 2, paragraph (4), item (ii), (b), 2. of the Act are a case as specified in the relevant of the following items for the category of Securities set forth in those items:
一 株券等 次に掲げるすべての要件に該当する場合
(i) Share Certificates, etc.: a case meeting all of the following requirements:
イ 当該株券等と同一種類の有価証券として内閣府令で定めるものが法第二十四条第一項各号(法第二十七条において準用する場合を含む。)に掲げる有価証券のいずれにも該当しないこと。
(a) what is specified by Cabinet Office Order as being a Security of the same type as those Share Certificates, etc. does not fall under the category of any of the Securities set forth in the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act); and
ロ 当該株券等の売付け勧誘等を行う者と当該売付け勧誘等に応じて当該株券等の買付けを行おうとする者(以下この号において「買付者」という。)との間において、当該買付者が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を行わない旨その他の内閣府令で定める事項を定めた譲渡に係る契約を締結することを買付けの条件として、売付け勧誘等が行われること。
(b) the Offer to Sell, etc. is made in a way that makes the purchase of the Share Certificates, etc. conditional upon the conclusion of a contract for their transfer between the person making the Offer to Sell, etc. the Share Certificates, etc. and the person seeking to purchase those Share Certificates, etc. in response to the Offer to Sell, etc. them (hereinafter such a person is referred to as the "Purchaser" in this item) which provides that the Purchaser will not transfer the Share Certificates, etc. purchased thereby to a person other than a Professional Investor, etc., and prescribes any other particulars specified by Cabinet Office Order; or
二 新株予約権証券等 次に掲げるすべての要件に該当する場合
(ii) Share Option Certificates, etc.: a case meeting all of the following requirements:
イ 当該新株予約権証券等に表示された権利の行使により取得され、引き受けられ、又は転換されることとなる株券が前号イに掲げる要件に該当すること。
(a) the share certificates that would be acquired, subscribed for or converted through the exercise of the rights indicated on the Share Option Certificates, etc. satisfy the requirements set forth in (a) of the preceding item; and
ロ 当該新株予約権証券等(当該新株予約権証券等が新優先出資引受権付特定社債券である場合であつて、特定社債券と分離して新優先出資引受権のみを譲渡することができるときは、当該特定社債券及びこれとともに発行される新優先出資引受権証券。以下この号において同じ。)の売付け勧誘等を行う者と当該売付け勧誘等に応じて当該新株予約権証券等の買付けを行おうとする者(以下この号において「買付者」という。)との間において、当該買付者が買い付けた当該新株予約権証券等を特定投資家等以外の者に譲渡を行わない旨その他の内閣府令で定める事項を定めた譲渡に係る契約を締結することを買付けの条件として、売付け勧誘等が行われること。
(b) the Offer to Sell, etc. is made in a way that makes the purchase of the Share Option Certificates, etc. conditional upon the conclusion of a contract for their transfer between the person making the Offer to Sell, etc. the Share Option Certificates, etc. (or, if the Share Option Certificates, etc. are Specified Corporate Bond Certificates with Rights to Subscribe for Preferred Equity and the Rights to Subscribe for Preferred Equity may be transferred independently from the Specified Corporate Bond Certificates, the Specified Corporate Bond Certificate and the Certificate of a Right to Subscribe for Preferred Equity issued therewith; hereinafter the same applies in this item) and the person seeking to purchase those Share Option Certificates, etc. in response to the Offer to Sell, etc. them (hereinafter such a person is referred to as the "Purchaser" in this item) which provides that the Purchaser will not transfer the Share Option Certificates, etc. purchased thereby to a person other than a Professional Investor, etc., and prescribes any other particulars specified by Cabinet Office Order; and
三 前二号に掲げる有価証券以外の有価証券 前号に準じて内閣府令で定める要件に該当すること。
(iii) Securities other than the Securities set forth in the preceding two items: the Securities meet the requirements specified by Cabinet Office Order in accordance with the preceding item.
(売付け勧誘等が少人数向け勧誘に該当しないための要件)
(Requirements for an Offer to Sell Not to Constitute Solicitation to a Small Number of Investors)
第一条の八の三 法第二条第四項第二号ハに規定する政令で定める要件は、当該有価証券の売付け勧誘等が行われる口以前一月以内に、当該有価証券と同一種類の有価証券として内閣府令で定める他の有価証券(次に掲げる有価証券を除く。以下この条において「同種の既発行証券」という。)の売付け勧誘等(第一条の七の三各号に掲げる取引を除く。以下この条において同じ。)が行われており、当該有価証券の売付け勧誘等を行う相手方(当該有価証券の売付け勧誘等を行う相手方が適格機関投資家であつて、当該有価証券が第一条の七の四に定める場合に該当するときは、当該適格機関投資家を除く。)の人数と当該一月以内に売付け勧誘等が行われた同種の既発行証券の売付け勧誘等を行つた相手方(当該同種の既発行証券の売付け勧誘等を行つた相手方が適格機関投資家であつて、当該同種の既発行証券が第一条の七の四に定める場合に該当するときは、当該適格機関投資家を除く、)の人数との合計が五十名以上となることとする。
Article 1-8-3 The requirement specified by Cabinet Order that is provided for in Article 2, paragraph (4), item (ii), (c) of the Act is that the Offer to Sell, etc. (excluding transactions referred to in the items of Article 1-7-3; hereinafter the same applies in this Article) other Securities specified by Cabinet Office Order as being of the same type as the relevant Securities (excluding the following Securities; hereinafter referred to as "Already Issued Securities of the Same Type" in this Article) has been made within one month prior to the day on which the Offer to Sell, etc. the relevant Securities is made, and the total number of persons to which the Offer to Sell, etc. the relevant Securities is to be made (if the Offer to Sell, etc. the Securities is made to Qualified Institutional Investors and the Securities fall under the cases specified in Article 1-7-4, the Qualified Institutional Investors are excluded) and the persons to which the Offer to Sell, etc. Already Issued Securities of the Same Type has been made within one month prior to the day on which the Offer to Sell, etc. of the Securities is made (if the Offer to Sell, etc. Already Issued Securities of the Same Type is made to Qualified Institutional Investors and the Already Issued Securities of the Same Type fall under the cases specified in Article 1-7-4, the Qualified Institutional Investors are excluded) is not less than 50 persons:
一 その売付け勧誘等の際にその売付け勧誘等が法第二条第四項第二号イに掲げる場合に該当するものであつた有価証券
(i) Securities for which the Offer to Sell, etc. fell under the case set forth in Article 2, paragraph (4), item (ii), (a) of the Act at the time of the Offer to Sell, etc. them;
二 その売付け勧誘等の際にその売付け勧誘等が第二条の十二に規定する場合に該当するものであつた有価証券
(ii) Securities for which the Offer to Sell, etc. fell under the case set forth in Article 2-12 at the time of the Offer to Sell, etc. them;
三 その売付け勧誘等の際にその売付け勧誘等が有価証券の売出しに該当し、かつ、当該有価証券の売出しに関し法第四条第一項の規定による届出又は法第二十三条の八第一項(法第二十七条において準用する場合を含む。)に規定する発行登録追補書類の提出が行われた有価証券
(iii) Securities for which the Offer to Sell, etc. corresponded to a Secondary Distribution of Securities at the time of the Offer to Sell, etc. them, and with regard which a notification under Article 4, paragraph (1) of the Act has been given or the Supplements to Shelf Registration Documents defined in Article 23-8, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) have been submitted for that Secondary Distribution of Securities;
四 その売付け勧誘等の際にその売付け勧誘等が法第二十七条の三十二の二第一項に規定する外国証券売出しに該当し、かつ、同項の規定により外国証券情報(同項に規定する外国証券情報をいう。以下同じ。)の提供又は公表が行われた有価証券(同項ただし書の規定に該当する有価証券を含む。)
(iv) Securities for which the Offer to Sell, etc. corresponded to a Secondary Distribution of Foreign Securities prescribed in Article 27-32-2, paragraph (1) of the Act at the time of the Offer to Sell, etc. them, and for which Foreign Securities Information (meaning Foreign Securities Information as defined in that paragraph; the same applies hereinafter) was provided or publicized pursuant to the provisions of that paragraph (including Securities falling under the provisions of the proviso to that paragraph).
(売付け勧誘等において少人数向け勧誘に該当する場合)
(Cases in Which an Offer to Sell Constitutes Solicitation to a Small Number of Investors)
第一条の八の四 法第二条第四項第二号ハに規定する政令で定める場合は、次に掲げる全ての要件に該当する場合とする。
Article 1-8-4 The cases specified by Cabinet Order that are provided for in Article 2, paragraph (4), item (ii), (c) of the Act are cases meeting all of the following requirements:
一 当該売付け勧誘等が特定投資家のみを相手方とし、かつ、五十名以上の者(当該者が適格機関投資家であつて、当該売付け勧誘等に係る有価証券が第一条の七の四に定める場合に該当するときは、当該者を除く。)を相手方として行う場合でないこと。
(i) the Offer to Sell, etc. is not made only to Professional Investors, and it is not a case in which 50 or more persons (if those persons are Qualified Institutional Investors and the Securities involved in the Offer to Sell, etc. fall under the cases specified in Article 1-7-4, those persons are excluded) are the other parties to the Offer to Sell, etc.;
二 第一条の七第二号に掲げる要件に該当する有価証券の売付け勧誘等を行う場合は、当該要件に従つて行うものであること。
(ii) if an Offer to Sell, etc. Securities satisfying the requirements specified in Article 1-7, item (ii) is being made, the Offer to Sell, etc. is carried out in accordance with those requirements;
三 前号に規定する有価証券以外の有価証推の売付け勧誘等を行う場合は、次のイからハまでに掲げる有価証券の区分に応じ、当該イからハまで定める要件に該当すること。
(iii) if an Offer to Sell, etc. Securities other than the Securities set forth in the preceding item is being made, the requirements specified in the relevant of (a) to (c) below are satisfied for the category of Securities set forth in (a) to (c):
イ 株券等 次に掲げる全ての要件に該当すること。
(a) Share Certificates, etc.: All of the following requirements are satisfied:
(1) 当該株券等の発行者が、当該株券等と同一の内容(株式(優先出資法に規定する優先出資及び資産流動化法に規定する優先出資を含む。)若しくは出資に係る剰余金の配当、残余財産の分配、利益を用いて行う出資の消却又は優先出資法第十五条第一項(第二号に係る部分に限る。)の規定による優先出資の消却についての内容に限る。)を表示した株券等であつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
1. the issuer of the Share Certificates, etc. is not a person that has already issued Share Certificates, etc. indicating the same features as those Share Certificates, etc. (limited to features with regard to the payment of the dividends of surplus, distribution of residual assets, cancellation of equity by using profits, or the cancellation of preferred equity investment under Article 15, paragraph (1) of the Act on Preferred Equity Investment (limited to the part that involves item (ii)) which are related to shares (including preferred equity investment as provided in the Act on Preferred Equity Investment and the preferred equity set forth in the Asset Securitization Act) or equity) which fall under any of the items of Article 24, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27 of the Act);
(2) 当該株券等と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
2. what is specified by Cabinet Office Order as being a Security of the same type as those Share Certificates, etc. is not a Security for Professional Investors;
ロ 新株予約権証券等 次に掲げる全ての要件に該当すること。
(b) Share Option Certificates, etc.: All of the following requirements are satisfied:
(1) 当該新株予約権証券等に表示された権利の行使により取得され、引き受けられ、又は転換されることとなる株券の発行者並びに当該株券、新株予約権証券及び新投資口予約権証券がそれぞれイ(1)及び(2)に掲げる要件に該当すること。
1. the issuer of the share certificates that would be acquired, subscribed for or converted through the exercise of the rights indicated on the Share Option Certificates, etc., and the share certificates, share option certificates, and Investment Equity Subscription Right Certificates satisfy the requirements set forth in (a), 1. and 2. respectively;
(2) 当該新株予約権証券等(新株予約権証券及び新投資口予約権証券を除く。以下ロにおいて同じ。)の発行者が、当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
2. the issuer of the Share Option Certificates, etc. (excluding share option certificates and Investment Equity Subscription Right Certificates; hereinafter the same applies in (b)) is not a person that has already issued anything specified by Cabinet Office Order as being a Security of the same type as those Share Option Certificates, etc. and that falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
(3) 当該新株予約権証券等と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
3. what is specified by Cabinet Office Order as being a Security of the same type as the relevant Share Option Certificates, etc. is not a Security for Professional Investors; and
(4) 当該新株予約権証券等(当該新株予約権証券等が新優先出資引受権付特定社債券である場合であつて、特定社債券と分離して新優先出資引受権のみを譲渡することができるときは、当該特定社債券及びこれとともに発行される新優先出資引受権証券)に、内閣府令で定める方式に従い、これを取得し又は買い付けた者(当該有価証券を取得し、又は買い付けた者が適格機関投資家であつて、当該新株予約権証券等が第一条の四に定める場合に該当するときは、当該適格機関投資家を除く。)が当該新株予約権証券等を一括して他の一の者に譲渡する場合以外の譲渡が禁止される旨の制限が付されていることその他これに準ずるものとして内閣府令で定める要件に該当すること。
4. a restriction has been placed on the Share Option Certificates, etc. (if those Share Option Certificates, etc. are Specified Corporate Bond Certificates with a Right to Subscribe for Preferred Equity and the Right to Subscribe for Preferred Equity may be transferred independently from the Specified Corporate Bond Certificates, the Specified Corporate Bond Certificate and the Certificate of a Right to Subscribe for Preferred Equity issued therewith), as per the formalities specified by Cabinet Office Order, prohibiting the person that has acquired or purchased the Share Option Certificates, etc. (if the person that has acquired or purchased the Share Option Certificates, etc. is a Qualified Institutional Investor and the Share Option Certificates, etc. fall under the cases specified in Article 1-4, that Qualified Institutional Investor is excluded) from transferring the Share Option Certificates, etc. unless they are transferred all at once to another single person, or those Share Option Certificates, etc. otherwise satisfy the requirements specified by Cabinet Office Order as being equivalent to this;
ハ イ及びロに掲げる有価証券以外の有価証券 次に掲げる全ての要件に該当する場合
(c) Securities other than the Securities set forth in (a) and (b): a case meeting all of the following requirements:
(1) 当該有価証券の発行者が、当該有価証券と同一種類の有価証券として内閣府令で定めるものであつて法第二十四条第一項各号(法第二十七条において準用する場合を含む。)のいずれかに該当するものを既に発行している者でないこと。
1. the issuer of the Securities is not a person that has already issued anything specified by Cabinet Office Order as being a Security of the same type as those Securities and that falls under any of the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act);
(2) 当該有価証券と同一種類の有価証券として内閣府令で定めるものが特定投資家向け有価証券でないこと。
2. what is specified by Cabinet Office Order as being a Security of the same type as the relevant Securities is not a Security for Professional Investors; and
(3) ロに準じて内閣府令で定める要件に該当すること。
3. the Securities meet the requirements specified by Cabinet Office Order in accordance with (b);
四 譲渡制限のない海外発行証券の売付け勧誘等を行う場合は、次に掲げる全ての要件に該当すること。
(iv) if an Offer to Sell, etc. Foreign Securities with No Restriction on Transfer is being made, all of the following requirements are satisfied:
イ 金融商品取引業者等(認可金融商品取引業協会の会員に限る。)が譲渡制限のない海外発行証券の売付け勧誘等を行つた場合には、当該譲渡制限のない海外発行証券の銘柄、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して内閣府令で定めるところにより算出した数(以下この号において「所有者数」という。)その他内閣府令で定める事項を認可金融商品取引業協会の規則の定めるところにより当該認可金融商品取引業協会に報告することとされていること。
(a) it has been established that, if a Financial Instruments Business Operator, etc. (limited to a member of an Authorized Financial Instruments Firms Association) has made an Offer to Sell, etc. Foreign Securities with No Restriction on Transfer, the issues of the Foreign Securities with No Restriction on Transfer, the number calculated according to the provisions of Cabinet Office Order as the number of persons that acquired and currently hold those Foreign Securities with No Restriction on Transfer through the Offer to Sell, etc. (hereinafter referred to as "Number of Holders" in this item) and other particulars specified by Cabinet Office Order will be reported to the Authorized Financial Instruments Firms Association pursuant to the rules of the Authorized Financial Instruments Firms Association;
ロ イに規定する報告を受けた認可金融商品取引業協会は、当該認可金融商品取引業協会の規則の定めるところにより、譲渡制限のない海外発行証券の銘柄ごとの所有者数の総数を算出し、公表することとされていること。
(b) it has been established that an Authorized Financial Instruments Firms Association receiving a report as prescribed in (a) will calculate and publicize the total Number of Holders with respect to each issue of Foreign Securities with No Restriction on Transfer pursuant to the rules of the Authorized Financial Instruments Firms Association;
ハ イの譲渡制限のない海外発行証券の銘柄ごとの所有者数の総数が千を超えないものであること。
(c) the total Number of Holders for each issue of Foreign Securities with No Restriction on Transfer referred to in (a) will not exceed one thousand.
(売付け勧誘等により相当程度多数の者が所有する場合)
(Cases in Which Securities Are Held by a Considerably Large Number of Persons through an Offer to Sell)
第一条の八の五 法第二条第四項第三号に規定する政令で定める場合は、その売付け勧誘等に応じることにより、当該売付け勧誘等に係る有価証券を五百名以上の者が所有することとなる場合とする。
Article 1-8-5 The case specified by Cabinet Order that is provided for in Article 2, paragraph (4), item (iii) of the Act is a case in which the Securities connected with an Offer to Sell, etc. will come to be held by not less than 500 persons that have responded to that Offer to Sell, etc.
(金融商品取引業から除かれるもの)
(Acts Excluded from Consideration as Financial Instruments Business)
第一条の八の六 法第二条第八項に規定する政令で定めるものは、次に掲げるものとする。
Article 1-8-6 (1) The acts specified by Cabinet Order that are provided for in Article 2, paragraph (8) of the Act are as follows:
一 次に掲げる者が行う法第二条第八項各号に掲げる行為
(i) the acts set forth in the items of Article 2, paragraph (8) of the Act carried out by the following persons:
イ 
(a) the State;
ロ 地方公共団体
(b) a local government;
ハ 日本銀行
(c) the Bank of Japan; and
ニ 外国政府その他の外国の法令上イからハまでに掲げる者に相当する者
(d) foreign governments and other persons equivalent to the persons set forth in (a) to (c) under the laws and regulations of a foreign state;
二 法第二条第八項第四号に掲げる行為のうち、次のいずれかに該当する者を相手方として店頭デリバティブ取引(有価証券関連店頭デリバティブ取引(法第二十八条第八項第四号に掲げる取引をいう。)を除く。以下この号において同じ。)を行い、又は当該者のために店頭デリバティブ取引の媒介、取次ぎ(有価証券等清算取次ぎを除く。以下この号において同じ。)若しくは代理を行う行為(前号に掲げるものに該当するもの並びに特定店頭デリバティブ取引(法第四十条の七第一項に規定する特定店頭デリバティブ取引をいう。以下同じ。)並びにその媒介、取次ぎ及び代理(特定店頭デリバティブ取引又はその媒介、取次ぎ若しくは代理を行う者がその店頭デリバティブ取引等(法第二条第八項第四号に規定する店頭デリバティブ取引等をいう。以下同じ。)の業務の用に供する電子情報処理組織を使用して行うものに限る。)を除く。)
(ii) among the acts set forth in Article 2, paragraph (8), item (iv) of the Act, acts to conduct Over-the-Counter Derivatives Transactions (excluding Securities-Related Over-the-Counter Derivatives Transactions (meaning the transactions set forth in Article 28, paragraph (8), item (iv) of the Act); hereinafter the same applies in this item) with any of the following persons or to provide intermediation, brokerage (excluding the Brokerage for Clearing of Securities, etc.; hereinafter the same applies in this item), or agency for Over-the-Counter Derivatives Transactions on behalf of such a person (excluding the acts that fall under those set forth in the preceding item and Specified Over-the-Counter Derivatives Transactions (meaning specified over-the-counter derivatives transactions as prescribed in Article 40-7, paragraph (1) of the Act; the same applies hereinafter) and intermediation, brokerage, or agency therefor (limited to those in the case in which the person engaged in the Specified Over-the-Counter Derivatives Transactions or intermediation, brokerage, or agency therefor conducts those transactions or services using an electronic data processing system that it uses for its business of Over-the-Counter Derivatives Transactions, etc. (meaning Over-the-Counter Derivatives Transactions, etc. as prescribed in Article 2, paragraph (8), item (iv) of the Act; the same applies hereinafter))):
イ デリバティブ取引に関する専門的知識及び経験を有すると認められる者として内閣府令で定める者
(a) persons specified by Cabinet Office Order as persons found to have expert knowledge of and experience with Derivatives Transactions; or
ロ 資本金の額が内閣府令で定める金額以上の株式会社
(b) a stock company whose amount of stated capital is not less than the amount specified by Cabinet Office Order;
三 法第二条第八項第十五号に掲げる行為のうち、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を有する者(当該商品投資受益権が同項第二号に掲げる権利又は同項第三号に掲げる権利(同項第二号に掲げる権利に類するものに限る。)である場合にあつては、これらの権利に係る信託の受託者)から出資又は拠出を受けた金銭その他の財産の全部を充てて行う一の法人への出資(以下この号及び次項において「特定出資」という。)であつて、次に掲げる要件のすべてに該当するもの(第一号に掲げるものに該当するものを除く。)
(iii) among the acts set forth in Article 2, paragraph (8), item (xv) of the Act, investment in a single corporation by allocating the entire sum of money or other property invested or contributed by persons holding a beneficial interest in commodities investment as prescribed in Article 2, paragraph (6) of the Act on Regulation of Commodity Investment (Act No. 66 of 1991) (if the beneficial interest in commodities investment means the rights set forth in Article 2, paragraph (6), item (ii) of that Act or the rights set forth in Article 2, paragraph (6), item (iii) of that Act (limited to those similar to the rights set forth in Article 2, paragraph (6), item (ii) of that Act), the trustee of a trust related to those rights) (hereinafter such investment is referred to as "Specified Investment" in this item and in the following paragraph) which satisfies all of the following requirements (excluding the acts falling under those set forth in item (i)):
イ 当該商品投資受益権に係る商品投資契約(商品投資に係る事業の規制に関する法律第二条第五項に規定する商品投資契約をいう。)若しくは信託契約又は当該商品投資受益権の販売を内容とする契約のいずれかにおいて、当該法人への特定出資が行われる旨及び当該法人が特定出資に係る金銭その他の財産を商品投資(同条第一項に規定する商品投資をいう。以下同じ。)により運用する旨が定められていること。
(a) it has been provided for in either the Commodities Investment Contract (meaning a commodities investment contract as prescribed in Article 2, paragraph (5) of that Act) or the trust contract that is associated with the beneficial interest in commodities investment, or in the contract of sale for the beneficial interest in commodities investment that Specified Investment in the relevant corporation is to be undertaken and that the relevant corporation will invest the money or other property from that Specified Investment through Commodities Investment (meaning commodities investment as prescribed in Article 2, paragraph (1) of the Act on Regulation of Commodity Investment; the same applies hereinafter);
ロ 当該法人が、商品投資に係る事業の規制に関する法律第三十三条第一項に規定する商品投資顧問業者等に対して商品投資に係る同法第二条第二項に規定する投資判断を一任すること。
(b) the corporation is required to entrust the discretion in making those of its investment decisions as prescribed in Article 2, paragraph (2) of the Act on Regulation of Commodity Investment that involve Commodities Investment to the commodities investment advisor, etc. as prescribed in Article 33, paragraph (1) of that Act; and
ハ 当該法人が特定出資に係る金銭その他の財産を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運用するものでないこと。
(c) the investment is not the one in which the corporation invests money or other property from Specified Investment mainly in Securities or rights connected with Derivatives Transactions; and
四 前三号に掲げるもののほか、行為の性質その他の事情を勘案して内閣府令で定める行為
(iv) beyond what is set forth in the preceding three items, acts specified by Cabinet Office Order in consideration of the nature of the acts and any other circumstances.
2 前項第三号に規定する法人が特定出資に係る金銭その他の財産の全部又は商品投資により運用するもの以外のものの全部を充てて他の法人に出資を行う場合には、同号イからハまでの規定の適用については、当該他の法人を当該法人とみなす。
(2) If the corporation set forth in item (iii) of the preceding paragraph invests in another corporation by allocating the entire sum of money or other property from Specified Investment, or the entirety of anything other than that invested by Commodities Investment, with regard to the application of the provisions of (a) to (c) of the preceding item, that other corporation is deemed to be the relevant corporation.
(金融機関の範囲)
(Scope of a Financial Institution)
第一条の九 法第二条第八項及び第十一項、第二十七条の二第四項(法第二十七条の二十二の二第二項において準用する場合を含む。)、第二十七条の二十八第三項(法第二十七条の二十九第二項において準用する場合を含む。)、第二十八条第四項、第三十一条の四第三項及び第四項、第三十三条第一項、第三十三条の五第二項、第三十三条の七、第三十三条の八第一項、第五十条第一項第四号、第五十八条、第六十条の十四第一項並びに第六十六条に規定する政令で定める金融機関は、次に掲げるものとする。
Article 1-9 The financial institutions specified by Cabinet Order that are provided for in the provisions of Article 2, paragraphs (8) and (11) and Article 27-2, paragraph (4) of the Act (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act), Article 27-28, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2) of the Act), Article 28, paragraph (4), Article 31-4, paragraphs (3) and (4), Article 33, paragraph (1), Article 33-5, paragraph (2), Article 33-7, Article 33-8, paragraph (1), Article 50, paragraph (1), item (iv), Article 58, Article 60-14, paragraph (1), and Article 66 of the Act are as follows:
一 株式会社商工組合中央金庫
(i) the Shoko Chukin Bank Limited;
二 保険会社(保険業法第二条第二項に規定する保険会社をいい、同条第七項に規定する外国保険会社等を含む。以下同じ。)
(ii) an Insurance Company (meaning an insurance company as prescribed in Article 2, paragraph (2) of the Insurance Business Act and a foreign insurance company, etc. as prescribed in paragraph (7) of that Article is included; the same applies hereinafter);
三 無尽会社
(iii) a mutual loan company;
四 証券金融会社
(iv) a securities finance company; and
五 主としてコール資金の貸付け又はその貸借の媒介を業として行う者のうち金融庁長官の指定するもの
(v) among the persons mainly engaged in making call loans or in acting as an intermediary in the lending and borrowing of call money in the course of trade, those designated by the Commissioner of the Financial Services Agency.
(金融商品取引業となる募集又は私募に係る有価証券)
(Securities Related to a Public Offering or Private Placement Constituting Financial Instruments Business)
第一条の九の二 法第二条第八項第七号トに規定する政令で定める有価証券は、次に掲げるもの(その発行者が当該有価証券に係る信託の受託者とされるものを除く。)であつて、商品投資又は第三十七条第一項第二号イからホまでに掲げるいずれかの物品の取得(生産を含む。)をし、譲渡をし、使用をし、若しくは使用をさせることにより運用することを目的とするものに該当するものとする。
Article 1-9-2 The Securities specified by Cabinet Order that are provided for in Article 2, paragraph (8), item (vii), (g) of the Act are those as follows (excluding those whose issuer is the trustee of the trust associated with the relevant Securities) which fall under the category of Securities aimed at Commodities Investment or invested through the acquisition (including production), transfer, or use of the goods set forth in Article 37, paragraph (1), item (ii), (a) to (e), or by causing those goods to be used:
一 法第二条第一項第十四号に掲げる有価証券
(i) the Securities set forth in Article 2, paragraph (1), item (xiv) of the Act;
二 法第二条第一項第十七号に掲げる有価証券のうち、同項第十四号に掲げる有価証券の性質を有するもの
(ii) among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, those which have the nature of the Securities set forth in Article 2, paragraph (1), item (xiv) of the Act;
三 前二号に掲げる有価証券に表示されるべき権利であつて、法第二条第二項の規定により有価証券とみなされるもの
(iii) the rights to be indicated on the Securities set forth in the preceding two items which are regarded as Securities pursuant to the provisions of Article 2, paragraph (2) of the Act; and
四 法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一号又は第二号に掲げる権利
(iv) the rights set forth in Article 2, paragraph (2), item (i) or (ii) of the Act which are regarded as Securities pursuant to the provisions of Article 2, paragraph (2) of that Act.
(電子情報処理組織を使用した取引業務から除かれるもの)
(Transactions Excluded from Consideration as Transaction Services Using an Electronic Data Processing System)
第一条の九の三 法第二条第八項第十号に規定する政令で定めるものは、特定投資家向け有価証券(法第四条第三項第四号に掲げるもの(第二条の十二の四第三項第一号又は第三号に掲げるものを除く。)及び開示が行われている場合(法第四条第七項に規定する開示が行われている場合をいう。)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法第二条第八項第十号イからホまで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とする。
Article 1-9-3 The transactions specified by Cabinet Order that are provided for in Article 2, paragraph (8), item (x) of the Act are the purchase and sale of Securities for Professional Investors (excluding those set forth in Article 4, paragraph (3), item (iv) of the Act (excluding those set forth in Article 2-12-4, paragraph (3), item (i) or (iii)), and those falling under a case in which disclosure has been made (meaning a case in which disclosure has been made as prescribed in Article 4, paragraph (7) of the Act)), or intermediation, brokerage, or agency therefor conducted by an electronic data processing system, based on a method for deciding the trading price as set forth in Article 2, paragraph (8), item (x), (a) to (e) of the Act or other method similar thereto, and in which a large number of persons are to participate simultaneously as one party in the transaction, or in which the transaction is conducted between a large number of persons.
(競売買の方法による場合の基準)
(Criteria for the Method of Auction)
第一条の十 法第二条第八項第十号イに規定する政令で定める基準は、次に掲げるものとする。
Article 1-10 The criteria specified by Cabinet Order that are provided for in Article 2, paragraph (8), item (x), (a) of the Act are as follows:
一 毎月末日から起算して過去六月間に行われた上場有価証券等(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をいう。以下この条において同じ。)の売買(デリバティブ取引に該当するものを除く。以下この条において同じ。)であつて法第二条第八項第十号イに掲げる売買価格の決定方法により行うものに係る総取引高の一営業日当たりの平均額の、当該六月間に行われた上場有価証券等のすべての取引所金融商品市場及び店頭売買有価証券市場における売買に係る総取引高の一営業日当たりの平均額に対する比率が百分の一であること。
(i) the ratio of the average amount of single-business-day total transaction volumes for purchase and sales (excluding those that fall under the category of Derivatives Transactions; hereinafter the same applies in this Article) of Listed Securities, etc. (meaning Securities listed on a Financial Instruments Exchange and Over-the-Counter Traded Securities; hereinafter the same applies in this Article) made in the last six months, as calculated on the last day of each month, based on a method for deciding the trading price as set forth in Article 2, paragraph (8), item (x), (a) of the Act, to the average amount of single-business-day total transaction volumes for purchase and sales of Listed Securities, etc. made in all Financial Instruments Exchange Markets and Over-the-Counter Securities Markets in the last six months is one percent; and
二 毎月末日から起算して過去六月間に行われた上場有価証券等の売買であつて法第二条第八項第十号イに掲げる売買価格の決定方法により行うものに係る銘柄ごとの総取引高の一営業日当たりの平均額の、当該六月間に行われた当該銘柄のすべての取引所金融商品市場及び店頭売買有価証券市場における売買に係る総取引高の一営業日当たりの平均額に対する比率が百分の十であること。
(ii) the ratio of the average amount of single-business-day total transaction volumes, by issue, for purchase and sales of Listed Securities, etc. made in the last six months, as calculated on the last day of each month, based on a method for deciding the trading price as set forth in Article 2, paragraph (8), item (x), (a) of the Act, to the average amount of single-business-day total transaction volumes for purchase and sales of those issues of Listed Securities, etc. made in all Financial Instruments Exchange Markets and Over-the-Counter Securities Markets in the last six months is ten percent.
(投資運用業の範囲)
(Scope of Investment Management Business)
第一条の十一 法第二条第八項第十四号に規定する政令で定める権利は、同条第一項第十号に掲げる有価証券に表示される権利とする。
Article 1-11 The rights specified by Cabinet Order that are provided for in Article 2, paragraph (8), item (xiv) of the Act are the rights indicated on the Securities set forth in paragraph (1), item (x) of that Article.
(金融商品取引業となる行為)
(Acts Constituting Financial Instruments Business)
第一条の十二 法第二条第八項第十八号に規定する政令で定める行為は、同項第七号に掲げる行為を行つた者による当該行為に係る有価証券(次に掲げるものに限る。)の転売を目的としない買取りとする。
Article 1-12 The acts specified by Cabinet Order that are provided for in Article 2, paragraph (8), item (xviii) of the Act are purchasing, without the objective of reselling, the Securities (limited to the following Securities) associated with an act as set forth in item (vii) of that paragraph by the person that undertook that act:
一 法第二条第八項第七号イ又はロに掲げる有価証券
(i) the Securities set forth in Article 2, paragraph (8), item (vii), (a) or (b) of the Act; and
二 前号に掲げる有価証券に表示されるべき権利であつて、法第二条第二項の規定により有価証券とみなされるもの
(ii) rights to be indicated on the Securities set forth in the preceding item which are regarded as Securities pursuant to the provisions of Article 2, paragraph (2) of the Act.
(法人の信用状態に係る事由に類似するもの)
(Causes Similar to Causes Related to the Credit Status of a Corporation)
第一条の十三 法第二条第二十一項第五号イ及び第二十二項第六号イに規定する政令で定めるものは、法人でない者の信用状態に係る事由その他事業を行う者における当該事業の経営の根幹にかかわる事由として内閣府令で定めるものとする。
Article 1-13 The cause specified by Cabinet Order that is provided for in Article 2, paragraph (21), item (v), (a) of the Act and paragraph (22), item (vi), (a) of that Article means a cause related to the credit status of a person that is not a corporation or any other cause that is specified by Cabinet Office Order as one that affects the basis of the management of the business for a person that conducts business.
(当事者その他の事業者の事業活動に重大な影響を与えるもの)
(Causes That May Have a Serious Influence on the Business Activities of the Parties or Other Business Persons or Firms)
第一条の十四 法第二条第二十一項第五号ロ及び第二十二項第六号ロに規定する政令で定めるものは、次に掲げるものとする。
Article 1-14 Causes specified by Cabinet Order that are provided for in Article 2, paragraph (21), item (v), (b) of the Act and paragraph (22), item (vi), (b) of that Article are as follows:
一 暴風、豪雨、豪雪、洪水、高潮、地震、津波、噴火その他の異常な自然現象
(i) wind storms, torrential rains, heavy snows, floods, storm surges, earthquakes, tsunamis, volcanic eruptions, and any other abnormal natural phenomena; and
二 戦争、革命、内乱、暴動、騒乱その他これらに準ずるものとして内閣府令で定める事由
(ii) war, revolution, insurrection, riot, civil disturbance, and any other cause specified by Cabinet Office Order as being equivalent thereto.
(店頭デリバティブ取引から除かれるもの)
(Transactions Excluded from Consideration as Over-the-Counter Derivatives Transactions)
第一条の十五 法第二条第二十二項に規定する公益又は投資者の保護のため支障を生ずることがないと認められるものとして政令で定めるものは、次に掲げるものとする。
Article 1-15 The transactions specified by Cabinet Order as those found not to compromise the public interest or the protection of investors as referred to in Article 2, paragraph (22) of the Act are as follows:
一 預金保険法(昭和四十六年法律第三十四号)第二条第二項に規定する預金等及び農水産業協同組合貯金保険法(昭和四十八年法律第五十三号)第二条第二項に規定する貯金等の受入れを内容とする取引に付随する法第二条第二十二項第三号(ロを除く。)に掲げる取引(通貨の売買に係るものに限る。)
(i) the transactions set forth in Article 2, paragraph (22), item (iii) of the Act (excluding (b)) incidental to transactions of the receipt of deposits, etc. prescribed in Article 2, paragraph (2) of the Deposit Insurance Act (Act No, 34 of 1971) or savings, etc. prescribed in Article 2, paragraph (2) of the Agricultural and Fishery Cooperation Savings Insurance Act (Act No. 53 of 1973) (limited to the transactions involving the purchase and sale of currencies);
二 保険業法第二条第一項に規定する保険業及び同項各号に掲げる事業に係る契約の締結
(ii) conclusion of contracts in connection with the insurance business prescribed in Article 2, paragraph (1) of the Insurance Business Act and the business set forth in the items of that paragraph;
三 債務の保証に係る契約の締結
(iii) conclusion of contracts in connection with a guarantee of obligations; or
四 貸付けに係る債務の全部又は一部の弁済がなされないこととなつた場合において、その債権者に対してその弁済がなされないこととなつた額の一部を補てんすることを内容とする契約の締結(前号に掲げるものを除く。)
(iv) if debt from a loan is no longer being repaid in whole or in part, conclusion of a contract to compensate the creditors thereof for the part of the amount which is no longer being repaid (excluding the contracts set forth in the preceding item).
(差金決済の原因となる行為)
(Actions Causing Settlement Based on the Difference in Values)
第一条の十六 法第二条第二十二項第一号に規定する政令で定める行為は、金融商品市場及び外国金融商品市場によらないで、将来の一定の時期において金融商品(同条第二十四項第三号の二及び第五号に掲げるものを除く。)及びその対価の授受を約する売買に関し、当該売買の当事者がその売買契約を解除する行為とする。
Article 1-16 The action specified by Cabinet Order that is provided for in Article 2, paragraph (22), item (i) of the Act is an action whereby the parties to a purchase and sale wherein the parties promise to deliver and take delivery of a Financial Instrument (excluding those set forth in Article 2, paragraph (24), items (iii)-2 and (v) of the Act) and its value at a fixed time in the future in neither a Financial Instruments Market nor a Foreign Financial Instruments Market cancel the purchase and sale contract.
(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)
(Claims or Other Rights Based on a Deposit Contract, or Instruments or Certificates Indicating Such Claims or Rights)
第一条の十七 法第二条第二十四項第二号に規定する政令で定めるものは、外国為替及び外国貿易法第六条第一項第七号に規定する支払手段(通貨に該当するものを除く。)、同項第十一号に規定する証券及び同項第十三号に規定する債権とする。
Article 1-17 The instruments or certificates specified by Cabinet Order that are provided for in Article 2, paragraph (24), item (ii) of the Act are the means of payment (excluding those falling under currencies) prescribed in Article 6, paragraph (1), item (vii) of the Foreign Exchange and Foreign Trade Act, the securities prescribed in Article 6, paragraph (1), item (xi) of that Act, and the claims prescribed in item (xiii) of that paragraph.
(商品)
(Commodities)
第一条の十七の二 法第二条第二十四項第三号の二に規定する政令で定めるものは、商品先物取引法(昭和二十五年法律第二百三十九号)第二条第一項に規定する商品(法令の規定に基づく当該商品の価格の安定に関する措置であつて、当該商品の需給の均衡を図るために必要な施策が講ぜられているものを除く。)のうち、当該商品の売買、売買の媒介、取次ぎ若しくは代理、生産、加工又は使用を業として行つている者の取引の状況その他の当該商品に係る経済活動の状況に照らし十分な取引量が見込まれることその他の当該商品の価格形成及び需給に関する事情を勘案し、取引所金融商品市場において当該商品に係る市場デリバティブ取引が行われることにより当該商品の公正な価格形成を図ることができ、かつ、投資者が当該商品の価格の変動に伴い生ずるおそれのある損失を減少させることができることとなることその他の効果があることによつて取引所金融商品市場において当該商品に係る市場デリバティブ取引が行われることが国民経済の健全な発展に資すると認められるものとして金融庁長官が商品市場所管大臣(法第百九十四条の六の二に規定する商品市場所管大臣をいう。)と協議して指定するものとする。
Article 1-17-2 The commodities specified by Cabinet Order that are provided for in Article 2, paragraph (24), item (iii)-2 of the Act are designated by the Commissioner of the Financial Services Agency through consultation with the minister having jurisdiction over a commodity market (meaning the minister having jurisdiction over a commodity market as prescribed in Article 194-6-2 of the Act), from among commodities prescribed in Article 2, paragraph (1) of the Commodity Futures Act (Act No. 239 of 1950) (excluding those for which measures for the stabilization of the prices of the respective commodities have been taken in accordance with the provisions of laws and regulations as necessary for achieving the supply and demand balance for the relevant commodities), in consideration of the appropriate volume of transactions expected in light of the conditions of transactions carried out by those engaged in the purchase and sale, intermediation, brokerage or agency therefor, production, processing or use of the relevant commodities and other conditions of economic activities relating to the commodities, as well as other circumstances concerning the price formation and the supply and demand of the commodities, and from the perspective that Market Derivatives Transactions involving the relevant commodities conducted in the Financial Instruments Exchange Market will lead to the formation of fair prices for the commodities, while reducing the risk of losses that investors might incur due to the price volatility of the commodities and bringing about other positive effects, and thus Market Derivatives Transactions involving the commodities conducted on the Financial Instruments Exchange Market will contribute to the sound development of the national economy.
(金融指標の範囲)
(Scope of Financial Indicators)
第一条の十八 法第二条第二十五項第三号に規定する政令で定めるものは、次に掲げるものとする。
Article 1-18 The indicators or figures specified by Cabinet Order that are provided for in Article 2, paragraph (25), item (iii) of the Act are as follows:
一 気象庁その他の者が発表する地象、地動、地球磁気、地球電気及び水象の観測の成果に係る数値
(i) figures associated with the results of observations on terrestrial phenomenon, ground motion, geomagnetism, terrestrial electricity, or hydrology published by a Meteorological Agency or others;
二 国際連合の定める基準に準拠して内閣府が作成する国民経済計算に係る数値、統計法(昭和二十二年法律第十八号)第三条第一項に規定する指定統計調査及び同法第十四条に規定する届出統計調査の結果に係る数値その他これらに相当する外国の統計の数値
(ii) figures associated with national accounts statistics prepared by the Cabinet in compliance with the standards specified by the United Nations, figures associated with the results of the designated statistical surveys prescribed in Article 3, paragraph (1) of the Statistics Act (Act No. 18 of 1947) or figures associated with the results of the notified statistical surveys prescribed in Article 14 of that Act or any other foreign statistical figures equivalent thereto;
三 前号に掲げるものに相当する外国の統計の数値
(iii) foreign statistical figures equivalent to the preceding item;
四 行政機関(地方公共団体を含む。)が法令の規定に基づき、又は一般の利用に供することを目的として定期的に発表し、又は提供する不動産の価格又は二以上の不動産の価格の水準を総合的に表した数値、不動産に関連する業務を行う団体が投資者の利用に供することを目的として定期的に発表し、又は提供する不動産の価格又は二以上の不動産の価格の水準を総合的に表した数値その他これらに準ずるものとして内閣府令で定める数値
(iv) figures that comprehensively indicate the level of the price of real property or prices of two or more real properties announced or provided periodically by an administrative organ (including local governments) under the provisions of laws and regulations or for the purpose of making them available for use to the general public, figures that comprehensively indicate the level of the price of real property or prices of two or more real properties announced or provided periodically by an organization engaged in business related to real property for the purpose of making them available for use to investors, or any other figures specified by Cabinet Office Order as being equivalent thereto.
(金融商品債務引受業の対象取引から除かれる取引)
(Transactions Excluded from Consideration as Subject Transactions of Financial Instruments Obligation Assumption Service)
第一条の十八の二 法第二条第二十八項に規定する取引の状況及び我が国の資本市場に与える影響その他の事情を勘案し、公益又は投資者保護のため支障を生ずることがないと認められるものとして政令で定める取引は、外国の法令に準拠して設立された法人で外国において金融商品債務引受業と同種類の業務を行う者(当該業務を行うことにつき、当該外国の法令の規定により当該外国において法第百五十六条の二の免許と同種類の免許又はこれに類する許可その他の行政処分を受けている者に限る。次条第二号において同じ。)が当該業務として引受け、更改その他の方法により負担する債務の起因となつている取引のうち、当該取引に基づく債務の不履行による我が国の資本市場への影響が軽微なものとして金融庁長官が指定するものとする。
Article 1-18-2 Transactions specified by Cabinet Order as those which, in consideration of the status of the transactions, the impact exerted on Japan's capital market, and other circumstances, are found not to compromise the public interest or the protection of investors, as provided in Article 2, paragraph (28) of the Act, are transactions giving rise to obligations that a corporation established in compliance with laws and regulations of a foreign state that conducts the same type of services as Financial Instruments Obligation Assumption Services in a foreign state (limited to those that have been granted the same kind of license as prescribed in Article 156-2 of the Act or a permission or other administrative dispositions similar to such a license in the foreign state to engage in those Services under the provisions of laws and regulations of the foreign state; hereinafter the same applies in item (ii) of the following Article) assumes, novates or in any other way bears on a regular basis, which transactions are designated by the Commissioner of the Financial Services Agency as giving rise to obligations that, if defaulted upon, would have a minor impact on Japan's capital market.
(金融商品債務引受業の対象取引)
(Subject Transactions of Financial Instruments Obligation Assumption Service)
第一条の十九 法第二条第二十八項に規定する有価証券の売買又はデリバティブ取引に付随し、又は関連する取引として政令で定める取引は、次に掲げるものとする。
Article 1-19 Transactions specified by Cabinet Order as those incidental or related to purchase and sales of Securities or Derivatives Transactions, as provided in Article 2, paragraph (28) of the Act, are as follows:
一 信用取引等(信用取引(法第百五十六条の二十四第一項に規定する信用取引をいう。以下同じ。)若しくは金融商品取引業者が自己の計算におい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。)若しくは市場デリバティブ取引又は有価証券等清算取次ぎ(信用取引又は金融商品取引業者が自己の計算において行う有価証券の売買若しくは市場デリバティブ取引に係るものに限る。)をいう。次号において同じ。)の決済に必要な金銭の貸借(証券金融会社による貸付けに係るものに限る。)
(i) the lending and borrowing of the money needed to settle a Margin Transaction, etc. (meaning a Margin Transaction (meaning the margin transaction defined in Article 156-24, paragraph (1) of the Act; the same applies hereinafter), a purchase and sale of Securities (excluding a purchase and sale of Securities that falls under the category of a Derivative Transaction; the same applies hereinafter), or a Market Transaction of Derivatives made on a Financial Instruments Business Operator's own account or Brokerage for the Clearing of Securities, etc. (limited to those connected with a Margin Transaction, the purchase and sale of Securities or a Market Transaction of Derivatives made on the Financial Instruments Business Operator's own account); the same applies in the following item) (limited to an instance of lending and borrowing in which the lending is done by a Securities Finance Company);
二 有価証券の貸借(外国の法令に準拠して設立された法人で外国において金融商品債務引受業と同種類の業務を行う者が当該業務として引受け、更改その他の方法により負担する債務の起因となつている貸借のうち、当該貸借に基づく債務の不履行による我が国の資本市場への影響が軽微なものとして金融庁長官が指定するものを除き、信用取引等の決済に必要な有価証券を取引所金融商品市場又は店頭売買有価証券市場の決済機構を利用して証券金融会社以外の者が貸し付ける場合にあつては、取引所金融商品市場又は店頭売買有価証券市場によらないで行われる信用取引等に係る貸付けに限る。)
(ii) the lending and borrowing of Securities (if a person other than a Securities Finance Company lends the Securities necessary for the settlement of a Margin Transaction, etc. utilizing the clearing systems of a Financial Instruments Exchange Market or Over-the-Counter Securities Market, this is limited to lending in connection with a Margin Transaction, etc. undertaken without recourse to a Financial Instruments Exchange Market or an Over-the-Counter Securities Market, except any lending giving rise to an obligation that a corporation established in compliance with laws and regulations of a foreign state that conducts a service of the same type of services as Financial Instruments Obligation Assumption Services in a foreign state assumes, novates or in any other way bears on a regular basis, which lending is designated by the Commissioner of the Financial Services Agency as lending giving rise to obligations that, if defaulted upon, would have a minor impact on Japan's capital market);
三 前二号に掲げる取引に係る担保の授受
(iii) the delivery and receipt of collateral in connection with the transactions set forth in the preceding two items;
四 証券投資信託(投資信託及び投資法人に関する法律第二条第四項に規定する証券投資信託をいい、その信託財産の一口当たりの純資産額の変動率を金融商品市場における相場その他の指標の変動率に一致させるよう運用する旨及びその受益証券が金融商品取引所に上場され、又は店頭売買有価証券登録原簿に登録される旨を同法第四条第一項に規定する投資信託約款に定めたものに限る。以下この号、第十五条の三第四号及び第十五条の二十第四号において同じ。)の設定(追加設定を含む。第十五条の三第四号及び第十五条の二十第四号において同じ。)、証券投資信託の元本の一部の償還又は証券投資信託の受益証券と上場有価証券等(第一条の十第一号に規定する上場有価証券等をいい、当該証券投資信託の運用の対象とする各銘柄のもの又はその信託財産に属するものに限る。以下この号、第十五条の三第四号及び第十五条の二十第四号において同じ。)との交換に係る受益証券又は金銭等(金銭又は上場有価証券等をいう。第十五条の三第四号及び第十五条の二十第四号において同じ。)の授受
(iv) the delivery and receipt of beneficiary certificates or Money, etc. (meaning money or Listed Securities, etc. (meaning Listed Securities, etc. as prescribed in Article 1-10, item (i), and limited to those of any of the issues subject to operation of the Securities Investment Trust or those that are among the trust property; hereinafter the same applies in this item, Article 15-3, item (iv), and Article 15-20, item (iv)); the same applies in Article 15-3, item (iv) and Article 15-20, item (iv)) with regard to the establishment (including additional establishment; the same applies in Article 15-3, item (iv) and Article 15-20, item (iv)) of a Securities Investment Trust (meaning a securities investment trust as prescribed in Article 2, paragraph (4) of the Act on Investment Trusts and Investment Corporations, and limited to one for which it is provided in the basic terms and conditions of the investment trust prescribed in Article 4, paragraph (1) of that Act that the investment trust will be operated by having the rate of fluctuations in the amount of net assets per unit for the Investment Trust Property correspond to the rate of fluctuations in the quotations on a Financial Instruments Market or any other indicator and that the beneficiary certificates of the Securities Investment Trust will be listed on a Financial Instruments Exchange or be registered in a Registry of Over-the-Counter Traded Securities; hereinafter the same applies in this item, Article 15-3, item (iv), and Article 15-20, item (iv)), the redemption of a part of the principal of a Securities Investment Trust, or the exchange between beneficiary certificates of a Securities Investment Trust and Listed Securities, etc.; and
五 前各号に掲げるもののほか、有価証券の売買若しくはデリバティブ取引(前条に定める取引を除く。)又は前各号に掲げる取引に基づく債務を履行するために行う金融商品又は金銭の授受
(v) beyond what is set forth in the preceding items, delivery and receipt of Financial Instruments or money, made for the performance of the obligations arisen from the purchase and sale of Securities or Derivatives Transactions (excluding transactions prescribed in the preceding Article), or the transactions set forth in the preceding items.
(株式会社金融商品取引所に関する規制と同等の水準にあると認められる規制を受ける者)
(Commodity Exchanges Subject to Restrictions Found to Be of the Same Level as Restrictions on an Incorporated Financial Instruments Exchange)
第一条の二十 法第二条第三十八項に規定する政令で定める者は、商品先物取引法第二条第六項に規定する株式会社商品取引所とする。
Article 1-20 The person specified by Cabinet Order that is provided for in Article 2, paragraph (38) of the Act is an Incorporated Commodity Exchange as defined in Article 2, paragraph (6) of the Commodity Futures Act (Act No. 239 of 1950).
(金融商品取引所持株会社に関する規制と同等の水準にあると認められる規制を受ける者)
(Commodity Exchanges Subject to Restrictions Found to Be of the Same Level as Restrictions on a Financial Instruments Exchange Holding Company)
第一条の二十一 法第二条第三十九項に規定する政令で定める者は、商品先物取引法第二条第十一項に規定する商品取引所持株会社とする。
Article 1-21 The person specified by Cabinet Order that is provided for in Article 2, paragraph (39) of the Act is a Commodity Exchange Holding Company as defined in Article 2, paragraph (11) of the Commodity Futures Act.
(高速取引行為となる行為)
(Acts That Constitute High-Speed Trading)
第一条の二十二 法第二条第四十一項第三号に規定する政令で定めるものは、次に掲げるものとする。
Article 1-22 The acts specified by Cabinet Order that are provided for in Article 2, paragraph (41), item (iii) of the Act are the following:
一 法第二条第四十一項第一号に掲げる行為を行うことを内容とした金銭その他の財産の運用(その指図を含む。)を行うこと(同号に掲げるものを除く。)。
(i) investing money or other assets (including instructions therefor) to conduct any of the acts set forth in Article 2, paragraph (41), item (i) of the Act (excluding the acts set forth in that item); and
二 法第二条第四十一項第一号に掲げる行為を行う者を相手方として店頭デリバティブ取引を行うことその他の方法により、当該者に同号に掲げる行為を行わせることとなる取引又は行為を行うこと。
(ii) conducting a transaction or act that will cause a person engaged in any of the acts set forth in Article 2, paragraph (41), item (i) of the Act to conduct any of the acts set forth in that item, by carrying out Over-the-Counter Derivatives Transactions with that person or by other means.
第二章 企業内容等の開示
Chapter II Disclosure of Corporate Affairs and Other Related Matters
(組織再編成の範囲)
(Scope of Reorganization)
第二条 法第二条の二第一項に規定する政令で定めるものは、株式移転とする。
Article 2 The other acts specified by Cabinet Order that are provided for in Article 2-2, paragraph (1) of the Act are share transfers.
(組織再編成対象会社の範囲)
(Scope of a Reorganizing Company)
第二条の二 法第二条の二第四項第一号に規定する政令で定める会社は、新設合併消滅会社(会社法(平成十七年法律第八十六号)第七百五十三条第一項第一号に規定する新設合併消滅会社をいう。)、吸収分割会社(同法第七百五十八条第一号に規定する吸収分割会社をいい、当該吸収分割に係る同法第七百五十七条に規定する吸収分割契約において、同法第七百五十八条第八号ロ又は第七百六十条第七号ロに掲げる事項があるものを締結したものその他これに準ずるものとして内閣府令で定めるものに限る。)、新設分割会社(同法第七百六十三条第一項第五号に規定する新設分割会社をいい、当該新設分割に係る同法第七百六十二条に規定する新設分割計画において、同項第十二号ロ又は第七百六十五条第一項第八号ロに掲げる事項を定めたものその他これに準ずるものとして内閣府令で定めるものに限る。)及び株式移転完全子会社(同法第七百七十三条第一項第五号に規定する株式移転完全子会社をいう。)となる会社とする。
Article 2-2 The company specified by Cabinet Order that is provided for in Article 2-2, paragraph (4), item (i) of the Act is a company that becomes a Company Disappearing in a Consolidation-type Merger (meaning a Company Disappearing in a Consolidation-type Merger as prescribed in Article 753, paragraph (1), item (i) of the Companies Act (Act No. 86 of 2005)), the Splitting Company in an Absorption-type Company Split (meaning a Splitting Company in an Absorption-type Company Split as defined in Article 758, item (i) of that Act, limited to those which have concluded an Absorption-type Company Split Agreement prescribed in Article 757 of that Act for that Absorption-type Company Split regarding the particulars specified in Article 758, item (viii), (b) or Article 760, item (vii), (b) of that Act and others specified by Cabinet Office Order as being equivalent thereto), the Splitting Company in an Incorporation-type Company Split (meaning a Splitting Company in an Incorporation-type Company Split as set forth in Article 763, paragraph (1), item (v) of that Act, limited to those which determine the particulars specified in item (xii), (b) of that paragraph or Article 765, paragraph (1), item (viii), (b) of that Act in the Incorporation-type Company Split Plan prescribed in Article 762 of that Act for that Incorporation-type Company Split and others specified by Cabinet Office Order as being equivalent thereto) or a Wholly Owned Subsidiary Company in a Share Transfer (meaning a Wholly Owned Subsidiary Company in a Share Transfer as prescribed in Article 773, paragraph (1), item (v) of that Act).
(組織再編成対象会社が発行者である有価証券の範囲)
(Scope of Securities Issued by a Reorganizing Company)
第二条の三 法第二条の二第四項第一号及び第四条第一項第二号イに規定する政令で定める有価証券は、次に掲げるものとする。
Article 2-3 The Securities specified by Cabinet Order that are provided for in the provisions of Article 2-2, paragraph (4), item (i) and Article 4, paragraph (1), item (ii), (a) of the Act are as follows:
一 新株予約権証券
(i) share option certificates;
二 新株予約権付社債券
(ii) corporate bond certificates with share options;
三 有価証券信託受益証券(法第二条第一項第十四号に掲げる有価証券のうち同項各号に掲げる有価証券を信託財産とするものであつて、当該信託財産である有価証券(以下「受託有価証券」という。)に係る権利の内容が当該信託の受益権の内容に含まれる旨その他内閣府令で定める事項が当該信託に係る信託行為において定められているものをいう。以下同じ。)のうち、受託有価証券が株券又は前二号に掲げる有価証券であるもの
(iii) Beneficiary Certificates of Securities in Trust (meaning Securities as set forth in Article 2, paragraph (1), item (xiv) of the Act for which Securities as set forth in the items of Article 2, paragraph (1) of the Act constitute trust property and for which an indication that the substance of the rights associated with the Securities that constitute trust property (hereinafter referred to as "Entrusted Securities") is included as part of the substance of the beneficial interest in that trust and other particulars specified by Cabinet Office Order have been provided in the trust deed for that trust; the same applies hereinafter), if the Entrusted Securities are share certificates or the Securities set forth in the preceding two items; or
四 法第二条第一項第二十号に掲げる有価証券で株券又は第一号若しくは第二号に掲げる有価証券に係る権利を表示するもの
(iv) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with share certificates or with Securities set forth in item (i) or item (ii).
(組織再編成発行手続における組織再編成対象会社株主等が多数である場合)
(Cases in Which There Are a Large Number of Reorganizing Company's Shareholders in the Procedures Related to the Issuance of Securities During a Reorganization)
第二条の四 法第二条の二第四項第一号に規定する政令で定める場合は、組織再編成対象会社株主等(同号に規定する組織再編成対象会社株主等をいう。次条から第二条の七までにおいて同じ。)が五十名以上である場合とする。
Article 2-4 The cases specified by Cabinet Order that are provided for in Article 2-2, paragraph (4), item (i) of the Act are cases in which the Reorganizing Company's Shareholders, etc. (meaning Reorganizing Company's Shareholders, etc. as prescribed in Article 2-2, paragraph (4), item (i) of the Act; the same applies in the following Article to Article 2-7) are not less than 50 persons.
(組織再編成発行手続において少人数向け勧誘に該当する場合)
(Cases in Which Procedures Related to the Issuance of Securities During a Reorganization Constitute Solicitation to a Small Number of Investors)
第二条の四の二 法第二条の二第四項第二号ロに規定する政令で定める場合は、次に掲げるすべての要件に該当する場合とする。
Article 2-4-2 The cases specified by Cabinet Order that are provided for in Article 2-2, paragraph (4), item (ii), (b) of the Act are cases that satisfy all of the following requirements:
一 当該組織再編成発行手続に係る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、当該組織再編成対象会社株主等の人数が五十名以上である場合に該当しないこと。
(i) the Reorganizing Company's Shareholders, etc. that are involved in the Procedures Related to the Issuance of Securities During a Reorganization do not consist exclusively of Qualified Institutional Investors, and it is not a case in which the number of Reorganizing Company's Shareholders, etc. is 50 persons or more;
二 次のイからハまでに掲げる有価証券の区分に応じ、当該イからハまでに定める要件に該当すること。
(ii) the requirements specified in the relevant of (a) to (c) below are satisfied for the category of Securities set forth in the:
イ 株券等 第一条の七第二号イに定める要件に該当すること。
(a) Share Certificates, etc.: The requirements set forth in Article 1-7, item (ii), (a) are satisfied;
ロ 新株予約権証券等 第一条の七第二号ロに定める要件に該当すること。
(b) Share Option Certificates, etc.: The requirements set forth in Article 1-7, item (ii), (b) are satisfied.
(組織再編成発行手続における組織再編成対象会社株主等が相当程度多数である場合)
(Cases in Which There Are a Considerably Large Number of Reorganizing Company's Shareholders in Procedures Related to the Issuance of Securities During a Reorganization)
第二条の五 法第二条の二第四項第三号に規定する政令で定める場合は、組織再編成対象会社株主等が五百名以上である場合とする。
Article 2-5 The cases specified by Cabinet Order that are provided for in Article 2-2, paragraph (4), item (iii) of the Act are cases in which the Reorganizing Company's Shareholders, etc. are 500 or more persons.
(組織再編成交付手続における組織再編成対象会社株主等が多数である場合)
(Cases in Which There Are a Large Number of Reorganizing Company's Shareholders in the Procedures Related to the Issuance of Securities During a Reorganization)
第二条の六 法第二条の二第五項第一号に規定する政令で定める場合は、組織再編成対象会社株主等が五十名以上である場合とする。
Article 2-6 The cases specified by Cabinet Order that are provided for in Article 2-2, paragraph (5), item (i) of the Act are cases in which the Reorganizing Company's Shareholders, etc. are not less than 50 persons.
(組織再編成交付手続において少人数向け勧誘に該当する場合)
(Cases in Which Procedures Related to the Delivery of Securities During a Reorganization Constitute Solicitation to a Small Number of Investors)
第二条の六の二 法第二条の二第五項第二号ロに規定する政令で定める場合は、次に掲げるすべての要件に該当する場合とする。
Article 2-6-2 The cases specified by Cabinet Order that are provided for in Article 2-2, paragraph (5), item (ii), (b) of the Act are cases that satisfy all of the following requirements:
一 当該組織再編成交付手続に係る組織再編成対象会社株主等が適格機関投資家のみであつて、当該組繊再編成対象会社株主等の人数が五十名以上である場合に該当しないこと。
(i) the Reorganizing Company's Shareholders, etc. that are involved in the Procedures Related to the Delivery of Securities During a Reorganization do not consist exclusively of Qualified Institutional Investors, and it is not a case in which the number of Reorganizing Company's Shareholders, etc. is 50 persons or more;
二 次のイからハまでに掲げる有価証券の区分に応じ、当該イからハまでに定める要件に該当すること。
(ii) the requirements specified in the relevant of (a) to (c) below are satisfied for the category of Securities set forth in the item:
イ 株券等 第一条の八の四第三号イに定める要件に該当すること
(a) Share Certificates, etc.: The requirements set forth in Article 1-8-4, item (iii), (a) are satisfied;
ロ 新株予約権証券等 第一条の八の四第三号ロに定める要件に該当すること。
(b) Share Option Certificates, etc.: The requirements set forth in Article 1-8-4, item (iii), (b) are satisfied;
ハ イ及びロに掲げる有価証券以外の有価証券 第一条の八の四第三号ハに定める要件に該当すること。
(c) Securities other than the Securities set forth in (a) and (b): The requirements set forth in Article 1-8-4, item (iii), (c) are satisfied.
(組織再編成交付手続において組織再編成対象会社株主等が相当程度多数である場合)
(Cases in Which There Are a Considerably Large Number of Reorganizing Company's Shareholders in the Procedures Related to the Issuance of Securities During a Reorganization)
第二条の七 法第二条の二第五項第三号に規定する政令で定める場合は、組織再編成対象会社株主等が五百名以上である場合とする。
Article 2-7 The cases specified by Cabinet Order that are provided for in Article 2-2, paragraph (5), item (iii) of the Act are cases in which the Reorganizing Company's Shareholders, etc. are not less than 500 persons.
(法第二章の規定を適用する有価証券)
(Securities to Which the Provisions of Chapter II of the Act Apply)
第二条の八 法第三条第二号に規定する政令で定めるものは、医療法(昭和二十三年法律第二百五号)に規定する社会医療法人債券とする。
Article 2-8 The Securities specified by Cabinet Order that are provided for in Article 3, item (ii) of the Act are the social medical care corporation bonds set forth in the Medical Care Act (Act No. 205 of 1948).
(法第二章の規定を適用する有価証券投資事業権利等に係る出資対象事業の範囲)
(Scope of Invested Business Associated with Rights in Securities Investment Business to Which the Provisions of Chapter II of the Act Apply)
第二条の九 法第三条第三号イに規定する政令で定めるものは、法第二条第二項第五号に掲げる権利を有する者が出資又は拠出をした金銭その他の財産の価額の合計額の百分の五十を超える額を充てて有価証券に対する投資を行う出資対象事業(同号に規定する出資対象事業をいい、次に掲げるものを除く。)に係る権利とする。
Article 2-9 (1) The rights specified by Cabinet Order that are provided for in Article 3, item (iii), (a) of the Act are the rights connected with an Invested Business (meaning an Invested Business as set forth in Article 2, paragraph (2), item (v) of the Act and excluding the following businesses) that invests in Securities by allocating an amount exceeding 50 percent of the total amount of money or other property that persons holding rights as set forth in Article 2, paragraph (2), item (v) of the Act have contributed or invested:
一 商品投資に係る事業の規制に関する法律第二条第六項に規定する商品投資受益権(同項第一号に掲げる権利に係るものに限る。)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全部を充てて行う一の法人(以下この号において「特定法人」という。)への出資(以下この条において「特定出資」という。)であつて、次に掲げる要件のすべてに該当するもの
(i) investment in a single corporation (hereinafter referred to as a "Specified Corporation" in this item) by allocating the entire sum of money or other property invested or contributed by persons holding a beneficial interest in commodities investment as prescribed in Article 2, paragraph (6) of the Act on Regulation of Commodity Investment (limited to a beneficial interest in commodities investment connected with rights set forth in Article 2, paragraph (6), item (i) of that Act) (hereinafter such investment is referred to as the "Specified Investment" in this Article), which satisfies all of the following requirements:
イ 当該特定法人が特定出資に係る金銭その他の財産の価額の合計額の百分の五十を超える額を充てて有価証券に対する投資を行うものでないこと。
(a) the Specified Corporation will not invest in Securities by allocating an amount exceeding 50 percent of the total amount of money or other property from Specified Investment; and
ロ 法令又は当該特定法人の定款、寄附行為その他これらに準ずるものにより当該特定法人が二以上の者から出資を受けることにつき禁止がされていること。
(b) the Specified Corporation is prohibited from receiving investments from two or more persons by laws and regulations, the articles of incorporation of the Specified Corporation, articles of endowment, or any other thing equivalent thereto;
二 第一条の三第四号に掲げる物品のうち内閣府令で定めるもののみを充てて行う出資(以下この号において「特定現物出資」という。)であつて、次に掲げる要件のすべてに該当するもの
(ii) an investment wherein the goods appropriated are limited to those specified by Cabinet Office Order among the goods set forth in Article 1-3, item (iv) (hereinafter such investment is referred to as the "Specified Investment in Kind" in this item), which satisfies all of the following requirements:
イ 法令、当該特定現物出資を受ける者の定款、寄附行為その他これらに準ずるもの又は当該特定現物出資に係る契約により当該特定現物出資を受ける者が二以上の者から出資を受けることにつき禁止がされていること。
(a) the person that is to receive the Specified Investment in Kind is prohibited from receiving investments from two or more persons by laws and regulations, the articles of incorporation of the person that is to receive the Specified Investment in Kind, articles of endowment, any other thing equivalent thereto, or the contract for Specified Investment in Kind; and
ロ 当該特定現物出資に係る契約により当該特定現物出資を受ける者が当該特定現物出資に係る物品をもつて有価証券を取得しない旨が定められていること。
(b) the contract for Specified Investment in Kind provides that the person that is to receive the Specified Investment in Kind will not acquire Securities using the goods associated with the Specified Investment in Kind.
2 前項第一号に規定する特定法人が特定出資に係る金銭その他の財産の全部又は商品投資により運用するもの以外のものの全部を充てて他の法人に出資を行う場合には、同号イ及びロの規定の適用については、当該他の法人を当該特定法人とみなす。
(2) If the Specified Corporation prescribed in item (i) of the preceding paragraph makes an investment in another corporation by allocating the entire sum of money or other property from Specified Investment, or anything other than this, that is invested through Commodities Investment, with regard to the application of the provisions of (a) and (b) of that item, that other corporation is deemed to be the Specified Corporation.
(法第二章の規定を適用する有価証券とみなされる権利の範囲)
(Scope of Rights Deemed to Be Securities to Which the Provisions of Chapter II of the Act Apply)
第二条の十 法第三条第三号ロに規定する政令で定めるものは、次に掲げる権利とする。
Article 2-10 (1) The rights specified by Cabinet Order that are provided for in Article 3, item (iii), item (b) of the Act are the following rights:
一 法第二条第二項第一号に掲げる権利のうち、その信託財産に属する資産の価額の総額の百分の五十を超える額を有価証券に対する投資に充てて運用を行う信託の受益権(次に掲げるものを除く。)
(i) among the rights set forth in Article 2, paragraph (2), item (i) of the Act, a beneficial interest in a trust in which investment is undertaken through the allocation of an amount exceeding 50 percent of the total value of the assets constituting trust property to investment in Securities (excluding the following beneficial interest):
イ 公的年金制度の健全性及び信頼性の確保のための厚生年金保険法等の一部を改正する法律(平成二十五年法律第六十三号。以下イにおいて「平成二十五年厚生年金等改正法」という。)附則第五条第一項の規定によりなおその効力を有するものとされる平成二十五年厚生年金等改正法第一条の規定による改正前の厚生年金保険法(昭和二十九年法律第百十五号。以下イにおいて「改正前厚生年金保険法」という。)第百三十条の二第一項及び第二項並びに第百三十六条の三第一項第一号、第四号ニ及び第五号ヘ並びに同条第二項において準用する改正前厚生年金保険法第百三十条の二第二項並びに平成二十五年厚生年金等改正法附則第三十八条第一項の規定によりなおその効力を有するものとされる改正前厚生年金保険法第百五十九条の二第一項及び第二項、改正前厚生年金保険法第百六十四条第三項において準用する改正前厚生年金保険法第百三十六条の三第一項第一号、第四号ニ及び第五号ヘ並びに改正前厚生年金保険法第百六十四条第三項において準用する改正前厚生年金保険法第百三十六条の三第二項において準用する改正前厚生年金保険法第百三十条の二第二項に規定する信託の受益権
(a) the beneficial interest in a trust set forth in Article 130-2, paragraph (2) of the Employees' Pension Insurance Act (Act No. 115 of 1954) prior to the amendment by Article 1 of the Act for Partial Amendment to the Employees' Pension Insurance Act to Ensure the Soundness and Reliability of the Public Pension System (Act No. 63 of 2013; hereinafter referred to as the "2013 Employees' Pension Amendment Act" in (a)) (the Employees' Pension Insurance Act prior to the amendment is referred to as the "Former Employees' Pension Insurance Act" in (a)) as applied mutatis mutandis pursuant to Article 130-2, paragraphs (1) and (2), Article 136-3, paragraph (1), item (i), item (iv), (d) of that paragraph and item (v), (f) of that paragraph, and paragraph (2) of that Article of the Former Employees' Pension Insurance Act which remain in force pursuant to the provisions of Article 5, paragraph (1) of the Supplementary Provisions of the 2013 Employees' Pension Amendment Act; and set forth in Article 159-2, paragraphs (1) and (2) of the Former Employees' Pension Insurance Act, Article 136-3, paragraph (1), item (i), item (iv), (d) of that paragraph and item (v), (f) of that paragraph of the Former Employees' Pension Insurance Act as applied mutatis mutandis pursuant to Article 164, paragraph (3) of that Act, and Article 130-2, paragraph (2) of the Former Employees' Pension Insurance Act as applied mutatis mutandis pursuant to Article 136-3, paragraph (2) of that Act as applied mutatis mutandis pursuant to Article 164, paragraph (3) of that Act which remain in force pursuant to the provisions of Article 38, paragraph (1) of the Supplementary Provisions of the 2013 Employees' Pension Amendment Act;
ロ 国民年金法(昭和三十四年法律第百四十一号)第百二十八条第三項及び第百三十七条の十五第四項に規定する信託の受益権
(b) the beneficial interest in a trust set forth in Article 128, paragraph (3) and Article 137-15, paragraph (4) of the National Pension Act (Act No. 141 of 1959);
ハ 国民年金基金令(平成二年政令第三百四号)第三十条第一項第一号、第四号ニ及び第五号ヘ並びに第二項(同令第五十一条第一項において準用する場合を含む。)に規定する信託の受益権
(c) the beneficial interest in a trust set forth in Article 30, paragraph (1), item (i), item (iv), (d) of that paragraph and item (v), (f) of that paragraph, and paragraph (2) of that Article of the Order for Enforcement of the National Pension Act (Cabinet Order No. 304 of 1990) (including as applied mutatis mutandis pursuant to Article 51, paragraph (1) of that Order);
ニ 法人税法(昭和四十年法律第三十四号)附則第二十条第三項に規定する適格退職年金契約(信託の契約に限る。)に係る信託の受益権
(d) the beneficial interest in a trust connected with a qualified retirement pension contract (limited to a trust contract) as prescribed in Article 20, paragraph (3) of the Supplementary Provisions of the Corporation Tax Act (Act No. 34 of 1965);
ホ 確定給付企業年金法(平成十三年法律第五十号)第六十五条第三項に規定する資産管理運用契約(同条第一項第一号に掲げる信託の契約に限る。)、同法第六十六条第一項(同法第九十一条の二十四において準用する場合を含む。)の規定により締結する同法第六十五条第一項第一号に掲げる信託の契約及び同法第六十六条第二項(同法第九十一条の二十四において準用する場合を含む。)に規定する信託の契約に係る信託の受益権
(e) the beneficial interest in a trust connected with asset management contracts as prescribed in Article 65, paragraph (3) of the Defined-Benefit Corporate Pension Act (Act No. 50 of 2001) (limited to a trust contract set forth in Article 65, paragraph (1), item (i) of that Act), a trust contract set forth in Article 65, paragraph (1), item (i) of that Act concluded under Article 66, paragraph (1) of that Act (including as applied mutatis mutandis pursuant to Article 91-24 of that Act) and a trust contract as prescribed in Article 66, paragraph (2) of that Act (including as applied mutatis mutandis pursuant to Article 91-24 of that Act);
ヘ 確定拠出年金法(平成十三年法律第八十八号)第八条第二項に規定する資産管理契約(同条第一項第一号に掲げる信託の契約に限る。)に係る信託の受益権
(f) the beneficial interest in a trust connected with an asset management contract prescribed in Article 8, paragraph (2) of the Defined Contribution Pension Act (Act No. 88 of 2001) (limited to the trust contract set forth in paragraph (1), item (i) of that Article);
ト 年金積立金管理運用独立行政法人法(平成十六年法律第百五号)第二十一条第一項第三号に規定する信託の受益権
(g) the beneficial interest in a trust prescribed in Article 21, paragraph (1), item (iii) of the Act on the Government Pension Investment Fund (Act No. 105 of 2004);
チ 社債等の振替に関する法律(平成十三年法律第七十五号)第五十一条第一項の規定により締結する加入者保護信託契約に係る信託の受益権
(h) the beneficial interest in a trust connected with protective trust contracts concluded pursuant to Article 51, paragraph (1) of the Act on Transfer of Corporate Bonds (Act No. 75 of 2001);
リ 法第四十三条の二第二項に規定する信託の受益権その他これに類するものとして内閣府令で定める信託の受益権
(i) the beneficial interest in a trust set forth in Article 43-2, paragraph (2) of the Act and other beneficial interest in a trust specified by Cabinet Office Order as being similar thereto;
ヌ 勤労者財産形成促進法(昭和四十六年法律第九十二号)第六条の二第一項及び第六条の三第二項に規定する信託の受益権
(j) the beneficial interest in a trust prescribed in Article 6-2, paragraph (1) and Article 6-3, paragraph (2) of the Workers' Property Accumulation Promotion Act (Act No, 92 of 1971);
ル 商品投資に係る事業の規制に関する法律第二条第六項に規定する商品投資受益権に該当する信託の受益権であつて、当該信託の信託財産の全部を充てて法第二条第二項第五号に掲げる権利(当該権利に係る同号に規定する出資対象事業が商品投資を行う事業であるもの又は一の法人(以下この号において「特定法人」という。)への出資(以下この号及び第三項において「特定出資」という。)を行う事業であつて次に掲げる要件のすべてに該当するものに限る。)又はこれに類する同条第二項第六号に掲げる権利が取得される場合における当該信託の受益権
(k) the beneficial interest in a trust which falls under the category of a beneficial interest in commodities investment as prescribed in Article 2, paragraph (6) of the Act on Regulation of Commodity Investment, if rights set forth in Article 2, paragraph (2), item (v) of the Act (limited to cases in which the Invested Business prescribed in that item that is associated with those rights is conducted through Commodities Investment or investment in a single corporation (hereinafter referred to as a "Specified Corporation" in this item) (hereinafter such investment is referred to as "Specified Investment" in this item and paragraph (3)) which satisfies all of the following requirements) or rights set forth in Article 2, paragraph (2), item (vi) of the Act equivalent thereto are acquired by allocating all of the trust property in that trust:
(1) 当該特定法人が特定出資に係る金銭その他の財産の価額の合計額の百分の五十を超える額を充てて有価証券に対する投資として運用するものではないこと。
1. the business is not one wherein the Specified Corporation invests in Securities by allocating an amount exceeding 50 percent of the total amount of money or other property from Specified Investment; and
(2) 法令又は当該特定法人の定款、寄附行為その他これらに準ずるものにより当該特定法人が二以上の者から出資を受けることにつき禁止がされていること。
2. the Specified Corporation is prohibited from receiving investments from two or more persons by laws and regulations, the articles of incorporation of the Specified Corporation, articles of endowment, or any other thing equivalent thereto;
二 法第二条第二項第二号に掲げる権利のうち、前号に掲げる権利の性質を有するもの
(ii) among the rights set forth in Article 2, paragraph (2), item (ii) of the Act, those with the nature of the rights set forth in the preceding item;
三 法第二条第二項第三号に掲げる権利のうち、その出資総額の百分の五十を超える額を有価証券に対する投資に充てて事業を行う合名会社、合資会社又は合同会社の社員権
(iii) among the rights set forth in Article 2, paragraph (2), item (iii) of the Act, membership rights in a general partnership company, limited partnership company or limited liability company that carries out investment in Securities by allocating an amount exceeding 50 percent of the total investment;
四 法第二条第二項第四号に掲げる権利のうち、前号に掲げる権利の性質を有するもの
(iv) among the rights set forth in Article 2, paragraph (2), item (iv) of the Act, those with the nature of the rights set forth in the preceding item; and
五 法第二条第二項第六号に掲げる権利のうち、前条第一項に規定する権利の性質を有するもの
(v) among the rights set forth in Article 2, paragraph (2), item (vi) of the Act, those with the nature of the rights set forth in paragraph (1) of the preceding Article.
2 法第三条第三号ハに規定する政令で定めるものは、第一条の三の四に規定する債権とする。
(2) The rights specified by Cabinet Order that are provided for in Article 3, item (iii), (c) of the Act are the claims set forth in Article 1-3-4.
3 第一項第一号ルに規定する特定法人が特定出資に係る金銭その他の財産の全部又は商品投資により運用するもの以外のものの全部を充てて他の法人に出資を行う場合には、同号ル(1)及び(2)の規定の適用については、当該他の法人を当該特定法人とみなす。
(3) If the Specified Corporation set forth in paragraph (1), item (i), (k) invests in another corporation by allocating the entire sum of money or other property from Specified Investment, or by allocating anything other than that which it invests through Commodities Investment, with regard to the application of the provisions of item (i), (k), 1. and 2., the other corporation is deemed to be the Specified Corporation.
(法第二章の規定が適用されない有価証券)
(Securities Free from the Application of the Provisions of Chapter II of the Act)
第二条の十一 法第三条第五号に規定する政令で定めるものは、法第二条第一項第十七号に掲げる有価証券のうち日本国の加盟する条約により設立された機関が発行する債券で、当該条約によりその本邦内における募集又は売出しにつき日本国政府の同意を要することとされているものとする。
Article 2-11 The Securities specified by Cabinet Order that are provided for in Article 3, item (v) of the Act are, among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, the bonds issued by an institution established by a treaty to which Japan is a member state, whose public offering or secondary distribution within Japan requires the consent of the Japanese government pursuant to the treaty.
(募集又は売出しの届出を要しない有価証券の募集又は売出し)
(Public Offering or Secondary Distribution of Securities Not Requiring a Public Offering or Secondary Distribution Notification)
第二条の十二 法第四条第一項第一号に規定する政令で定める場合は、新株予約権証券(会社法第二百三十六条第一項第六号に掲げる事項が定められているものに限る。)又は法第二条第一項第十七号に掲げる有価証券のうち新株予約権証券の性質を有するもので内閣府令で定める条件が付されているもの(以下この条において「新株予約権証券等」と総称する。)の発行者である会社(外国会社を含む。第十四条の十七第十号、第二十七条の四第六号及び第三十三条の二第六号を除き、以下同じ。)が、当該会社又は当該会社に関係する会社として内閣府令で定めるものの取締役、会計参与、監査役、執行役又は使用人を相手方として、当該新株予約権証券等の取得勧誘又は売付け勧誘等を行う場合とする。
Article 2-12 The cases specified by Cabinet Order that are provided for in Article 4, paragraph (1), item (i) of the Act are cases in which the company (including a foreign company; hereinafter the same applies except in Article 14-17, item (x), Article 27-4, item (vi) and Article 33-2, item (vi)) that is the issuer of the share option certificates (limited to those for which the particulars set forth in Article 236, paragraph (1), item (vi) of the Companies Act are provided) or, among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, the Securities which have the nature of share option certificates with the conditions specified by Cabinet Office Order (hereinafter collectively referred to as the "Share Option Certificates, etc." in this Article) makes a Solicitation of Offers to Acquire or an Offer to Sell, etc. the Share Option Certificates, etc. that has the director, accounting advisor, company auditor, executive officer, or employee of the relevant company or of another company specified by Cabinet Office Order as being related to the relevant company as the other party.
(外国で既に発行された有価証券に準ずる有価証券)
(Securities Equivalent to Securities Already Issued in a Foreign State)
第二条の十二の二 法第四条第一項第四号に規定する政令で定める有価証券は、国内で既に発行された有価証券でその発行の際にその有価証券発行勧誘等(同条第二項に規定する有価証券発行勧誘等をいう。以下同じ。)が国内で行われなかつたものとする。
Article 2-12-2 Securities specified by Cabinet Order that are provided for in Article 4, paragraph (1), item (iv) of the Act are Securities that have already been issued in Japan but for which Solicitation for Newly Issued Securities, etc. (meaning Solicitation for Newly Issued Securities, etc. as defined in paragraph (2) of that Article; the same applies hereinafter) was not undertaken in Japan at the time of their issuance.
(有価証券の売出しの届出を要しない有価証券の売出し)
(Secondary Distribution of Securities Not Requiring a Secondary Distribution of Securities Notification)
第二条の十二の三 法第四条第一項第四号に規定する政令で定める要件は、次の各号に掲げる有価証券の区分に応じ、当該各号に定めるものとする。
Article 2-12-3 The requirements specified by Cabinet Order that are provided for in Article 4, paragraph (1), item (iv) of the Act are as specified in the relevant of the following items for the category of Securities set forth in that item:
一 法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に掲げる有価証券の性質を有するもの(以下この号において「外国国債」という。)次に掲げる要件の全てに該当すること。
(i) Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the nature of Securities specified in item (i) of that paragraph (hereinafter referred to as "Foreign National Government Bonds" in this item): All of the following requirements are satisfied:
イ 国内における当該外国国債に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of the Foreign National Government Bonds in Japan by using the Internet or by any other means;
ロ 当該外国国債又は当該外国国債の発行者が発行する他の外国国債の売買が外国において継続して行われていること。
(b) purchase and sales of the Foreign National Government Bonds or of other Foreign National Government Bonds that their Issuer issues are ongoing in a foreign state;
ハ 当該外国国債の発行者の財政に関する情報その他の発行者に関する情報(日本語又は英語で記載されたものに限る。)が当該発行者その他これに準ずる者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十七条において準用する法第二十四条第一項の規定により有価証券報告書を提出している場合を除く。)。
(c) financial information on the Issuer of the Foreign National Government Bonds and other information on the Issuer (limited to information published in Japanese or English) has been made public by the Issuer or any other person equivalent thereto, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act applied mutatis mutandis pursuant to Article 27 of the Act);
二 法第二条第一項第十七号に掲げる有価証券のうち同項第二号に掲げる有価証券の性質を有するもの(以下この号において「外国地方債」という。)次に掲げる要件の全てに該当すること。
(ii) Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the nature of Securities specified in item (ii) of that paragraph (hereinafter referred to as "Foreign Municipal Bonds" in this item): All of the following requirements are satisfied:
イ 国内における当該外国地方債に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of those Foreign Municipal Bonds in Japan by using the Internet or by any other means;
ロ 当該外国地方債又は当該外国地方債の発行者が発行する他の外国地方債の売買が外国において継続して行われていること,
(b) purchase and sales of the Foreign Municipal Bonds or of other Foreign Municipal Bonds that their Issuer issues are ongoing in a foreign state;
ハ 当該外国地方債の発行者の財政に関する情報その他の発行者に関する情報(日本語又は英語で記載されたものに限る。)が当該発行者その他これに準ずる者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十七条において準用する法第二十四条第一項の規定により有価証券報告書を提出している場合を除く。)
(c) financial information on the Issuer of the Foreign Municipal Bonds and other information on the Issuer (limited to information published in Japanese or English) has been made public by the Issuer or any other person equivalent thereto, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act applied mutatis mutandis pursuant to Article 27 of the Act);
三 法第二条第一項第十七号に掲げる有価証券のうち同項第三号に掲げる有価証券の性質を有するもの(以下この号において「外国特殊法人債」という。) 次に掲げる要件の全てに該当すること
(iii) Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the nature of Securities specified in item (iii) of that paragraph (hereinafter referred to as "Foreign Public Corporate Bonds" in this item): All of the following requirements are satisfied:
イ 国内における当該外国特殊法人債に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of the Foreign Public Corporate Bonds in Japan by using the Internet or by any other means;
ロ 当該外国特殊法人債又は当該外国特殊法人債の発行者が発行する他の外国特殊法人債の売買が外国において継続して行われていること。
(b) purchase and sales of the Foreign Public Corporate Bonds or of other Foreign Public Corporate Bonds that their Issuer issues are ongoing in a foreign state;
ハ 当該外国特殊法人債の発行者の経理に関する情報その他の発行者に関する情報(日本語又は英語で記載されたものに限り、かつ、発行者の経理に関する情報にあつては、公益又は投資者保護のため金融庁長官が適当であると認める基準に従つて作成された情報に限る.次号二及び第六号ハにおいて同じ。)が当該発行者その他これに準ずる者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十四条第一項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)。
(c) accounting information about the Issuer of the Foreign Public Corporate Bonds and other information on the Issuer (limited to information published in Japanese or English, and in the case of accounting information about the Issuer, limited to information prepared according to criteria deemed appropriate by the Commissioner of the Financial Services Agency for the public interest or protection of investors; the same applies in (d) of the following item and item (vi), (c)) is made public by the Issuer or any other person equivalent thereto, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act));
四 社債券(あらかじめ定められた一定の条件に該当する場合において、当該社債券の発行者以外の者が発行する株券に転換されるものに限る。以下この号において同じ。)及び法第二条第一項第十七号に掲げる有価証券のうち当該社債券の性質を有するもの(以下この号及び第六号において「海外発行転換可能社債券」という。)次に掲げる要件の全てに該当すること。
(iv) corporate bond certificates (if certain predetermined conditions are met, limited to those converted into share certificates issued by persons other than the Issuer of the corporate bond certificates; hereinafter the same applies in this item) and Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the nature of such corporate bond certificates (hereinafter referred to as "Convertible Corporate Bond Certificates Issued Overseas" in this item and item (vi)): All of the following requirements are satisfied:
イ 国内における当該海外発行転換可能社債券に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of the Convertible Corporate Bond Certificates Issued Overseas in Japan by using the Internet or by any other means;
ロ 当該海外発行転換可能社債券が外国の金融商品取引所(金融商品取引所に類するもので外国の法令に基づき設立されたものをいう。第十二条第七号及び第十四条の三の七第二号において同じ。)のうち、上場されている有価証券及びその発行者に関する情報の開示の状況並びに売買高その他の状況を勘案して金融庁長官が指定するもの(以下「指定外国金融商品取引所」という。)に上場されていること、又は当該海外発行転換可能社債券の売買が外国において継続して行われていること。
(b) the Convertible Corporate Bond Certificates Issued Overseas are listed on a Financial Instruments Exchange in a foreign state (meaning an exchange similar to a Financial Instruments Exchange, which is established under laws and regulations of a foreign state; the same applies in Article 12, item (vii) and Article 14-3-7, item (ii)) which is designated by the Commissioner of the Financial Services Agency in consideration of the Securities listed thereon, the state of disclosure of information on the Issuer, the trading volume and other circumstances (hereinafter referred to as "Designated Foreign Financial Instruments Exchange"), or purchase and sales of the Convertible Corporate Bond Certificates Issued Overseas are ongoing in a foreign state;
ハ あらかじめ定められた一定の条件に該当する場合において転換されることとなる株券又は法第二条第一項第十七号に掲げる有価証券のうち株券の性質を有するもの(以下この条において「株券」という。)が金融商品取引所又は指定外国・金融商品取引所に上場されていること.
(c) share certificates that it has been established will be converted if certain predetermined conditions are met or Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the nature of share certificates (hereinafter referred to as "Share Certificates" in this Article) are listed on a Financial Instruments Exchange or a Designated Foreign Financial Instruments Exchange;
ニ 当該海外発行転換可能社債券又は当該海外発行転換可能社債券の発行者が発行する株券が指定外国金融商品取引所に上場されている場合にあつては当該指定外国金融商品取引所の定める規則、それ以外の場合にあつては当該海外発行転換可能社債券の売買が継続して行われている外国の法令(これに類する国際機関の規則を含む。以下この条において同じ。)に基づき、当該海外発行転換可能社債券の発行者の経理に関する情報その他の発行者に開する情報が発行者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十四条第一項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)
(d) under the rules provided by a Designated Foreign Financial Instruments Exchange if the Convertible Corporate Bond Certificates Issued Overseas or Share Certificates of the Issuer of the Convertible Corporate Bond Certificates Issued Overseas are listed on the Designated Foreign Financial Instruments Exchange, or under the laws and regulations of a foreign state in which purchase and sales of the Convertible Corporate Bond Certificates Issued Overseas are ongoing (including rules of international organizations similar thereto; hereinafter the same applies in this Article) in other cases, accounting information about the Issuer of the Convertible Corporate Bond Certificates Issued Overseas and other information about the Issuer is made public by the Issuer, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act));
五 法第二条第一項第五号から第七号までに掲げる有価証券(次号において「債券等」という。)で新株予約権証券等に該当するもの(以下この号において「新株予約権付債券」という。)及び同項第十七号に掲げる有価証雰のうち新株予約権付債舞の性質を有するもの(以下この号及び次号において「海外発行新株予約権付債券」という。)次に掲げる要件の全てに該当すること。
(v) Securities specified in Article 2, paragraph (1), items (v) to (vii) of the Act (referred to as "Bond Certificates, etc." in the following item) that constitute Share Option Certificates, etc. (hereinafter referred to as "Bond Certificates with Share Options" in this item) and Securities specified in item (xvii) of that paragraph which have the nature of Bond Certificates with Share Options (referred to as "Bond Certificates with Share Options Issued Overseas" in this item and the following item): All of the following requirements are satisfied:
イ 国内における当該海外発行新株予約権付債券に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of those Bond Certificates with Share Options Issued Overseas in Japan by using the Internet or by any other means;
ロ 当該海外発行新株予約権付債券が指定外国金融商品取引所に上場されていること、又は当該海外発行新株予約権付債券の売買が外国において継続して行われていること。
(b) the Bond Certificates with Share Options Issued Overseas are listed on a Designated Foreign Financial Instruments Exchange, or purchase and sales of the Bond Certificates with Share Options Issued Overseas are ongoing in a foreign state;
ハ 当該海外発行新株予約権付債雰に表示された権利の行使により取得され、引き受けられ、又は転換されることとなる株券が指定外国金融商品取引所に上場されていること。
(c) the Share Certificates that would be acquired, subscribed for or converted through the exercise of the rights indicated on the Bond Certificates with Share Options Issued Overseas are listed on a Designated Foreign Financial Instruments Exchange;
ニ 当該海外発行新株予約権付債券又はハに規定する株券が上場されている指定外国金融商品取引所の定める規則に基づき、当該海外発行新株予約権付債券の発行者の経理に関する情報その他の発行者に関する情報(日本語又は英語で記載されたものに限る。)が発行者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十四条第一項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)
(d) pursuant to the rules established by the Designated Foreign Financial Instruments Exchange on which the Bond Certificates with Share Options Issued Overseas or Share Certificates prescribed in (c) are listed, accounting information for the Issuer of the Bond Certificates with Share Options Issued Overseas and other information on the Issuer (limited to information published in Japanese or English) has been made public by the Issuer, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act));
六 債券等(海外発行転換可能社債券及び海外発行新株予約権付債券を除く。以下この号において同じ。)及び法第二条第一項第十七号に掲げる有価証券のうち債券等の性質を有するもの(以下この号において「海外発行債券」という。)次に掲げる要件の全てに該当すること。
(vi) Bond Certificates, etc. (excluding Convertible Corporate Bond Certificates Issued Overseas and Bond Certificates with Share Options Issued Overseas; hereinafter the same applies in this item) and Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the nature of Bond Certificates, etc. (hereinafter referred to as "Bond Certificates Issued Overseas" in this item): All of the following requirements are satisfied:
イ 国内における当該海外発行債券に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of those Bond Certificates Issued Overseas in Japan by using the Internet or by any other means;
ロ 当該海外発行債券が指定外国金融商品取引所に上場されていること、又は当該海外発行債券の売買が外国において継続して行われていること(当該海外発行債券の発行者の総株主等の議決権(法第二十九条の四第二項に規定する総株主等の議決権をいう。以下同じ。)の過半数を自己又は他人の名義をもつて所有する会社(金融商品取引所又は指定外国金融商品取引所に上場されている株券の発行者に限る。以下この号において「親会社」という。)が当該海外発行債券の元本の償還及び利息の支払について保証している場合を除く。)
(b) the Bond Certificates Issued Overseas are listed on a Designated Foreign Financial Instruments Exchange, or purchase and sales of the Bond Certificates Issued Overseas are ongoing in a foreign state (excluding cases in which a company that holds, in its own name or in another person's name, the majority of the Voting Rights Held by All the Shareholders, etc. (meaning Voting Rights Held by All the Shareholders, etc. as defined in Article 29-4, paragraph (2) of the Act; the same applies hereinafter) of the Issuer of the Bond Certificates Issued Overseas (limited to the Issuer of Share Certificates that are listed on a Financial Instruments Exchange or a Designated Foreign Financial Instruments Exchange; hereinafter referred to as "Parent Company" in this item) guarantees the redemption of the principal and the payment of interest of the Bond Certificates Issued Overseas);
ハ 当該海外発行債券が指定外国金融商品取引所に上場されている場合にあつては当該指定外国金融商品取引所の定める規則、それ以外の場合にあつては当該海外発行債券の売買が継続して行われている外国の法令に基づき、当該海外発行債券の発行者の経理に関する情報その他の発行者に関する情報(ロ括弧書に規定する場合に該当する場合であつて、親会社が法第二十四条第一項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出しているとき、又は当該親会社の株券が上場されている指定外国金融商品取引所の定める規則に基づき、当該親会社の経理に関する情報その他の当該親会社に関する情報(日本語又は英語で記載されたものに限る。)が当該親会社により公表されており、かつ、国内においてインターネットの利用その他の方怯により当該情報を容易に取得することができるときは、当該海外発行債券について保証を受けている旨、当該保証を行つている親会社の名称及び発行者の事業の内容その他の内閣府令で定める情報)が発行者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が同項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)。
(c) pursuant to the rules established by the Designated Foreign Financial Instruments Exchange on which the Bond Certificates Issued Overseas are listed, if they are listed on a Designated Foreign Financial Instruments Exchange; or pursuant to the laws and regulations of the foreign state in which purchase and sales of the Bond Certificates Issued Overseas are ongoing, in other cases; accounting information for the Issuer of the Bond Certificates Issued Overseas and other information on the Issuer (in the case provided in the parentheses in (b), if the Parent Company has submitted an Annual Securities Report pursuant to the provisions of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act), or if accounting information on the Parent Company or other information about the Parent Company (limited to information published in Japanese or English) has been made public by the Parent Company pursuant to the rules established by the Designated Foreign Financial Instruments Exchange on which the Share Certificates of the Parent Company are listed, and persons can easily obtain that information in Japan by using the Internet or by any other means, an indication that a guarantee has been received for the Bond Certificates Issued Overseas, the name of the Parent Company providing the guarantee, a description of the business of the Issuer, and other information specified by Cabinet Office Order) has been made public by the Issuer, and that information can easily be obtained in Japan using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of that paragraph (including as applied mutatis mutandis pursuant to Article 27 of the Act));
七 株券及び法第二条第一項第十七号に掲げる有価証弊のうち株券の性質を有するもの(以下この号において「海外発行株券」という)次に掲げる要件の全てに該当すること。
(vii) Share Certificates and Securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the nature of Share Certificates (hereinafter referred to as "Share Certificates Issued Overseas" in this item): All of the following requirements are satisfied:
イ 国内における当該海外発行株券に係る売買価絡に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of those Share Certificates Issued Overseas in Japan by using the Internet or by any other means;
ロ 当該海外発行株券が指定外国金融商品取引所に上場されていること。
(b) the Share Certificates Issued Overseas are listed on a Designated Foreign Financial Instruments Exchange;
ハ 当該海外発行株券が上場されている指定外国金融商品取引所の定める規則に基づき、当該海外発行株券の発行者の経理に関する情報その他の発行者に開する情報(日本語又は英語で記載されたものに限る。)が発行者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十四条第一項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)
(c) pursuant to the rules established by the Designated Foreign Financial Instruments Exchange on which the Share Certificates Issued Overseas are listed, accounting information for the Issuer of the Share Certificates Issued Overseas and other information on the Issuer (limited to information published in Japanese or English) has been made public by the Issuer, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act));
八 法第二条第一項第十号に掲げる外国投資信託の受益証券のうち投資信託及び投資法人に関する法律施行令(平成十二年政令第四百八十号)第十二条第二号に掲げる投資信託の受益証券に類するもの(以下この号において「海外発行受益証券」という。)及び同項第十一号に掲げる外国投資証券(投資信託及び投資法人に関する法律に規定する外国投資証券で新投資口予約権証券又は投資法人債券に類する証券を除く。以下この号において「海外発行投資証券」という。)次に掲げる要件の全てに該当すること。
(viii) beneficiary certificates of foreign investment trusts specified in Article 2, paragraph (1), item (x) of the Act which are similar to the beneficiary certificates of investment trusts specified in Article 12, item (ii) of the Order for Enforcement of the Act on Investment Trusts and Investment Corporations (Cabinet Order No. 480 of 2000) (hereinafter referred to as "Foreign-Issued Beneficiary Certificates" in this item) and foreign investment securities specified in item (xi) of that paragraph (excluding foreign investment securities as prescribed in the Act on Investment Trusts and Investment Corporations which are similar to Investment Equity Subscription Right Certificates or investment corporation bond certificates; hereinafter referred to as "Foreign-Issued Investment Securities" in this item): All of the following requirements are satisfied:
イ 国内における当該海外発行受益証券又は海外発行投資証券(以下この号において「当該海外発行受益証券等」という。)に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(a) persons can easily obtain information on the trading price of the Foreign-Issued Beneficiary Certificates or Foreign-Issued Investment Securities (hereinafter referred to as "the Foreign-Issued Beneficiary Certificates or Investment Securities" in this item) in Japan by using the Internet or by any other means;
ロ 当該海外発行受益証券等が指定外国金融商品取引所に上場されていること。
(b) the Foreign-Issued Beneficiary Certificates or Investment Securities are listed on a Designated Foreign Financial Instruments Exchange;
ハ 当該海外発行受益証券等が上場されている指定外国金融商品取引所の定める規則に基づき、当該海外発行受益証券等に関する情報(日本語又は英語で記載されたものに限る。)が当該海外発行受益証券等の発行者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十四条第五項において準用する同条第一項(これらの規定を法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)
(c) pursuant to the rules established by the Designated Foreign Financial Instruments Exchange on which the Foreign-Issued Beneficiary Certificates or Investment Securities are listed, information on the Foreign-Issued Beneficiary Certificates or Investment Securities (limited to information published in Japanese or English) has been made public by the Issuer of the Foreign-Issued Beneficiary Certificates or Investment Securities, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act applied mutatis mutandis pursuant to paragraph (5) of that Article (including as applied mutatis mutandis pursuant to Article 27 of the Act));
九 法第二条第一項第十九号に掲げる有価証券(以下この号において「権利表示証券」という。)次に掲げる要件の全てに該当すること。
(ix) Securities specified in Article 2, paragraph (1), item (xix) of the Act (hereinafter referred to as "Securities Indicating Rights" in this item): All of the following requirements are satisfied:
イ 当該権利表示証券が次に掲げる要件の全てに該当する株券等(株券、法第二条第一項第十一号に掲げる有価証券(投資信託及び投資法人に関する法律に規定する投資法入債券及び外国投資証券で投資法人債券に類する証券並びに新投資口予約権証券等を除く。以下イにおいて「投資証券」という。)及び同項第二十号に掲げる有価証券で株券又は投資証券に係る権利を表示するものをいう、以下イにおいて同じ。)又は社債券等(社債券及び同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をいう。以下イにおいて同じ。)に係る同条第二十二項第三号又は第四号に掲げる取引に係る権利を表示するものであること。
(a) the Securities Indicating Rights indicate the rights associated with transactions specified in Article 2, paragraph (22), item (iii) or (iv) involving Share Certificates, etc. (meaning Share Certificates, Securities specified in Article 2, paragraph (1), item (xi) of the Act (excluding investment corporation bond certificates and foreign investment securities similar to investment corporation bond certificates prescribed in the Act on Investment Trusts and Investment Corporations, as well as Investment Equity Subscription Right Certificates, etc.; hereinafter referred to as "Investment Securities" in (a)) and Securities specified in item (xx) of that paragraph which indicate rights associated with Share Certificates or Investment Securities; hereinafter the same applies in (a)) or corporate bond certificates, etc. (meaning corporate bond certificates and Securities specified in item (xvii) of that paragraph which have the nature of corporate bond certificates; hereinafter the same applies in (a)) which satisfy all of the following requirements:
(1) 当該株券等若しくは当該社債券等が金融商品取引所若しくは指定外国金融商品取引所に上場されていること、又は当該社債券等の売買が外国において継続して行われていること。
1. the Share Certificates, etc. or corporate bond certificates, etc. are listed on a Financial Instruments Exchange or a Designated Foreign Financial Instruments Exchange, or purchase and sales of the corporate bond certificates, etc. are ongoing in a foreign state;
(2) 当該株券等若しくは当該社債券等が上場されている指定外国金融商品取引所の定める規則又は当該社債券等の売買が継続して行われている外国の法令に基づき、当該株券等又は当該社債券等の発行者の経理に関する情報その他の発行者に関する情報(日本語又は英語で記載されたものに限る。)が発行者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十四条第一項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)
2. pursuant to the rules established by the Designated Foreign Financial Instruments Exchange on which the Share Certificates, etc. or the corporate bond certificates, etc. are listed, or pursuant to the laws and regulations of the foreign state in which purchase and sales of the corporate bond certificates, etc. are ongoing, accounting information for the Issuer of the Share Certificates, etc. or the corporate bond certificates, etc. and other information on the Issuer (limited to information published in Japanese or English) has been made public by the Issuer, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act));
ロ 当該権利表示証券に表示された権利を行使することによつて将来の一定の時期において当該権利に係る取引が成立することをあらかじめ約するものであつて、当該取引について差金の授受によつて決済が行われるものであること。
(b) it is agreed upon in advance that by the exercise of rights indicated on the Securities Indicating Rights, the transaction connected with those rights will be executed at a fixed time in the future, and that the parties will settle by delivering and taking delivery of the difference in values associated with the transaction;
ハ 国内における当該権利表示証券に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(c) persons can easily obtain information on the trading price of those Securities Indicating Rights in Japan by using the Internet or by any other means;
十 法第二条第一項第二十号に掲げる有価証券次に掲げる要件の全てに該当すること。
(x) Securities specified in Article 2, paragraph (1), item (xx) of the Act: All of the following requirements are satisfied:
イ 当該有価証券が株券に係る権利を表示するものであること。
(a) the Securities indicate the rights associated with the Share Certificates;
ロ 国内における当該有価証券に係る売買価格に関する情報をインターネットの利用その他の方法により容易に取得することができること。
(b) persons can easily obtain information on the trading price of the Securities in Japan by using the Internet or by any other means;
ハ 当該有価証券が指定外国金融商品取引所に上場されていること
(c) the Securities are listed on a Designated Foreign Financial Instruments Exchange;
ニ 当該有価証券が上場されている指定外国金融商品取引所の定める規則に基づき、当該有価証券の発行者の経理に関する情報その他の発行者に関する情報(日本語又は英語で記載されたものに限る。)が発行者により公表されており、かつ、国内においてインターネットの利用その他の方法により当該情報を容易に取得することができること(当該発行者が法第二十四条第一項(法第二十七条において準用する場合を含む。)の規定により有価証券報告書を提出している場合を除く。)
(d) pursuant to the rules established by the Designated Foreign Financial Instruments Exchange on which the Securities are listed, accounting information for the Issuer of the Securities and other information on the Issuer (limited to information published in Japanese or English) has been made public by the Issuer, and persons can easily obtain that information in Japan by using the Internet or by any other means (excluding cases in which the Issuer has submitted an Annual Securities Report under the provisions of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act)).
(特定投資家向け有価証券から除かれる有価証券等)
(Securities Excluded from Consideration as Securities for Professional Investors)
第二条の十二の四 法第四条第三項に規定する多数の特定投資家に所有される見込みが少ないと認められるものとして政令で定めるものは、当該有価証券(有価証券の種類及び流通性その他の事情を勘案し、投資者保護のため適当でないと認められるものとして内閣府令で定める有価証券を除く。)の発行者の直前の事業年度(当該有価証券が特定有価証券に該当する場合には、当該有価証券に係る特定期間(法第二十四条第五項において読み替えて準用する同条第一項に規定する特定期間をいう。第四条の二第一項において同じ。)。以下この項、第三条の四及び第四条の二の二において同じ。)の末日及び直前の事業年度の開始の日前二年以内に開始した事業年度全ての末日における当該有価証券の内閣府令で定めるところにより計算した所有者の数が三百に満たない場合(当該有価証券が特定投資家向け有価証券に該当することとなつた日の属する事業年度(当該事業年度が複数あるときは、その直近のものとする。)終了後三年を経過している場合に限る。)であつて、特定投資家向け有価証券に該当しないこととし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ところにより金融庁長官の承認を受けた有価証券とする。
Article 2-12-4 (1) The Securities specified by Cabinet Order as those which it is found are unlikely to be owned by a large number of Professional Investors, as prescribed in Article 4, paragraph (3) of the Act, are the Securities approved by the Commissioner of the Financial Services Agency pursuant to the provisions of Cabinet Office Order as those for which it would not compromise the public interest or protection of investors even if the Securities (excluding Securities specified by Cabinet Office Order as those which have been found to be improper regarding the protection of investors, taking into consideration the class and liquidation and other particulars of the Securities) do not fall under the category of Securities for Professional Investors, if the holders of those Securities as of the last day of the immediately preceding business year (if the Securities fall under the category of Regulated Securities, the Specified Period (meaning a Specified Period as prescribed in Article 24, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act following the deemed replacement of terms; the same applies in Article 4-2, paragraph (1)) relating to those Securities; hereinafter the same applies in this paragraph, Article 3-4 and Article 4-2-2) of or every last day of the business years commenced within two years before the day of the commencement of the immediately preceding business year of the issuer of those Securities are less than 300 persons (limited to if three years have elapsed after the close of the business year wherein the Securities came to fall under the category of Securities for Professional Investors (if there are two or more business years, the latest business year)).
2 法第四条第三項に規定する政令で定める有価証券交付勧誘等(同条第二項に規定する有価証券交付勧誘等をいう。以下この項及び第三条の三において同じ。)は、次の各号のいずれかに該当するものとする。
(2) The solicitation with a view to delivering existing securities specified by Cabinet Order that is provided for in Article 4, paragraph (3) of the Act (meaning solicitation with a view to delivering existing securities as defined in paragraph (2) of that Article; hereinafter the same applies in this paragraph and Article 3-3) means that which falls under any of the following items:
一 金融商品取引業者等が自己のために特定投資家等に対して行う有価証券交付勧誘等
(i) solicitation with a view to delivering existing securities by a Financial Instruments Business Operator, etc. to Professional Investors, etc. for itself;
二 外国証券業者に委託して非居住者に対して行う有価証券交付勧誘等
(ii) solicitation with a view to delivering existing securities to Non-Residents by entrusting it to Foreign Securities Services Provider;
三 公開買付け(法第二十七条の二第六項に規定する公開買付けをいう。次章第一節において同じ。)に応じて行う株券等(同条第一項に規定する株券等をいう。)の売付けの申込み
(iii) offering to sell Share Certificates, etc. (meaning the Share Certificates, etc. set forth in Article 27-2, paragraph (1) of the Act) in response to a Tender Offer (meaning the Tender Offer set forth in Article 27-2, item (vi) of the Act; the same applies in Section 1 of the following Chapter);
四 当該有価証券交付勧誘等に係る特定投資家向け有価証券(次に掲げるものに限る。)の発行者の役員等(当該特定投資家向け有価証券の買付け(当該発行者の他の役員等と共同して、一定の計画に従い、個別の投資判断に基づかず、継続的に買付けを行うことを内容とする契約であつて各役員等の一回当たりの拠出金額が百万円に満たないものに基づいて行うものに限る。)を行う者に限る。)に対して行う有価証券交付勧誘等
(iv) solicitation with a view to delivering existing securities to an Officer, etc. (limited to an Officer, etc. that purchases the relevant Securities for Professional Investors (limited to purchase based on a contract under which the Officer, etc., will continually purchase Securities for Professional Investors jointly with another Officer, etc. of the issuer according to a fixed plan and without depending on an individual investment decision, for which each Officer, etc. contributes less than one million yen on each occasion)) of the issuer of the Securities for Professional Investors (limited to the following ones) that are the subject of the solicitation with a view to delivering existing securities:
イ 法第二条第一項第九号に掲げる有価証券
(a) the Securities set forth in Article 2, paragraph (1), item (ix) of the Act;
ロ 法第二条第一項第十一号に掲げる有価証券のうち、投資証券等又は新投資口予約権証券等
(b) among the Securities set forth in Article 2, paragraph (1), item (xi) of the Act, Investment Securities, etc. or Investment Equity Subscription Right Certificates, etc.;
ハ 法第二条第一項第十七号に掲げる有価証券のうち、同項第九号に掲げる有価証券の性質を有するもの
(c) among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, those with the nature of the Securities set forth in item (ix) of that paragraph;
ニ 法第二条第一項第二十号に掲げる有価証券でイ、ロ又はハに掲げる有価証券に係る権利を表示するもの
(d) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities set forth in (a), (b) or (c); or
ホ イ、ロ又はハに掲げる有価証券を受託有価証券とする有価証券信託受益証券
(e) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in (a), (b) or (c).
3 法第四条第三項第四号に規定する政令で定める有価証券は、次に掲げる有価証券とする。
(3) The Securities specified by Cabinet Order that are provided for in Article 4, paragraph (3), item (iv) of the Act are the following Securities:
一 特定上場有価証券であつた有価証券
(i) the Securities which were Specified Listed Securities;
二 店頭売買有価証券市場のうち当該店頭売買有価証券市場を開設する認可金融商品取引業協会がその定款の定めるところにより一般投資家等買付け(法第六十七条第三項に規定する一般投資家等買付けをいう。)を禁止しているもののみにおいて売買が行われる店頭売買有価証券(以下「特定店頭売買有価証券」という。)
(ii) the Over-the-Counter Traded Securities, sold or purchased solely in, among the Over-the-Counter Securities Markets, those in which the Authorized Financial Instruments Firms Association that establishes the relevant Over-the-Counter Securities Market prohibits Purchases for General Investors, etc. (meaning Purchases for General Investors, etc. as prescribed in Article 67, paragraph (3) of the Act) pursuant to the provisions of its articles of incorporation (hereinafter referred to as the "Specified Over-the-Counter Traded Securities"); or
三 特定店頭売買有価証券であつた有価証券
(iii) the Securities which were Specified Over-the-Counter Traded Securities.
(特定有価証券の範囲)
(Scope of Regulated Securities)
第二条の十三 法第五条第一項(法第二十七条において準用する場合を含む。)に規定する政令で定める有価証券(以下この章において「特定有価証券」という。)は、次に掲げるものとする。
Article 2-13 The Securities specified by Cabinet Order that are provided for in Article 5, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) (hereinafter referred to as the "Regulated Securities" in this Chapter) are as follows:
一 法第二条第一項第四号、第八号、第十三号及び第十五号に掲げる有価証券(同号に掲げる有価証券については、資産流動化法に規定する特定約束手形に限る。)
(i) the Securities set forth in Article 2, paragraph (1), items (iv), (viii), (xiii), and (xv) of the Act (with regard to the Securities set forth in Article 2, paragraph (1), item (xv) of the Act, the Securities are limited to the Specified Promissory Note set forth in the Asset Securitization Act);
二 法第二条第一項第十号及び第十一号に掲げる有価証券
(ii) the Securities set forth in Article 2, paragraph (1), items (x) and (xi) of the Act;
三 法第二条第一項第十四号に掲げる有価証券(有価証券信託受益証券を除く。)
(iii) the Securities set forth in Article 2, paragraph (1), item (xiv) of the Act (excluding Beneficiary Certificates of Securities in Trust);
四 法第二条第一項第十六号に掲げる有価証券
(iv) the Securities set forth in Article 2, paragraph (1), item (xvi) of the Act;
五 法第二条第一項第十八号に掲げる有価証券
(v) the Securities set forth in Article 2, paragraph (1), item (xviii);
六 有価証券信託受益証券(前各号に掲げる有価証券を受託有価証券とするものに限る。)
(vi) Beneficiary Certificates of Securities in Trust (limited to those of which the Entrusted Securities are the Securities set forth in the preceding items);
七 法第三条第三号に規定する有価証券投資事業権利等(第一条の三の四に規定する債権を除く。)
(vii) the Rights in a Securities Investment Business, etc. prescribed in Article 3, item (iii) of the Act (excluding the claims set forth in Article 1-3-4); and
八 前各号に掲げるものに準ずるものとして内閣府令で定めるもの
(viii) anything specified by Cabinet Office Order as being equivalent to what is set forth in the preceding items.
(上場有価証券に準ずる有価証券等)
(Securities Equivalent to Listed Securities)
第三条 法第六条第二号(法第十二条、第二十三条の十二第一項、第二十四条第七項、第二十四条の二第三項、第二十四条の四の二第五項(法第二十四条の四の八第一項及び第二十四条の五の二第一項において準用する場合を含む。)、第二十四条の四の三第二項(法第二十四条の四の八第二項及び第二十四条の五の二第二項において準用する場合を含む。)、第二十四条の四の四第五項、第二十四条の四の五第二項、第二十四条の四の七第五項、第二十四条の五第六項及び第二十四条の六第三項において準用し、並びにこれらの規定(同項を除く。)を法第二十七条において準用する場合を含む。以下この条において同じ。)に規定する政令で定める有価証券及び第二十四条第一項第二号(同条第五項において準用し、及びこれらの規定を法第二十七条において準用する場合を含む。)に規定する流通状況が法第二十四条第一項第一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は、店頭売買有価証券とし、法第六条第二号(法第二十七条において準用する場合を含む。)、第二十四条の七第四項第二号(同条第六項において準用し、及びこれらの規定を法第二十七条において準用する場合を含む。)、第二十五条第三項及び第五項(これらの規定を法第二十七条において準用する場合を含む。)、第二十七条の三十の二、第二十七条の三十の六第一項並びに第二十七条の三十の八第一項に規定する政令で定める認可金融商品取引業協会は、当該店頭売買有価証券を登録する認可金融商品取引業協会とする。
Article 3 The Securities specified by Cabinet Order referred to in Article 6, item (ii) of the Act (including as applied mutatis mutandis pursuant to Article 12, Article 23-12, paragraph (1), Article 24, paragraph (7), Article 24-2, paragraph (3) and Article 24-4-2, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (1) and Article 24-5-2, paragraph (1) of the Act), Article 24-4-3, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (2) and Article 24-5-2, paragraph (2) of the Act), Article 24-4-4, paragraph (5), Article 24-4-5, paragraph (2), Article 24-4-7, paragraph (5), Article 24-5, paragraph (6) and Article 24-6, paragraph (3) of the Act, and the cases in which these provisions (excluding Article 24-6, paragraph (3) of the Act) are applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article) and the Securities specified by Cabinet Order as those for which the state of distribution referred to in Article 24, paragraph (1), item (ii) of the Act (including as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act and as applied mutatis mutandis pursuant to Article 27 of the Act) can be regarded as being equivalent to the Securities set forth in Article 24, paragraph (1), item (i) of the Act are Over-the-Counter Traded Securities and the Authorized Financial Instruments Firms Association specified by Cabinet Order as referred to in Article 6, item (ii) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act), Article 24-7, paragraph (4), item (ii) of the Act (including as applied mutatis mutandis pursuant to Article 24-7, paragraph (6) of the Act and as applied mutatis mutandis pursuant to Article 27 of the Act), Article 25, paragraphs (3) and (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act), Article 27-30-2, Article 27-30-6, paragraph (1), and Article 27-30-8, paragraph (1) of the Act is an Authorized Financial Instruments Firms Association which registers the Over-the-Counter Traded Securities.
(法第十五条第三項に規定する政令で定める有価証券)
(Securities Specified by Cabinet Order That Are Provided for in Article 15, Paragraph (3) of the Act)
第三条の二 法第十五条第三項に規定する政令で定めるものは、法第二条第一項第十号及び第十一号に掲げる有価証券とする。
Article 3-2 The Securities specified by Cabinet Order that are provided for in Article 15, paragraph (3) of the Act are the Securities set forth in Article 2, paragraph (1), items (x) and (xi) of the Act.
(法第二十三条の八第二項に規定する政令で定めるもの)
(Book-Entry Corporate Bonds Specified by Cabinet Order That Are Provided for in Article 23-8, Paragraph (2) of the Act)
第三条の二の二 法第二十三条の八第二項に規定する政令で定めるものは、次に掲げるものとする。
Article 3-2-2 The book-entry corporate bonds, etc. specified by Cabinet Order that are provided for in Article 23-8, paragraph (2) of the Act are as follows:
一 保険業法に規定する短期社債
(i) the short-term bonds as provided in the Insurance Business Act;
二 資産流動化法に規定する特定短期社債
(ii) the Specified Short-Term Corporate Bonds as provided in the Asset Securitization Act;
三 投資信託及び投資法人に関する法律に規定する短期投資法人債
(iii) the Short-Term Investment Corporation Bonds as provided in the Act on Investment Trusts and Investment Corporations; or
四 法第二条第一項第十七号に掲げる有価証券(投資信託及び投資法人に関する法律に規定する外国投資証券で投資法人債券に類する証券を含む。次条第三号において同じ。)であつて、社債等の振替に関する法律に規定する短期社債又は前三号に掲げるものに準ずるものとして内閣府令で定めるもの
(iv) the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act (including the Foreign Investment Securities which are similar to the investment corporation bond certificate as provided in the Act on Investment Trusts and Investment Corporations; the same applies in item (iii) of the following Article) which are specified by Cabinet Office Order as being equivalent to the short-term corporate bonds as provided in the Act on Transfer of Corporate Bonds, etc. or those set forth in the preceding three items.
(少人数向け勧誘に係る告知を要しない勧誘)
(Solicitation Not Requiring Notice as Regards Solicitation to a Small Number of Investors)
第三条の三 法第二十三条の十三第四項(法第二十七条において準用する場合を含む。)に規定する政令で定めるものは、次に掲げる有価証券の有価証券発行勧誘等又は有価証券交付勧誘等(同項各号に定める場合に該当するものに限る。)とする。
Article 3-3 The solicitation specified by Cabinet Order that is provided for in Article 23-13, paragraph (4) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) is a solicitation with a view to delivering new securities or solicitation with a view to delivering existing securities (limited to that which falls under the cases specified in the items of that paragraph) issued for the following Securities:
一 新優先出資引受権証券
(i) Certificates of Rights to Subscribe for Preferred Equity;
二 法第二条第一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。)
(ii) the Securities set forth in Article 2, paragraph (1), item (xv) of the Act (including the Securities set forth in item (xvii) of that Article which have the nature of the Securities set forth in item (xv) of that paragraph); or
三 資産流動化法に規定する特定短期社債、社債等の振替に関する法律に規定する短期社債、保険業法に規定する短期社債又は投資信託及び投資法人に関する法律に規定する短期投資法人債(法第二条第一項第十七号に掲げる有価証券でこれらに準ずるものとして内閣府令で定めるものを含む。)
(iii) the Specified Short-Term Corporate Bonds as provided in the Asset Securitization Act, short-term corporate bonds as provided in the Act on Transfer of Corporate Bonds, etc., short-term corporate bonds as provided in the Insurance Business Act, and the Short-Term Investment Corporation Bond as provided in the Act on Investment Trusts and Investment Corporations (including the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which are specified by Cabinet Office Order as being equivalent thereto).
(外国の者の有価証券報告書の提出期限)
(Deadline for Submission of Annual Securities Reports for a Foreign Person)
第三条の四 法第二十四条第一項(同条第五項(法第二十七条において準用する場合を含む。以下この条において同じ。)及び法第二十七条において準用する場合を含む。)に規定する政令で定める期間は、六月とする。ただし、法第二十四条第一項各号(法第二十七条において準用する場合を含む。)又は法第二十四条第五項において準用する同条第一項第一号から第三号までに掲げる有価証券の発行者である外国の者が、その本国の法令又は慣行その他やむを得ない理由により、有価証券報告書をその事業年度経過後六月以内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ金融庁長官の承認を受けた期間とする。
Article 3-4 The period specified by Cabinet Order that is provided for in Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article) and Article 27 of the Act) is six months; provided, however, that if the foreign person that is the issuer of the Securities set forth in the items of Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) or in Article 24, paragraph (1), items (i) to (iii) of the Act as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act is found to be unable to submit the Annual Securities Report within six months after the end of its business year due to the laws and regulations or practices in its state or any other compelling reasons, that period is the period approved in advance by the Commissioner of the Financial Services Agency pursuant to the provisions of Cabinet Office Order.
(有価証券報告書の提出を要しないこととなる有価証券の範囲等)
(Scope of Securities That Make It Unnecessary to Submit an Annual Securities Report)
第三条の五 法第二十四条第一項ただし書に規定する政令で定める有価証券は、次に掲げる有価証券とする。
Article 3-5 (1) The Securities specified by Cabinet Order that are provided for in the proviso to Article 24, paragraph (1) of the Act are the following Securities:
一 株券
(i) share certificates;
二 法第二条第一項第十七号に掲げる有価証券で株券の性質を有するもの
(ii) the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of share certificates;
三 有価証券信託受益証券で、受託有価証券が前号に掲げる有価証券であるもの
(iii) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in the preceding item; or
四 法第二条第一項第二十号に掲げる有価証券で、第二号に掲げる有価証券に係る権利を表示するもの
(iv) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities set forth in item (ii).
2 法第二十四条第一項ただし書に規定する政令で定めるところにより計算した数は、三百とする。
(2) The number calculated pursuant to the provisions of Cabinet Order that is provided for in the proviso to Article 24, paragraph (1) of the Act is 300.
(有価証券報告書の提出を要しないこととなる有価証券の所有者の数等)
(Number of Holders of Securities That Make It Unnecessary to Submit an Annual Securities Report)
第三条の六 法第二十四条第一項ただし書に規定する政令で定める数は、三百とする。
Article 3-6 (1) The number specified by Cabinet Order that is provided for in the proviso to Article 24, paragraph (1) of the Act is 300.
2 法第二十四条第一項第二号に規定する流通状況が特定上場有価証券に準ずるものとして政令で定める有価証券は、特定店頭売買有価証券とする。
(2) The Securities specified by Cabinet Order as those for which the state of distribution can be regarded as being equivalent to Specified Listed Securities as prescribed in Article 24, paragraph (1), item (ii) of the Act are Specified Over-the-Counter Traded Securities.
3 法第二十四条第一項第四号に規定する政令で定める有価証券は、株券、有価証券信託受益証券で受託有価証券が株券であるもの及び法第二条第一項第二十号に掲げる有価証券で株券に係る権利を表示するものとする。
(3) The Securities specified by Cabinet Order that are provided for in Article 24, paragraph (1), item (iv) of the Act are share certificates, Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are share certificates, and the Securities set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with share certificates.
4 法第二十四条第一項第四号に規定する政令で定める数は、千(当該有価証券が特定投資家向け有価証券である場合には、千に内閣府令で定めるところにより計算した特定投資家の数を加えた数)とする。
(4) The number specified by Cabinet Order that is provided for in Article 24, paragraph (1), item (iv) of the Act is 1000 (if the Securities are Securities for Professional Investors, the number obtained by adding the number of Professional Investors calculated pursuant to the provisions of Cabinet Office Order to 1000).
(有価証券報告書の提出を要しない旨の承認)
(Acknowledgement That an Annual Securities Report Need Not Be Submitted)
第四条 法第二十四条第一項第三号(法第二十七条において準用する場合を含む。以下この条において同じ。)又は第四号(法第二十七条において準用する場合を含む。)に掲げる有価証券の発行者(特定有価証券に該当する有価証券の発行者を除く。次項において同じ。)が法第二十四条第一項ただし書(法第二十七条において準用する場合を含む。)に規定する承認を受けようとする場合には、承認申請書に定款、株主名簿の写しその他の内閣府令で定める書類を添えて、これを金融庁長官に提出しなければならない。
Article 4 (1) If an issuer of Securities as set forth in Article 24, paragraph (1), item (iii) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article) or Article 24, paragraph (1), item (iv) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) (excluding the issuer of the Securities which fall under the category of Regulated Securities; the same applies in the following paragraph) seeks the acknowledgement set forth in the proviso to Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act), the issuer must submit a written application for acknowledgement with its articles of incorporation, a copy of its shareholder registry, and any other documents specified by Cabinet Office Order to the Commissioner of the Financial Services Agency.
2 金融庁長官は、前項の承認の申請があつた場合において、その者が次の各号のいずれかに該当すると認めるときは、当該申請のあつた日の属する事業年度(その日が事業年度開始後三月以内(その者が外国の者である場合には、第三条の四に定める期間内。以下この項において同じ。)の日である場合には、その直前事業年度)から当該各号に該当しないこととなる日の属する事業年度(その日が事業年度開始後三月以内の日である場合には、その直前事業年度)の直前事業年度までの事業年度に係る有価証券報告書については、その提出を要しない旨の承認をするものとする。
(2) If the application for acknowledgement referred to in the preceding paragraph has been filed, and the Commissioner of the Financial Services Agency finds that the person filing the application falls under any of the following items, the commissioner is to acknowledge that Annual Securities Reports need not be submitted for the business years starting from the business year that includes the day on which the application has been filed (if the day is a day within three months after the commencement of the business year (if the person is a foreign person, within the period specified in Article 3-4; hereinafter the same applies in this paragraph), the immediately preceding business year) and lasting until the business year immediately preceding the business year that includes the day on which the person comes to no longer fall under the relevant item (if the day is a day within three months after the commencement of a business year, the immediately preceding business year):
一 清算中の者
(i) a person in liquidation;
二 相当の期間事業を休止している者
(ii) a person whose business has been suspended for a considerable period; or
三 法第二十四条第一項第三号に掲げる有価証券の発行者で、内閣府令で定めるところにより算定した当該有価証券の所有者の数が内閣府令で定める数未満である者
(iii) an issuer of the Securities set forth in Article 24, paragraph (1), item (iii) of the Act for which the number of the holders of those Securities as calculated pursuant to the provisions of Cabinet Office Order is less than the number specified by Cabinet Office Order.
3 前項の承認は、同項の者が内閣府令で定めるところにより毎事業年度(同項に規定する申請があつた日の属する事業年度及び当該事業年度終了の日後内閣府令で定める期間内に終了するものに限る。)経過後三月以内(その者が外国の者である場合には、第三条の四に定める期間内)に株主名簿の写しその他の内閣府令で定める書類を金融庁長官に提出することを条件として、行われるものとする。
(3) The acknowledgement referred to in the preceding paragraph is to be given on the condition that the person referred to in that paragraph submits a copy of the shareholder registry and other documents specified by Cabinet Office Order to the Commissioner of the Financial Services Agency within three months after the end of each business year (limited to the business year that includes the day on which the application set forth in the preceding paragraph has been made and those which end within the period specified by Cabinet Office Order after the day of the end of the business year) (if the person is a foreign person, within the period specified in Article 3-4) pursuant to the provisions of Cabinet Office Order.
4 金融庁長官は、第一項の承認の申請があつた場合(第二項の規定による承認が行われている場合を除く。)において、その者が更生手続開始の決定を受けた者であり、かつ、当該申請が当該更生手続開始の決定があつた日後三月以内に行われた場合には、当該更生手続開始の決定があつた日の属する事業年度に係る有価証券報告書については、その提出を要しない旨の承認をするものとする。
(4) In a case in which an application for acknowledgement referred to in paragraph (1) has been filed (excluding cases in which the acknowledgement under paragraph (2) has been given), if the person filing that application is a person that is subject to a ruling for commencement of reorganization proceedings and the application has been filed within three months after the day on which the ruling for commencement of reorganization proceedings has been issued, the Commissioner of the Financial Services Agency is to acknowledge that the person is not required to submit an Annual Securities Report for the business year that includes the day on which the ruling for commencement of reorganization proceedings was issued.
(特定有価証券に係る有価証券報告書の提出を要しない旨の承認)
(Acknowledgement That an Annual Securities Report Need Not Be Submitted in Connection with Regulated Securities)
第四条の二 前条第一項の規定は法第二十四条第一項第三号及び第四号に掲げる有価証券で特定有価証券に該当するものの発行者が同条第五項(法第二十七条において準用する場合を含む。)において準用する法第二十四条第一項ただし書に規定する承認を受けようとする場合について、前条第二項及び第三項の規定は当該承認について、それぞれ準用する。この場合において、同条第二項中「当該申請」とあるのは「当該有価証券につき、当該申請」と、「事業年度」とあるのは「特定期間」と、同項第三号中「掲げる有価証券」とあるのは「掲げる有価証券で特定有価証券に該当するもの」と、同条第三項中「毎事業年度」とあるのは「当該有価証券につき、毎特定期間」と、「事業年度及び当該事業年度」とあるのは「特定期間及び当該特定期間」と読み替えるものとする。
Article 4-2 (1) The provisions of paragraph (1) of the preceding Article apply mutatis mutandis when the issuer of the Securities set forth in Article 24, paragraph (1), items (iii) and (iv) of the Act which fall under the category of Regulated Securities seeks the acknowledgement prescribed in the proviso to Article 24, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) and the provisions of paragraphs (2) and (3) of the preceding Article apply mutatis mutandis to that acknowledgement. In this case, the phrases "the application has been filed" and "business year" in paragraph (2) of the preceding Article is deemed to be replaced with "the application has been filed with regard to the Securities" and "specified period" respectively, the phrase "the Securities set forth in Article 24, paragraph (1), item (iii) of the Act" in paragraph (2), item (iii) of the preceding Article are deemed to be replaced with "the Securities set forth in Article 24, paragraph (1), item (iii) of the Act which fall under the category of Regulated Securities" and the phrases "each business year" and "the business year that includes the day on which the application set forth in the preceding paragraph was filed and those which end within the period specified by Cabinet Office Order after the day of the end of that business year" in paragraph (3) of the preceding Article are deemed to be replaced with "each specified period with regard to the Securities" and "the specified period that includes the day on which the application set forth in the preceding paragraph was filed and those which end within the period specified by Cabinet Office Order after the day of the end of that specified period" respectively.
2 法第二十四条第五項(法第二十七条において準用する場合を含む。以下この条において同じ。)において読み替えて準用する法第二十四条第一項ただし書に規定する資産の額として政令で定めるものは、当該有価証券が該当する次に掲げる有価証券投資事業権利等の区分に応じ、当該各号に定めるものとする。
(2) The amount specified by Cabinet Order as the amount of stated capital of the company, as provided in the proviso to Article 24, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article) following the deemed replacement of terms, is as specified in the relevant of the following items for the category of Rights in Securities Investment Business, etc. set forth in the item under which the Securities fall:
一 法第二条第二項第一号に掲げる権利 信託財産に属する資産の価額の総額
(i) the rights set forth in Article 2, paragraph (2), item (i) of the Act: the total value of assets belonging to a trust property;
二 法第二条第二項第三号に掲げる権利 資本金の額
(ii) the rights set forth in Article 2, paragraph (2), item (iii) of the Act: the amount of stated capital; and
三 法第二条第二項第五号に掲げる権利 出資の総額又は拠出金の総額
(iii) the rights set forth in Article 2, paragraph (2), item (v) of the Act: the total amount of investment or contribution.
3 法第二十四条第五項において読み替えて準用する同条第一項ただし書に規定する政令で定める額は、一億円とする。
(3) The amount specified by Cabinet Order referred to in the proviso to Article 24, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act following the deemed replacement of terms is 100 million yen.
4 法第二十四条第五項において読み替えて準用する同条第一項第四号に規定する政令で定める有価証券は、有価証券投資事業権利等のうち法第二条第二項第一号、第三号及び第五号に掲げる権利とする。
(4) The Securities specified by Cabinet Order referred to in Article 24, paragraph (1), item (iv) of the Act as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act following the deemed replacement of terms are, among the Rights in Securities Investment Business, etc., the rights set forth in Article 2, paragraph (2), items (i), (iii), and (v) of the Act.
5 法第二十四条第五項において読み替えて準用する同条第一項第四号に規定する政令で定める数は、五百とする。
(5) The number specified by Cabinet Order referred to in Article 24, paragraph (1), item (iv) of the Act as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act following the deemed replacement of terms are 500.
(外国会社報告書の提出期限)
(Deadline for Submission of Foreign Company Reports)
第四条の二の二 法第二十四条第十項(法第二十七条において準用する場合を含む。)の規定により読み替えて適用する法第二十四条第一項及び第五項に規定する政令で定める期間は、四月とする。ただし、報告書提出外国会社(同条第八項に規定する報告書提出外国会社をいう。以下同じ。)が、その本国の法令又は慣行その他やむを得ない理由により、外国会社報告書(同条第八項に規定する外国会社報告書をいう。以下同じ。)をその事業年度経過後四月以内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ金融庁長官の承認を受けた期間とする。
Article 4-2-2 The period specified by Cabinet Order that is provided for in Article 24, paragraphs (1) and (5) of the Act as applied pursuant to the provisions of Article 24, paragraph (10) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) following the deemed replacement of terms is four months; provided, however, that if the Reporting Foreign Company (meaning the Reporting Foreign Company defined in Article 24, paragraph (8) of the Act; the same applies hereinafter) is found to be unable to submit its Foreign Company Reports (meaning the Foreign Company Reports prescribed in Article 24, paragraph (8) of the Act; the same applies hereinafter) within four months after the end of its business year due to the laws and regulations or practices in its state or any other compelling reasons, that period is the period approved in advance by the Commissioner of the Financial Services Agency, pursuant to the provisions of Cabinet Office Order.
(外国会社報告書の提出が認められない旨の通知があつた場合の有価証券報告書の提出期限)
(Deadline for Submission of an Annual Securities Report If the Relevant Person Has Been Notified That It Is Not Allowed to Submit a Foreign Company Report)
第四条の二の三 法第二十四条第十三項(法第二十四条の七第五項(同条第六項において準用する場合を含む。)において準用し、及びこれらの規定を法第二十七条において準用する場合を含む。)に規定する政令で定める期間は、法第二十四条第十二項の規定による通知があつた日を起算日として、同条第一項の規定による有価証券報告書を同項の規定により提出することとした場合に提出すべきこととなる期間の末日又は当該起算日から一月を経過する日のいずれか遅い日までの期間とする。
Article 4-2-3 The period specified by Cabinet Order that is provided for in Article 24, paragraph (13) of the Act (including as applied mutatis mutandis pursuant to Article 24-7, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 24-7, paragraph (6) of the Act) and as applied mutatis mutandis pursuant to Article 27 of the Act) is a period from the day on which the notice under Article 24, paragraph (12) of the Act has been given until the last day of the period in which the Annual Securities Report under Article 24, paragraph (1) of the Act is to be submitted, if the submission thereof has been decided pursuant to Article 24, paragraph (1) of the Act, or until the day on which one month has elapsed from the day of notice, whichever comes later.
(訂正報告書を提出した旨の公告)
(Public Notice of Submission of Amendment Reports)
第四条の二の四 法第二十四条の二第二項の規定による公告は、次のいずれかの方法により、同項の訂正報告書を提出した後遅滞なく、しなければならない。
Article 4-2-4 (1) The public notice under Article 24-2, paragraph (2) of the Act must be given by any of the following means without delay after the submission of amendment reports referred to in that paragraph:
一 内閣府令で定めるところにより、開示用電子情報処理組織(法第二十七条の三十の二に規定する開示用電子情報処理組織をいう。以下同じ。)を使用する方法により不特定多数の者が公告すべき内容である情報の提供を受けることができる状態に置く措置をとる方法(以下この条において「電子公告」という。)
(i) by taking measures to make the information that is required to be given in a public notice available to many and unspecified persons by a means that involves the use of an Electronic Data Processing System for Disclosure (meaning an Electronic Data Processing System for Disclosure as defined in Article 27-30-2 of the Act; the same applies hereinafter) pursuant to the provisions of Cabinet Office Order (hereinafter referred to as "Electronic Public Notice" in this Article); or
二 内閣府令で定めるところにより、時事に関する事項を掲載する日刊新聞紙に掲載する方法
(ii) by publication in a daily newspaper that publishes information on current affairs, pursuant to the provisions of Cabinet Office Order.
2 前項の規定により電子公告による公告をする者は、法第二十四条の二第二項に規定する訂正報告書に係る訂正の対象となつた有価証券報告書及びその添付書類を提出した日から五年を経過する日までの間、継続して当該電子公告による公告をしなければならない。
(2) A person that gives public notice by way of Electronic Public Notice pursuant to the preceding paragraph must continue to provide the public notice by way of Electronic Public Notice until the last day in the five-year period after the day on which the person submitted the Annual Securities Report and the documents attached thereto for which the amendment reports set forth in Article 24-2, paragraph (2) of the Act have been submitted.
3 第一項の規定により電子公告による公告をする者は、電気通信回線の故障その他の事由により当該電子公告による公告をすることができない場合には、内閣府令で定めるところにより、金融庁長官の承認を得て、電子公告に代えて、同項第二号に掲げる方法その他の内閣府令で定める方法により公告しなければならない。
(3) If a person giving public notice by way of Electronic Public Notice pursuant to the provisions of paragraph (1) is unable to give the public notice by way of Electronic Public Notice due to a fault in a telecommunications line or any other cause, the person must give public notice, in lieu of the Electronic Public Notice, by the method set forth in paragraph (1), item (ii) or another method specified by Cabinet Office Order with the approval of the Commissioner of the Financial Services Agency pursuant to the provisions of Cabinet Office Order.
4 第二項の規定にかかわらず、同項の規定により電子公告による公告をしなければならない期間(第二号において「公告期間」という。)中公告の中断(不特定多数の者が提供を受けることができる状態に置かれた情報がその状態に置かれないこととなつたこと又はその情報がその状態に置かれた後改変されたことをいう。以下この項において同じ。)が生じた場合において、次のいずれにも該当するときは、その公告の中断は、当該公告の効力に影響を及ぼさない。
(4) Notwithstanding the provisions of paragraph (2), if public notice is interrupted (meaning that the information that had been put into a format that allowed many and unspecified persons to be provided with it is no longer available in that format or has been altered after having been made available in that format; hereinafter the same applies in this paragraph) during the period in which the public notice by way of Electronic Public Notice is to be given pursuant to paragraph (2) (such a period is referred to as a "Public Notice Period" in item (ii)), and all of the following conditions are met, the interruption of the public notice does not impact the effect of the public notice:
一 公告の中断が生ずることにつき電子公告による公告をする者が善意でかつ重大な過失がないこと又は電子公告による公告をする者に正当な事由があること。
(i) if the person that giving public notice by way of Electronic Public Notice has acted in good faith and without gross negligence as regards the interruption of that public notice or if that person has legitimate grounds for interrupting the public notice;
二 公告の中断が生じた時間の合計が公告期間の十分の一を超えないこと。
(ii) the total time during which the public notice was interrupted does not exceed one-tenth of the Public Notice Period; and
三 内閣府令で定めるところにより、電子公告による公告をする者が公告の中断が生じたことを知つた後速やかにその旨、公告の中断が生じた時間及び公告の中断の内容を当該公告に付して公告したこと。
(iii) promptly after learning that the public notice had been interrupted, the person giving public notice by way of Electronic Public Notice has given public notice of this by appending an indication of this and of the time at which the public notice was interrupted and the details of the interruption to the relevant public notice, pursuant to the provisions of Cabinet Office Order.
(確認書を提出しなければならない会社の範囲等)
(Scope of Companies Required to Submit a Confirmation Letter)
第四条の二の五 法第二十四条の四の二第一項(法第二十七条において準用する場合を含む。)に規定する政令で定めるものは、法第二十四条第一項第一号又は第二号(これらの規定を法第二十七条において準用する場合を含む。)に掲げる有価証券(次の各号に掲げる有価証券に該当するものに限る。)の発行者とする。
Article 4-2-5 (1) The company specified by Cabinet Order that is provided for in Article 24-4-2, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) is the issuer of the Securities set forth in Article 24, paragraph (1), item (i) or (ii) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) (limited to Securities that fall under the category of Securities set forth in the following items):
一 株券
(i) share certificates;
二 優先出資証券
(ii) Preferred Equity Securities;
三 法第二条第一項第十七号に掲げる有価証券で前二号に掲げる有価証券の性質を有するもの
(iii) 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 two items;
四 有価証券信託受益証券で、受託有価証券が前三号に掲げる有価証券であるもの
(iv) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in the preceding three items; or
五 法第二条第一項第二十号に掲げる有価証券で、第一号から第三号までに掲げる有価証券に係る権利を表示するもの
(v) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities set forth in item (i) to item (iii).
2 法第二十四条の四の二第四項(法第二十七条において準用する場合を含む。以下この項において同じ。)の規定において法第二十四条の二第一項において読み替えて準用する法第七条第一項、第九条第一項又は第十条第一項の規定により訂正報告書(法第二十四条の二第一項に規定する訂正報告書をいう。以下この項において同じ。)を提出する場合について法の規定を準用する場合における法第二十四条の四の二第四項の規定による技術的読替えは、次の表のとおりとする。
(2) If the provisions of the Act are applied mutatis mutandis when a person submits an Amendment Report (meaning an Amendment Report as set forth in Article 24-2, paragraph (1) of the Act; hereinafter the same applies in this paragraph) pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1), or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-2, paragraph (1) of the Act following the deemed replacement of terms under Article 24-4-2, paragraph (4) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-2, paragraph (4) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十四条の四の二第一項
Article 24-4-2, paragraph (1)
有価証券報告書の記載内容
statements contained in the Annual Securities Report
訂正報告書の記載内容
statements contained in the Amendment Reports
有価証券報告書等
Annual Securities Reports, etc.
訂正報告書
Amendment Reports
外国会社報告書を
Foreign Company Reports
当該訂正報告書に類する書類であつて英語で記載されたものを
documents similar to that Amendment Reports which have been prepared in English
当該外国会社報告書
a Foreign Company Report
当該訂正報告書に類する書類であつて英語で記載されたもの
documents similar to that Amendment Reports which have been prepared in English
第二十四条の四の二第二項
Article 24-4-2, paragraph (2)
有価証券報告書と併せて
together with an Annual Securities Report
訂正報告書と併せて
together with Amendment Reports
3 法第二十四条の四の二第五項(法第二十七条において準用する場合を含む。以下この項において同じ。)の規定において法第二十四条の四の二第一項又は第二項(これらの規定を同条第三項(同条第四項において準用する場合を含む。)及び第四項において準用し、及びこれらの規定を法第二十七条において準用する場合を含む。)の規定により確認書(法第二十四条の四の二第一項(法第二十七条において準用する場合を含む。)に規定する確認書をいう。以下同じ。)が提出された場合について法の規定を準用する場合における法第二十四条の四の二第五項の規定による技術的読替えは、次の表のとおりとする。
(3) If the provisions of the Act are applied mutatis mutandis when a Confirmation Letter (meaning a confirmation letter as prescribed in Article 24-4-2, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act); the same applies hereinafter) has been submitted pursuant to the provisions of Article 24-4-2, paragraph (1) or (2) of the Act (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (4) of the Act) and Article 24-4-2, paragraph (4) of the Act, and when these provisions are applied mutatis mutandis pursuant to Article 27 of the Act) under Article 24-4-2, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act, hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-2, paragraph (5) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original term
読み替える字句
Terms deemed to replace the original terms
第六条
Article 6
前条第一項及び第十三項の規定による届出書類
the statement set forth in paragraph (1) of the preceding Article and of other documents required under paragraph (13) of the preceding Article
確認書
a Confirmation Letter
4 法第二十四条の四の二第六項(法第二十七条において準用する場合を含む。以下この項において同じ。)の規定において報告書提出外国会社が法第二十四条の四の二第一項又は第二項(これらの規定を法第二十七条において準用する場合を含む。)の規定により確認書を提出する場合(外国会社報告書を提出している場合に限る。)について法の規定を準用する場合における法第二十四条の四の二第六項の規定による技術的読替えは、次の表のとおりとする。
(4) If the provisions of the Act are applied mutatis mutandis when a Reporting Foreign Company submits a Confirmation Letter pursuant to Article 24-4-2, paragraph (1) or (2) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) under Article 24-4-2, paragraph (6) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph) (limited to if the Reporting Foreign Company has submitted Foreign Company Reports), the deemed replacement of terms under Article 24-4-2, paragraph (6) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original term
読み替える字句
Terms deemed to replace the original terms
第二十四条第八項、第九項及び第十一項から第十三項まで
Article 24, paragraphs (8), (9) and (11) to (13)
有価証券報告書
Annual Securities Reports
確認書
Confirmation Letters
外国会社報告書
Foreign Company Reports
外国会社確認書
Foreign Company Confirmation Letters
報告書提出外国会社
Reporting Foreign Company
外国会社
foreign company
(訂正確認書に関する読替え)
(Deemed Replacement of Terms in Connection with Amended Confirmation Letters)
第四条の二の六 法第二十四条の四の三第一項(法第二十七条において準用する場合を含む。以下この条において同じ。)の規定において確認書について法の規定を準用する場合における同項の規定による技術的読替えは、次の表のとおりとする。
Article 4-2-6 (1) If the provisions of the Act are applied mutatis mutandis to the Confirmation Letter under Article 24-4-3, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article), the deemed replacement of terms under Article 24-4-3, paragraph (1) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第七条
Article 7
当該届出書類
the statement or any of those other documents
当該確認書
the Confirmation Letter
第九条第一項
Article 9, paragraph (1)
第五条第一項及び第十三項
Article 5, paragraph (1) and paragraph (13)
確認書
the Confirmation Letter or the Amendment Confirmation Letter set forth in Article 7
届出書類
the statement(s)
訂正確認書
the Amendment Confirmation Letter(s)
第十条第一項
Article 10, paragraph (1)
有価証券届出書
Securities Registration Statements
確認書
Confirmation Letters
2 法第二十四条の四の三第二項(法第二十七条において準用する場合を含む。以下この項において同じ。)において法第二十四条の四の三第一項において準用する法第七条第一項、第九条第一項又は第十条第一項の規定により確認書の訂正確認書(法第二十四条の四の三第一項に規定する訂正確認書をいう。以下同じ。)が提出された場合について法の規定を準用する場合における法第二十四条の四の三第二項の規定による技術的読替えは、次の表のとおりとする。
(2) If the provisions of the Act are applied mutatis mutandis when an amended Confirmation Letter (meaning an amended Confirmation Letter as referred to in Article 24-4-3, paragraph (1) of the Act; the same applies hereinafter) for a Confirmation Letter has been submitted pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-4-3, paragraph (1) of the Act under Article 24-4-3, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-3, paragraph (2) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第六条
Article 6
前条第一項及び第十三項の規定による届出書類
the statement set forth in paragraph (1) of the preceding Article and of other documents required under paragraph (13) of the preceding Article
訂正確認書
Amendment Confirmation Letter
3 法第二十四条の四の三第三項(法第二十七条において準用する場合を含む。以下この項において同じ。)において法第二十四条の四の三第一項において準用する法第七条第一項、第九条第一項又は第十条第一項の規定により外国会社が提出した確認書の訂正確認書を提出する場合について法の規定を準用する場合における法第二十四条の四の三第三項の規定による技術的読替えは、次の表のとおりとする。
(3) If the provisions of the Act are applied mutatis mutandis when a foreign company submits an amended Confirmation Letter for a Confirmation Letter submitted thereby pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-4-3, paragraph (1) of the Act under Article 24-4-3, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-3, paragraph (3) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十四条第八項
Article 24, paragraph (8)
有価証券報告書
Annual Securities Report
訂正確認書
Amendment Confirmation Letter
外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)
a foreign company required to submit Annual Securities Reports under paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13)) (including foreign companies which have submitted Annual Securities Reports under Article 23-3, paragraph (4); hereinafter referred to as a "Reporting Foreign Company")
外国会社(外国会社報告書を提出しているものに限る。)
a foreign company required to submit Annual Securities Reports under paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13)) (limited to foreign companies that have submitted the Foreign Company Reports)
第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)
Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as "Annual Securities Reports, etc." in this Article)
訂正確認書
an Amendment Confirmation Letter
外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する
are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection based on laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by Cabinet Office Order); the same applies hereinafter in Article 24-4-7, paragraph (6) and Article 24-5, paragraph (7))
訂正確認書に記載すべき事項を記載した
contain the matters to be stated on the Amendment Confirmation Letter
外国会社報告書
Foreign Company Reports
外国会社訂正確認書
Foreign Company Amendment Confirmation Letter
第二十四条第九項
Article 24, paragraph (9)
外国会社報告書
Foreign Company Report(s)
外国会社訂正確認書
Foreign Company Amendment Confirmation Letter
、当該外国会社報告書に記載されていない事項のうち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記載した書類その他
and documents stating the matters specified by Cabinet Office Order as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other documents
その他
and other documents
第二十四条第十一項
Article 24, paragraph (11)
報告書提出外国会社
Reporting Foreign Company
外国会社(外国会社報告書を提出しているものに限る。)
foreign company (limited to the foreign companies that have submitted a Foreign Company Report)
外国会社報告書
Foreign Company Report
外国会社訂正確認書
Foreign Company Amendment Confirmation Letter
有価証券報告書と
to be Annual Securities Reports, etc.
訂正確認書と
to be Amendment Confirmation Letters
有価証券報告書等
Annual Securities Reports, etc.
訂正確認書
Amendment Confirmation Letters
(内部統制報告書を提出しなければならない会社の範囲等)
(Scope of Companies Required to Submit an Internal Control Report)
第四条の二の七 法第二十四条の四の四第一項(法第二十七条において準用する場合を含む。)に規定する政令で定めるものは、法第二十四条第一項第一号又は第二号(これらの規定を法第二十七条において準用する場合を含む。)に掲げる有価証券(次の各号に掲げる有価証券に該当するものに限る。)の発行者とする。
Article 4-2-7 (1) The person specified by Cabinet Order provided for in Article 24-4-4, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) is the issuer of the Securities set forth in Article 24, paragraph (1), item (i) or (ii) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) (limited to the Securities that fall under the category of the Securities set forth in the following items):
一 株券
(i) Share Certificates;
二 優先出資証券
(ii) Preferred Equity Investment Certificates;
三 法第二条第一項第十七号に掲げる有価証券で前二号に掲げる有価証券の性質を有するもの
(iii) 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 two items;
四 有価証券信託受益証券で、受託有価証券が前三号に掲げる有価証券であるもの
(iv) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in the preceding three items; or
五 法第二条第一項第二十号に掲げる有価証券で、第一号から第三号までに掲げる有価証券に係る権利を表示するもの
(v) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities set forth in item (i) to item (iii).
2 法第二十四条の四の四第五項(法第二十七条において準用する場合を含む。以下この項において同じ。)において法第二十四条の四の四第一項又は第二項(これらの規定を同条第三項において準用し、及びこれらの規定を法第二十七条において準用する場合を含む。以下この条及び次条において同じ。)及び法第二十四条の四の四第四項(法第二十七条において準用する場合を含む。)の規定により内部統制報告書(法第二十四条の四の四第一項に規定する内部統制報告書をいう。以下同じ。)及びその添付書類が提出された場合について法の規定を準用する場合における同条第五項の規定による技術的読替えは、次の表のとおりとする。
(2) If the provisions of the Act are applied mutatis mutandis when an Internal Control Report (meaning the Internal Control Report prescribed in Article 24-4-4, paragraph (1) of the Act; the same applies hereinafter) and the documents attached thereto have been submitted pursuant to the provisions of Article 24-4-4, paragraph (1) or (2) of the Act (including cases in which they are applied mutatis mutandis pursuant to Article 24-4-4, paragraph (3) of the Act and as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article and the following Article) and Article 24-4-4, paragraph (4) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) under Article 24-4-5, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-4, paragraph (5) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第六条
Article 6
前条第一項及び第十三項の規定による届出書類
the statement set forth in paragraph (1) of the preceding Article and of other documents required under paragraph (13) of the preceding Article
内部統制報告書及びその添付書類
its Internal Control Report and the documents attached thereto
3 法第二十四条の四の四第六項(法第二十七条において準用する場合を含む。以下この項において同じ。)において報告書提出外国会社が法第二十四条の四の四第一項又は第二項の規定による内部統制報告書を提出する場合(外国会社報告書を提出している場合に限る。)について法の規定を準用する場合における同条第六項の規定による技術的読替えは、次の表のとおりとする。
(3) If the provisions of the Act are applied mutatis mutandis when a Reporting Foreign Company submits the Internal Control Report under Article 24-4-4, paragraph (1) or (2) of the Act pursuant to Article 24-4-4, paragraph (6) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph) (limited to if the Reporting Foreign Company has submitted a Foreign Company Report), the deemed replacement of terms under Article 24-4-4, paragraph (6) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十四条第八項、第九項及び第十一項から第十三項まで
Article 24, paragraphs (8), (9) and (11) to (13)
外国会社報告書
Foreign Company Report
外国会社内部統制報告書
Foreign Company Internal Control Report
報告書提出外国会社
Reporting Foreign Company
外国会社
Foreign Company
有価証券報告書
Annual Securities Report
内部統制報告書
Internal Control Report
(訂正内部統制報告書に関する読替え)
(Deemed Replacement of Terms in Connection with Amendment of Internal Control Reports)
第四条の二の八 法第二十四条の四の五第一項(法第二十七条において準用する場合を含む。以下この条において同じ。)において内部統制報告書及びその添付書類について法の規定を準用する場合における同項の規定による技術的読替えは、次の表のとおりとする。
Article 4-2-8 (1) If the provisions of the Act are applied mutatis mutandis to an Internal Control Report and the documents attached thereto under Article 24-4-5, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article), the deemed replacement of terms under Article 24-4-5, paragraph (1) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第七条
Article 7
届出書類
a statement set forth in Article 5, paragraph (1) or in other documents required under Article 5, paragraph (6)
内部統制報告書及びその添付書類
its Internal Control Report and the documents attached thereto
第九条第一項
Article 9, paragraph (1)
第五条第一項及び第十三項
Article 5, paragraph (1) and paragraph (13)
内部統制報告書及びその添付書類
its Internal Control Report and the documents attached thereto and the amendment reports and other documents set forth in Article 7
届出書類
the statement(s)
訂正報告書
the amendment reports
第十条第一項
Article 10, paragraph (1)
有価証券届出書
a (the) Securities Registration Statement
内部統制報告書及びその添付書類
An (the) Internal Control Report and the documents attached thereto
2 法第二十四条の四の五第二項(法第二十七条において準用する場合を含む。以下この項において同じ。)において法第二十四条の四の五第一項において準用する法第七条第一項、第九条第一項又は第十条第一項の規定により内部統制報告書又はその添付書類について訂正報告書(法第二十四条の四の五第一項に規定する訂正報告書をいう。以下この条及び次条において同じ。)が提出された場合について法の規定を準用する場合における法第二十四条の四の五第二項の規定による技術的読替えは、次の表のとおりとする。
(2) If the provisions of the Act are applied mutatis mutandis when an Amendment Report (meaning the Amendment Report set forth in Article 24-4-5, paragraph (1) of the Act; hereinafter the same applies in this Article and the following Article) has been submitted for an Internal Control Report and the documents attached thereto pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-4-5, paragraph (1) of the Act under Article 24-4-5, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-5, paragraph (2) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第六条
Article 6
前条第一項及び第十三項の規定による届出書類
the statement set forth in paragraph (1) of the preceding Article and of other documents required under paragraph (13) of the preceding Article
当該訂正報告書
the respective Amendment Reports
3 法第二十四条の四の五第三項(法第二十七条において準用する場合を含む。以下この項において同じ。)において法第二十四条の四の五第一項において読み替えて準用する法第七条第一項、第九条第一項又は第十条第一項の規定により外国会社が提出した内部統制報告書の訂正報告書を提出する場合について法の規定を準用する場合における法第二十四条の四の五第三項の規定による技術的読替えは、次の表のとおりとする。
(3) If the provisions of the Act are applied mutatis mutandis when a foreign company submits an Amendment Report for the Internal Control Report submitted thereby pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-4-5, paragraph (1) of the Act following the deemed replacement of terms under Article 24-4-5, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-5, paragraph (3) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十四条第八項
Article 24, paragraph (8)
有価証券報告書を
Annual Securities Reports
訂正報告書を
Amendment Reports
外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)
a foreign company required to submit Annual Securities Reports under paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13)) (including foreign companies which have submitted Annual Securities Reports under Article 23-3, paragraph (4); hereinafter referred to as a "Reporting Foreign Company")
外国会社(外国会社報告書を提出しているものに限る。)
a foreign company required to submit Annual Securities Reports under paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13)) (limited to the foreign companies which have submitted the Foreign Company Reports)
第一項の規定による有価証券報告書及び第六項の規定によりこれに添付しなければならない書類(以下この条において「有価証券報告書等」という。)
Annual Securities Reports to be submitted under paragraph (1) and the documents to be attached thereto under paragraph (6) (hereinafter collectively referred to as "Annual Securities Reports, etc." in this Article)
訂正報告書
Amendment Reports
外国において開示(当該外国の法令(外国金融商品市場を開設する者その他の内閣府令で定める者の規則を含む。)に基づいて当該外国において公衆の縦覧に供されることをいう。第二十四条の四の七第六項及び第二十四条の五第七項において同じ。)が行われている有価証券報告書等に類する
and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection based on laws and regulations under the foreign state (including the rules provided for by the operator of a Foreign Financial Instruments Market or other person specified by Cabinet Office Order); the same applies hereinafter in Articles 24-4-7, paragraph (6) and Article 24-5, paragraph (7))
訂正報告書に記載すべき事項を記載した
and contain the matters to be stated in the Amendment Reports
外国会社報告書
Foreign Company Reports
外国会社訂正報告書
Foreign Company Amendment Reports
第二十四条第九項
Article 24, paragraph (9)
外国会社報告書
Foreign Company Reports
外国会社訂正報告書
Foreign Company Amendment Reports
、当該外国会社報告書に記載されていない事項のうち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記載した書類その他
and documents stating the matters specified by Cabinet Office Order as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Report, and other documents
その他
and other documents
第二十四条第十一項
Article 24, paragraph (11)
報告書提出外国会社
Reporting Foreign Company
外国会社(外国会社報告書を提出しているものに限る。)
foreign company (limited to the foreign companies which have submitted a Foreign Company Report)
外国会社報告書
Foreign Company Report
外国会社訂正報告書
Foreign Company Amendment Report
有価証券報告書と
Annual Securities Reports, etc.
訂正報告書と
Amendment Reports
有価証券報告書等
Annual Securities Reports, etc.
訂正報告書
Amendment Reports
(内部統制報告書に係る賠償責任に関する読替え)
(Deemed Replacement of Terms in Connection with Liability for Damages Related to an Internal Control Report)
第四条の二の九 法第二十四条の四の六(法第二十七条において準用する場合を含む。以下この条において同じ。)において内部統制報告書(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法の規定を準用する場合における法第二十四条の四の六の規定による技術的読替えは、次の表のとおりとする。
Article 4-2-9 If the provisions of the Act are applied mutatis mutandis to a case in which an Internal Control Report (including the Amendment Report thereof) contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, under Article 24-4-6 of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article), the deemed replacement of terms under Article 24-4-6 of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十二条第二項
Article 22, paragraph (2)
前項
the preceding paragraph
第二十四条の四の六において準用する前項
the preceding paragraph as applied mutatis mutandis pursuant to Article 24-4-6
(四半期報告書を提出しなければならない会社の範囲等)
(Scope of Companies Required to Submit a Quarterly Securities Report)
第四条の二の十 法第二十四条の四の七第一項(法第二十七条において準用する場合を含む。以下この条において同じ。)に規定する発行者である会社その他の政令で定めるものは、法第二十四条第一項第一号又は第二号(これらの規定を法第二十七条において準用する場合を含む。)に掲げる有価証券(次の各号に掲げる有価証券に該当するものに限る。)の発行者とする。
Article 4-2-10 (1) The company that is the issuer and other persons specified by Cabinet Order that are provided for in Article 24-4-7, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article) means the issuer of the Securities set forth in Article 24, paragraph (1), item (i) or (ii) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) (limited to the Securities that fall under the category of Securities set forth in the following items):
一 株券
(i) share certificates;
二 優先出資証券
(ii) Preferred Equity Securities;
三 法第二条第一項第十七号に掲げる有価証券で前二号に掲げる有価証券の性質を有するもの
(iii) 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 two items;
四 有価証券信託受益証券で、受託有価証券が前三号に掲げる有価証券であるもの
(iv) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in the preceding three items; or
五 法第二条第一項第二十号に掲げる有価証券で、第一号から第三号までに掲げる有価証券に係る権利を表示するもの
(v) the Securities set forth in Article 2, paragraph (1), item (xx) of the Act which indicate the rights of the Securities set forth in item (i) to item (iii).
2 法第二十四条の四の七第一項に規定する事業年度の期間を三月ごとに区分した各期間から除く政令で定める期間は、当該各期間のうち最後の期間とする。
(2) The period specified by Cabinet Order that is excluded from being treated as one of the three-month periods into which a business year is divided, as provided in Article 24-4-7, paragraph (1) of the Act, is the last of those three month periods.
3 法第二十四条の四の七第一項に規定する四十五日以内の政令で定める期間は、四十五日とする。
(3) The period not exceeding 45 days designated by Cabinet Order that is provided for in Article 24-4-7, paragraph (1) of the Act is 45 days.
4 法第二十四条の四の七第一項に規定する六十日以内の政令で定める期間は、次の各号に掲げる四半期(同項に規定する事業年度の期間を三月ごとに区分した各期間をいう。以下この項において同じ。)の区分に応じ、当該各号に定める期間とする。
(4) The period not exceeding 60 days specified by Cabinet Order that is provided for in Article 24-4-7, paragraph (1) of the Act is the period specified in the relevant of the following items for the category of Quarter (meaning each three-month period of the business year as set forth in Article 24-4-7, paragraph (1) of the Act; hereinafter the same applies in this paragraph) set forth in that item:
一 事業年度における最初の四半期の翌四半期 六十日
(i) the Quarter following the first Quarter of the business year: 60 days; and
二 前号に掲げる四半期以外の四半期 四十五日
(ii) a Quarter other than the Quarter set forth in the preceding item: 45 days.
5 法第二十四条の四の七第四項(法第二十七条において準用する場合を含む。以下この項及び次項において同じ。)において四半期報告書(法第二十四条の四の七第一項に規定する四半期報告書をいう。以下同じ。)について法の規定を準用する場合における法第二十四条の四の七第四項の規定による技術的読替えは、次の表のとおりとする。
(5) If the provisions of the Act are applied mutatis mutandis to a Quarterly Securities Report (meaning a Quarterly Securities Report as defined in Article 24-4-7, paragraph (1) of the Act; the same applies hereinafter) under Article 24-4-7, paragraph (4) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph and the following paragraph), the deemed replacement of terms under Article 24-4-7, paragraph (4) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第九条第一項
Article 9, paragraph (1)
第五条第一項及び第十三項
Article 5, paragraph (1) and paragraph (13)
四半期報告書
the Quarterly Securities Report and the Amendment Reports set forth in Article 7
届出書類
the statement(s)
訂正報告書
the Amendment Reports
6 法第二十四条の四の七第四項において四半期報告書及びその訂正報告書(同項に規定する訂正報告書をいう。以下この条及び次条において同じ。)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法の規定を準用する場合における同項の規定による技術的読替えは、次の表のとおりとする。
(6) If the provisions of the Act are applied mutatis mutandis to a case in which a Quarterly Securities Report or its Amendment Report (meaning the amendment report referred to in Article 24-4-7, paragraph (4) of the Act; hereinafter the same applies in this Article and the following Article) contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading under Article 24-4-7, paragraph (4) of the Act, the deemed replacement of terms under Article 24-4-7, paragraph (4) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十二条第一項
Article 22, paragraph (1)
有価証券届出書
Securities Registration Statement
四半期報告書又はその訂正報告書
Quarterly Securities Report or the Amendment Reports thereof
7 法第二十四条の四の七第五項(法第二十七条において準用する場合を含む。)において法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し、及びこれらの規定を法第二十七条において準用する場合を含む。以下この条及び次条において同じ。)の規定により四半期報告書が提出された場合及び法第二十四条の四の七第四項において準用する法第七条第一項、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法の規定を準用する場合における法第二十四条の四の七第五項の規定による技術的読替えは、次の表のとおりとする。
(7) If the provisions of the Act are applied mutatis mutandis when a Quarterly Securities Report has been submitted pursuant to the provisions of Article 24-4-7, paragraph (1) or (2) of the Act (including as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (3) of the Act and as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article and the following Article) and when an amendment report for the Quarterly securities Report has been submitted pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (4) of the Act, under Article 24-4-7, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act), the deemed replacement of terms under Article 24-4-7, paragraph (5) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第六条
Article 6
前条第一項及び第十三項の規定による届出書類
the statement set forth in paragraph (1) of the preceding Article and of other documents required under paragraph (13) of the preceding Article
当該四半期報告書及び訂正報告書
the relevant Quarterly Securities Report and the Amendment Reports thereof
8 法第二十四条の四の七第十項(法第二十七条において準用する場合を含む。)に規定する政令で定める期間は、法第二十四条の四の七第九項による通知があつた日を起算日として、同条第一項の規定による四半期報告書を同項の規定により提出することとした場合に提出すべきこととなる期間の末日又は当該起算日から十五日を経過する日のいずれか遅い日までの期間とする。
(8) The period specified by Cabinet Order that is provided for in Article 24-4-7, paragraph (10) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) is a period from the day on which the notice under Article 24-4-7, paragraph (9) of the Act has been given until the last day of the period in which the Quarterly Securities Report under Article 24-4-7, paragraph (1) of the Act is to be submitted, if its submission has been decided pursuant to Article 24-4-7, paragraph (1) of the Act, or until the day on which 15 days have elapsed from the day of notice, whichever comes later.
9 法第二十四条の四の七第十一項(法第二十七条において準用する場合を含む。以下この項において同じ。)において法第二十四条の四の七第四項において読み替えて準用する法第七条第一項、第九条第一項又は第十条第一項の規定により報告書提出外国会社が提出した外国会社四半期報告書(法第二十四条の四の七第六項(法第二十七条において準用する場合を含む。)に規定する外国会社四半期報告書をいう。)及びその補足書類(法第二十四条の四の七第七項(法第二十七条において準用する場合を含む。)に規定する補足書類をいう。)の訂正報告書を提出する場合について法の規定を準用する場合における法第二十四条の四の七第十一項の規定による技術的読替えは、次の表のとおりとする。
(9) If the provisions of the Act are applied mutatis mutandis when a Reporting Foreign Company submits Amendment Reports for the Foreign Company Quarterly Securities Report (meaning the Foreign Company Quarterly Securities Report prescribed in Article 24-4-7, paragraph (6) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act)) and the Supplementary Documents therefor (meaning the Supplementary Documents prescribed in Article 24-4-7, paragraph (7) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act)) submitted thereby pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (4) of the Act following the deemed replacement of terms under Article 24-4-7, paragraph (11) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this paragraph), the deemed replacement of terms under Article 24-4-7, paragraph (11) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十四条の四の七第六項
Article 24-4-7, paragraph (6)
第一項の規定により四半期報告書を提出しなければならない報告書提出外国会社
a Reporting Foreign Company required to submit Quarterly Securities Reports under paragraph (1)
第四項において読み替えて準用する第七条、第九条第一項又は第十条第一項の規定により報告書提出外国会社が提出した外国会社四半期報告書及びその補足書類の訂正報告書を提出しなければならない報告書提出外国会社
a Reporting Foreign Company required to submit Amendment Reports for the Foreign Company Quarterly Securities Reports and the Supplementary Documents therefor which have been submitted thereby pursuant to the provisions of Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) as applied mutatis mutandis pursuant to paragraph (4) following the deemed replacement of terms
四半期報告書
Quarterly Securities Reports
訂正報告書
Amendment Reports
外国会社四半期報告書
Foreign Company Quarterly Securities Report
外国会社四半期訂正報告書
Amendment Reports for Foreign Company Quarterly Securities Reports
第二十四条の四の七第七項
Article 24-4-7, paragraph (7)
外国会社四半期報告書
Foreign Company Quarterly Securities Report
外国会社四半期訂正報告書
Amendment Reports for Foreign Company Quarterly Securities Reports
第二十四条の四の七第八項
Article 24-4-7, paragraph (8)
外国会社四半期報告書
Foreign Company Quarterly Securities Report
外国会社四半期訂正報告書
Amendment Reports for Foreign Company Quarterly Securities Reports
四半期報告書
Quarterly Securities Reports
訂正報告書
Amendment Reports
(四半期報告書に係る確認書に関する読替え)
(Deemed Replacement of Terms in Connection with Confirmation Letters for Quarterly Securities Reports)
第四条の二の十一 法第二十四条の四の八第一項(法第二十七条において準用する場合を含む。以下この条において同じ。)において法第二十四条の四の七第一項又は第二項の規定により四半期報告書を提出する場合及び同条第四項において読み替えて準用する法第七条第一項、第九条第一項又は第十条第一項の規定により訂正報告書を提出する場合について法の規定を準用する場合における法第二十四条の四の八第一項の規定による技術的読替えは、次の表のとおりとする。
Article 4-2-11 If the provisions of the Act are applied mutatis mutandis when a person submits a Quarterly Securities Report pursuant to Article 24-4-7, paragraph (1) or (2) of the Act and when a person submits an Amendment Report pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (4) of the Act following the deemed replacement of terms under Article 24-4-8, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article), the deemed replacement of terms under Article 24-4-8, paragraph (1) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十四条の四の二第一項
Article 24-4-2, paragraph (1)
を当該有価証券報告書
the Annual Securities Report
を当該四半期報告書
the Quarterly Securities Report
(外国会社半期報告書の提出が認められない旨の通知があつた場合の半期報告書の提出期限)
(Deadline for the Submission of a Semiannual Securities Report If the Relevant Person Has Been Notified That It Is Not Allowed to Submit a Foreign Company Semiannual Securities Report)
第四条の二の十二 法第二十四条の五第十一項(法第二十七条において準用する場合を含む。)に規定する政令で定める期間は、法第二十四条の五第十項の規定による通知があつた日を起算日として、同条第一項の規定による半期報告書を同項の規定により提出することとした場合に提出すべきこととなる期間の末日又は当該起算日から十五日を経過する日のいずれか遅い日までの期間とする。
Article 4-2-12 The period specified by Cabinet Order that is provided for in Article 24-5, paragraph (11) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) is the period from the day on which the notice under Article 24-5, paragraph (10) of the Act has been given until the last day of the period in which the Semiannual Securities Report under Article 24-5, paragraph (1) of the Act is to be submitted, if its submission has been decided pursuant to Article 24-5, paragraph (1) of the Act, or until the day on which 15 days have elapsed from the day of notice, whichever comes later.
(半期報告書に係る確認書に関する読替え)
(Deemed Replacement of Terms in Connection with Confirmation Letters for Semiannual Securities Reports)
第四条の二の十三 法第二十四条の五の二第一項(法第二十七条において準用する場合を含む。)において法第二十四条の五第一項(同条第三項において準用し、これらの規定を法第二十七条において準用する場合を含む。)の規定により半期報告書を提出する場合及び法第二十四条の五第五項(法第二十七条において準用する場合を含む。以下この条において同じ。)において読み替えて準用する法第七条第一項、第九条第一項又は第十条第一項の規定により訂正報告書(法第二十四条の五第五項に規定する訂正報告書をいう。)を提出する場合について法の規定を準用する場合における法第二十四条の五の二第一項の規定による技術的読替えは、次の表のとおりとする。
Article 4-2-13 If the provisions of the Act are applied mutatis mutandis when a person submits a Semiannual Securities Report pursuant to Article 24-5, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 24-5, paragraph (3) of the Act and as applied mutatis mutandis pursuant to Article 27 of the Act) and when a person submits an Amendment Report (meaning the Amendment Report set forth in Article 24-5, paragraph (5) of the Act) is to be submitted pursuant to the provisions of Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-5, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article) following the deemed replacement of terms under Article 24-5-2, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act), the deemed replacement of terms under Article 24-5-2, paragraph (1) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replaced the original terms
第二十四条の四の二第一項
Article 24-4-2, paragraph (1)
を当該有価証券報告書
the Annual Securities Report
を当該半期報告書
the Semiannual Securities Report
(上場株券に準ずる株券等)
(Share Certificates Equivalent to Listed Share Certificates)
第四条の三 法第二十四条の六第一項に規定する政令で定める株券は、店頭売買有価証券に該当する株券とする。
Article 4-3 (1) The share certificates specified by Cabinet Order that are provided for in Article 24-6, paragraph (1) of the Act are share certificates that fall under the category of Over-the-Counter Traded Securities.
2 法第二十四条の六第一項に規定する政令で定める有価証券は、次に掲げる有価証券とする。
(2) The Securities specified by Cabinet Order that are provided for in Article 24-6, paragraph (1) of the Act are the following Securities:
一 金融商品取引所に上場されている投資証券(投資信託及び投資法人に関する法律に規定する投資証券をいう。以下この項において同じ。)
(i) Investment Securities (meaning Investment Securities as prescribed in the Act on Investment Trusts and Investment Corporations; hereinafter the same applies in this paragraph) listed on a Financial Instruments Exchange;
二 店頭売買有価証券に該当する投資証券
(ii) Investment Securities that fall within the category of Over-the-Counter Traded Securities;
三 有価証券信託受益証券で、受託有価証券が金融商品取引所に上場されている株券若しくは前項に規定する株券又は前二号に掲げる投資証券であるもの
(iii) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are share certificates listed on a Financial Instruments Exchange, the share certificates set forth in the preceding paragraph or the Investment Securities set forth in the preceding two items;
四 有価証券信託受益証券(受託有価証券が株券又は投資証券であるものに限り、前号に該当するものを除く。)で、上場有価証券(金融商品取引所に上場されている有価証券をいう。第六号において同じ。)又は店頭売買有価証券に該当するもの
(iv) Beneficiary Certificates of Securities in Trust (limited to those of which the Entrusted Securities are share certificates or Investment Securities; and excluding those falling under the preceding item) which fall under the category of Listed Securities (meaning the Securities listed on a Financial Instruments Exchange; the same applies in item (vi)) or Over-the-Counter Traded Securities;
五 法第二条第一項第二十号に掲げる有価証券で、金融商品取引所に上場されている株券若しくは前項に規定する株券又は第一号若しくは第二号に掲げる投資証券に係る権利を表示するもの
(v) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with share certificates listed on a Financial Instruments Exchange, share certificates as provided in the preceding paragraph, or Investment Securities as set forth in item (i) or (ii); or
六 法第二条第一項第二十号に掲げる有価証券(株券又は投資証券に係る権利を表示するものに限り、前号に該当するものを除く。)で、上場有価証券又は店頭売買有価証券に該当するもの
(vi) the Securities set forth in Article 2, paragraph (1), item (xx) of the Act (limited to Securities that indicate rights associated with share certificates or Investment Securities; and excluding those falling under the preceding item) which fall under the category of Listed Securities or Over-the-Counter Traded Securities.
3 法第二十四条の六第一項に規定する政令で定める機関の決定は、投資信託及び投資法人に関する法律第八十条の二第三項の規定による役員会の決議とする。
(3) The decision of an organ specified by Cabinet Order that is provided for in Article 24-6, paragraph (1) of the Act is a resolution of the board of officers under Article 80-2, paragraph (3) of the Act on Investment Trusts and Investment Corporations.
4 法第二十四条の六第一項に規定する政令で定める会議は、前項の決議があつた役員会とする。
(4) The meeting specified by Cabinet Order that is provided for in Article 24-6, paragraph (1) of the Act is the meeting of the board of officers at which the resolution set forth in the preceding paragraph has been made.
5 法第二十四条の六第一項に規定する政令で定める日は、投資信託及び投資法人に関する法律第八十条の五第二項の規定により読み替えて適用する同法第八十条の二第一項第四号に掲げる期間の満了する日とする。
(5) The day specified by Cabinet Order that is provided for in Article 24-6, paragraph (1) of the Act is the day on which the period set forth in Article 80-2, paragraph (1), item (iv) of the Act on Investment Trusts and Investment Corporations as applied pursuant to the provisions of Article 80-5, paragraph (2) of that Act following the deemed replacement of terms is to expire.
(密接な関係を有する会社)
(Companies Closely Related to the Relevant Person)
第四条の四 法第二十四条の七第一項(法第二十七条において準用する場合を含む。)に規定する政令で定めるものは、次に掲げる会社とする。
Article 4-4 (1) The company specified by Cabinet Order that is provided for in Article 24-7, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) is a company as follows:
一 提出子会社(法第二十四条の七第一項(法第二十七条において準用する場合を含む。)に規定する提出子会社をいう。次号、第四条の七第一項、第三十九条第三項及び第四十一条の二第三項において同じ。)の総株主等の議決権の過半数を自己又は他人(仮設人を含む。以下この条及び第四条の七において同じ。)の名義をもつて所有する会社
(i) a company that holds the majority of the Voting Rights Held by All the Shareholders, etc. of a Subsidiary Company Submitting Annual securities Reports (meaning the Subsidiary Company Submitting Annual securities Reports prescribed in Article 24-7, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act); the same applies in the following item, Article 4-7, paragraph (1), Article 39, paragraph (3) and Article 41-2, paragraph (3)) in its own name or in another person's name (or under a fictitious name; hereinafter the same applies in this Article and Article 4-7); or
二 会社と当該会社が総株主等の議決権の過半数を自己又は他人の名義をもつて所有する法人等(法人その他の団体をいう。以下同じ。)が合わせて提出子会社の総株主等の議決権の過半数を自己又は他人の名義をもつて所有する場合の当該会社
(ii) if a company and a corporation or other organization (meaning a corporation or any other organization; the same applies hereinafter) in which the company holds a majority of the Voting Rights Held by All the Shareholders, etc. in its own name or in another person's name, jointly hold the majority of the Voting Rights Held by All the Shareholders, etc. of a Subsidiary Company Submitting Annual Securities Reports in their own names or in another person's name, the company.
2 会社と当該会社が総株主等の議決権の過半数を自己又は他人の名義をもつて所有する法人等(以下この項及び第四条の七において「被支配法人等」という。)が合わせて他の法人等の総株主等の議決権の過半数を自己又は他人の名義をもつて所有する場合には、当該他の法人等を当該会社の被支配法人等とみなして前項第二号及びこの項の規定を適用する。
(2) If a company and a first corporation or other organization in which that company holds a majority of the Voting Rights Held by All the Shareholders, etc. in its own name or in another person's name (hereinafter such a corporation or other organization is referred to as the "controlled corporation or other organization" in this paragraph and Article 4-7), jointly hold the majority of the Voting Rights Held by All the Shareholders, etc. of a second corporation or other organization in their own names or in another person's name, the second corporation or other organization is deemed to be the controlled corporation or other organization of the company and the provisions of item (ii) of the preceding paragraph and this paragraph apply.
(外国会社に係る親会社等状況報告書の提出期限)
(Deadline for Submission of a Parent Company Status Report for a Foreign Company)
第四条の五 法第二十四条の七第一項(同条第六項において準用し、及びこれらの規定を法第二十七条において準用する場合を含む。)に規定する政令で定める期間は、三月とする。ただし、親会社等(法第二十四条の七第一項に規定する親会社等をいう。第四条の八において同じ。)である外国会社(法第二十四条の七第六項において準用する場合にあつては、外国の者)が、その本国の法令又は慣行その他やむを得ない理由により、親会社等状況報告書(法第二十四条の七第一項に規定する親会社等状況報告書をいう。以下同じ。)をその事業年度経過後三月以内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ金融庁長官の承認を受けた期間とする。
Article 4-5 The period specified by Cabinet Order that is provided for in Article 24-7, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 24-7, paragraph (6) of the Act and as applied mutatis mutandis pursuant to Article 27 of the Act) is three months; provided, however, that if the Foreign Company (if applied mutatis mutandis pursuant to Article 24-7, paragraph (6) of the Act, a foreign person) that is a Parent Company, etc. (meaning a Parent Company, etc. as defined in Article 24-7, paragraph (1) of the Act; the same applies in Article 4-8) is found to be unable to submit a Parent Company, etc. Status Report (meaning the Parent Company, etc. Status Report prescribed in Article 24-7, paragraph (1) of the Act; the same applies hereinafter) within three months after the end of its business year due to the laws and regulations or practices in its state or any other compelling reasons, that period is the period approved in advance by the Commissioner of the Financial Services Agency pursuant to the provisions of Cabinet Office Order.
(親会社等状況報告書の訂正に関する読替え)
(Deemed Replacement of Terms in Connection with the Amendment of a Parent Company Status Report)
第四条の六 法第二十四条の七第一項に規定する親会社等状況報告書について、同条第三項において法の規定を準用する場合における同項の規定による技術的読替えは、次の表のとおりとする。
Article 4-6 With regard to a Parent Company, etc. Status Report referred to in Article 24-7, paragraph (1) of the Act, the deemed replacement of terms under paragraph (3) of that Article when the provisions of the Act are applied mutatis mutandis pursuant to that paragraph is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
法第九条第一項
Article 9, paragraph (1) of the Act
第五条第一項及び第十三項若しくは第七条第一項の規定による届出書類
the statement or other documents set forth in Article 5, paragraph (1) and paragraph (13) or Article 7, paragraph (1)
親会社等状況報告書若しくは第七条の規定による訂正報告書
the Parent Company, etc. Status Report or the amendment reports under Article 7
(密接な関係を有する会社以外の者)
(Persons Other Than a Company That Has a Close Relationship with the Person in Question)
第四条の七 法第二十四条の七第六項(法第二十七条において準用する場合を含む。)において読み替えて準用する法第二十四条の七第一項に規定する政令で定める会社以外の者は、次に掲げる者とする。
Article 4-7 (1) The persons other than a company that has a close relationship with the person in question as specified by Cabinet Order, as provided in Article 24-7, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 24-7, paragraph (6) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act) following the deemed replacement of terms, are the following persons:
一 提出子会社の総株主等の議決権の過半数を自己又は他人の名義をもつて所有する協同組織金融機関(法第二条第一項第七号に掲げる有価証券(同項第十七号に掲げる有価証券でこれらの有価証券の性質を有するものを含む。)の発行者をいう。)その他内閣府令で定める者(以下この条において「協同組織金融機関等」という。)
(i) a Cooperative Financial Institution (meaning the issuer of the Securities set forth in Article 2, paragraph (1), item (vii) of the Act (including the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the aforementioned Securities)) that holds the majority of the Voting Rights Held by All the Shareholders, etc. of a Subsidiary Company Submitting Annual securities Reports in its own name or in another person's name, or any other person specified by Cabinet Office Order (hereinafter referred to as the "Cooperative Financial Institution, etc." in this Article); or
二 協同組織金融機関等とその被支配法人等が合わせて提出子会社の総株主等の議決権の過半数を自己又は他人の名義をもつて所有する場合の当該協同組織金融機関等
(ii) if a Cooperative Financial Institution, etc. and the controlled corporation or other organization thereof jointly hold the majority of the Voting Rights Held by All the Shareholders, etc. of a Subsidiary Company Submitting Annual Securities Reports in their own names or in another person's name, the Cooperative Financial Institution, etc.
2 協同組織金融機関等とその被支配法人等が合わせて他の法人等の総株主等の議決権の過半数を自己又は他人の名義をもつて所有する場合には、当該他の法人等を当該協同組織金融機関等の被支配法人等とみなして前項第二号及びこの項の規定を適用する。
(2) If a Cooperative Financial Institution, etc. and a first controlled corporation or other organization thereof jointly hold the majority of Voting Rights Held by All the Shareholder, etc. of a second corporation or other organization in their own names or in another person's name, the second corporation or other organization is deemed to be the controlled corporation or other organization of the Cooperative Financial Institution, etc. and the provisions of item (ii) of the preceding paragraph and this paragraph apply.
(会社以外の者による親会社等状況報告書の提出に関する読替え)
(Deemed Replacement of Terms in Connection with the Submission of a Parent Company Status Report by a Person Other Than a Company)
第四条の八 法第二十四条の七第一項に規定する親会社等が会社以外の者である場合について、同条第六項において法の規定を準用する場合における同項の規定による技術的読替えは、次の表のとおりとする。
Article 4-8 If the Parent Company, etc. referred to in Article 24-7, paragraph (1) of the Act is a person other than a company, the deemed replacement of terms under paragraph (6) of that Article when the provisions of the Act are applied mutatis mutandis pursuant to that paragraph is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
法第二十四条の七第一項
Article 24-7, paragraph (1) of the Act
外国会社
foreign company
外国の者
foreign person
(発行者が会社以外の者である場合の読替え)
(Deemed Replacement of Terms When an Issuer Is a Person Other Than a Company)
第四条の九 法第二十七条の規定において発行者が会社以外の者である場合について法の規定を準用する場合における同条の規定による技術的読替えは、次の表のとおりとする。
Article 4-9 If the provisions of the Act are applied mutatis mutandis to a case in which an issuer is a person other than a company as in the provisions of Article 27 of the Act, the deemed replacement of terms under that Article is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
法第十三条第一項
Article 13, paragraph (1) of the Act
新株予約権証券
Share option certificates
新投資口予約権証券
Investment Equity Subscription Right Certificates
会社法第二百七十七条に規定する新株予約権無償割当て
Allotment of Share Options without Contribution specified in Article 277 of the Companies Act
投資信託及び投資法人に関する法律第八十八条の十三に規定する新投資口予約権無償割当て
allotment of Investment Equity Subscription Rights without contribution as prescribed in Article 88-13 of the Act on Investment Trusts and Investment Corporations
法第二十三条の三第一項
Article 23-3, paragraph (1) of the Act
新株予約権証券
Share option certificates
新投資口予約権証券
Investment Equity Subscription Right Certificates
新株予約権の
of share options
新投資口予約権の
of Investment Equity Subscription Right Certificates
法第二十四条第十項
Article 24, paragraph (10) of the Act
外国会社
foreign company
外国の者
foreign person
(会社以外の発行者に係る有価証券報告書の提出を要しないこととなる有価証券の範囲等)
(Scope of Securities That Make It Unnecessary for an Issuer Other Than a Company to Submit an Annual Securities Report)
第四条の十 法第二十四条第一項ただし書(法第二十七条において準用する場合に限る。次項及び次条において同じ。)に規定する政令で定める有価証券は、次に掲げる有価証券とする。
Article 4-10 (1) The Securities specified by Cabinet Order that are provided for in the proviso to Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; the same applies in the following paragraph and the following Article) are the following Securities:
一 優先出資証券
(i) Preferred Equity Securities;
二 法第二条第一項第十七号に掲げる有価証券で優先出資証券の性質を有するもの
(ii) the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of Preferred Equity Securities;
三 有価証券信託受益証券で、受託有価証券が前号に掲げる有価証券であるもの
(iii) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in the preceding item; or
四 法第二条第一項第二十号に掲げる有価証券で、第二号に掲げる有価証券に係る権利を表示するもの
(iv) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities set forth in item (ii).
2 法第二十四条第一項ただし書に規定する政令で定めるところにより計算した数は、三百とする。
(2) The number calculated pursuant to the provisions of Cabinet Order, referred to in the proviso to Article 24, paragraph (1) of the Act, is 300.
(会社以外の発行者に係る有価証券報告書の提出を要しないこととなる資産の額等)
(Amount of Stated Capital That Makes It Unnecessary for an Issuer Other Than a Company to Submit an Annual Securities Report)
第四条の十一 法第二十四条第一項ただし書に規定する資産の額として政令で定めるものは、学校法人等の貸借対照表上の純資産額とする。
Article 4-11 (1) The amount specified by Cabinet Order as the amount of the stated capital, referred to in the proviso to Article 24, paragraph (1) of the Act is the amount of net assets of the incorporated educational institution, etc. stated on the balance sheet.
2 法第二十四条第一項ただし書に規定する政令で定める額は、一億円とする。
(2) The amount specified by Cabinet Order that is provided for in the proviso to Article 24, paragraph (1) of the Act is 100 million yen.
3 法第二十四条第一項ただし書に規定する政令で定める数は、三百とする。
(3) The number specified by Cabinet Order that is provided for in the proviso to Article 24, paragraph (1) of the Act is 300.
4 法第二十四条第一項第四号(法第二十七条において準用する場合に限る。次項において同じ。)に規定する政令で定める有価証券は、優先出資証券及び第一条の三の四に規定する債権とする。
(4) The Securities specified by Cabinet Order that are provided for in Article 24, paragraph (1), item (iv) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act; the same applies in the following paragraph) are Preferred Equity Securities and the claims set forth in Article 1-3-4.
5 法第二十四条第一項第四号に規定する政令で定める数は、次の各号に掲げる有価証券の区分に応じ、当該各号に定める数とする。
(5) The number specified by Cabinet Order that is provided for in Article 24, paragraph (1), item (iv) of the Act is the number specified in the relevant of the following items for the category of Securities set forth in that item:
一 優先出資証券 千(当該優先出資証券が特定投資家向け有価証券である場合には、千に内閣府令で定めるところにより計算した特定投資家の数を加えた数)
(i) Preferred Equity Securities: 1000 (if the Preferred Equity Securities are Securities for Professional Investors, the number obtained by adding the number of Professional Investors calculated pursuant to the provisions of Cabinet Office Order to 1000); or
二 第一条の三の四に規定する債権 五百
(ii) the claims set forth in Article 1-3-4: 500.
(半期報告書等の提出を要しない外国債等の発行者)
(Issuer of Foreign Bonds for Not Required to Submit a Semiannual Securities Report)
第五条 法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若しくは第二号に掲げるものの性質を有する有価証券の発行者又は同項第十七号に掲げる有価証券のうち同項第三号に掲げるものの性質を有する有価証券の発行者(当該発行者の半期報告書及び臨時報告書(法第二十七条において準用する法第二十四条の五に規定する半期報告書及び臨時報告書をいう。以下この条において同じ。)の提出を要しないこととし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、金融庁長官の指定した発行者に限る。)は、半期報告書及び臨時報告書を提出することを要しない。
Article 5 The issuer of, among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, the Securities which have the nature of the Securities set forth in item (i) or item (ii) of that paragraph or the issuer of, among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, the Securities which have the nature of the Securities set forth in item (iii) of that paragraph (limited to the issuer designated by the Commissioner of the Financial Services Agency as those whose omitted submission of a Semiannual Securities Report and Extraordinary Report (meaning the Semiannual Securities Report and Extraordinary Report set forth in Article 24-5 of the Act as applied mutatis mutandis pursuant to Article 27 of the Act; hereinafter the same applies in this Article) would not compromise the public interest or the protection of investors) is not required to submit Semiannual Securities Reports and Extraordinary Reports.
第三章 公開買付けに関する開示
Chapter III Disclosure Required for a Tender Offer
第一節 発行者以外の者による株券等の公開買付け
Section 1 Tender Offers for Share Certificates by Persons Other Than the Issuer
(公開買付けによらなければならない有価証券等)
(Securities That Are Required to Be Purchased through Tender Offer)
第六条 法第二十七条の二第一項に規定する有価証券で政令で定めるものは、次に掲げる有価証券(株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式(第十四条の五の二において「議決権のない株式」という。)に係る株券その他の内閣府令で定めるものを除く。以下この節において「株券等」という。)とする。
Article 6 (1) The Securities set forth in Article 27-2, paragraph (1) of the Act which are specified by Cabinet Order are the following Securities (excluding share certificates associated with shares that do not allow voting rights to be exercised with regard to all matters that can be resolved at a shareholders meeting (referred to as "Shares Not Conferring Voting Rights" in Article 14-5-2) or other Securities specified by Cabinet Office Order; hereinafter referred to as "Share Certificates, etc." in this Section):
一 株券、新株予約権証券及び新株予約権付社債券
(i) share certificates, share option certificates and corporate bond certificates with share options;
二 外国の者の発行する証券又は証書で前号に掲げる有価証券の性質を有するもの
(ii) instruments or certificates issued by a foreign person which have the nature of the Securities set forth in the preceding item;
三 投資証券等及び新投資口予約権証券等
(iii) Investment Securities, etc. and Investment Equity Subscription Right Certificates, etc.;
四 有価証券信託受益証券で、受託有価証券が前三号に掲げる有価証券であるもの
(iv) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in the preceding three items; and
五 法第二条第一項第二十号に掲げる有価証券で、第一号から第三号までに掲げる有価証券に係る権利を表示するもの
(v) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities set forth in item (i) to item (iii).
2 法第二十七条の二第一項に規定する流通状況が特定上場有価証券に準ずるものとして政令で定めるものは、特定店頭売買有価証券とする。
(2) The Securities specified by Cabinet Order as those for which the state of distribution can be regarded as being equivalent to the Specified Listed Securities, as provided in Article 27-2, paragraph (1) of the Act, are Specified Over-the-Counter Traded Securities.
3 法第二十七条の二第一項に規定する有償の譲受けに類するものとして政令で定めるものは、次に掲げるものとする。
(3) The acts specified by Cabinet Order as being similar to an acquisition for value of Share Certificates, etc., as provided in Article 27-2, paragraph (1) of the Act, are as follows:
一 株券等の売買の一方の予約(当該売買を完結する権利を有し、かつ、当該権利の行使により買主としての地位を取得する場合に限る。)
(i) a unilateral option contract for a purchase and sale of Share Certificates, etc. (limited to cases in which the person in question holds the right to complete the purchase and sale and would acquire the position of buyer through the exercise of that right);
二 株券等の売買に係るオプション(法第二条第一項第十九号に規定するオプションをいう。以下同じ。)の取得(当該オプションの行使により当該行使をした者が当該売買において買主としての地位を取得するものに限る。)
(ii) acquisition of an Option (meaning an Option as defined in Article 2, paragraph (1), item (xix) of the Act; the same applies hereinafter) to effect a purchase and sale of Share Certificates, etc. (limited to if the exercise of that Option would cause the person exercising it to acquire the position of buyer in the purchase and sale);
三 その他内閣府令で定めるもの
(iii) any other acts specified by Cabinet Office Order.
(公開買付けの適用除外となる買付け等)
(Purchases Exempted from Tender Offers)
第六条の二 法第二十七条の二第一項ただし書に規定する政令で定める株券等の買付け等は、次に掲げる株券等の買付け等(同項に規定する買付け等をいう。以下この節において同じ。)とする。
Article 6-2 (1) The Purchase, etc. of Share Certificates, etc. specified by Cabinet Order that is provided for in the proviso to Article 27-2, paragraph (1) of the Act means a Purchase, etc. (meaning a Purchase, etc. as prescribed in that paragraph; hereinafter the same applies in this Section) of Share Certificates, etc. as follows:
一 株式の割当てを受ける権利を有する者が当該権利を行使することにより行う株券等の買付け等
(i) a Purchase, etc. of Share Certificates, etc. made through the exercise of the right to receive the allotment of shares by the person that holds that right;
二 投資信託及び投資法人に関する法律施行令第十二条第一号に掲げる投資信託の受益証券を有する者が当該受益証券を同号イの交換により行う株券等の買付け等
(ii) a Purchase, etc. of Share Certificates, etc. that a person holding a beneficiary certificate of an investment trust as set forth in Article 12, item (i) of the Order for the Enforcement of the Act on Investment Trusts and Investment Corporations makes by exchanging that beneficiary certificate pursuant to Article 12, item (i), (a) of that Order;
三 投資信託及び投資法人に関する法律施行令第十二条第二号に掲げる投資信託の受益証券を有する者が当該受益証券を同号ハの交換により行う株券等の買付け等
(iii) a Purchase, etc. of Share Certificates, etc. that a person holding a beneficiary certificate of an investment trust as set forth in Article 12, item (ii) of the Order for the Enforcement of the Act on Investment Trusts and Investment Corporations makes by exchanging that beneficiary certificate pursuant to Article 12, item (ii), (c) of that Order;
四 特定買付け等(株券等の買付け等であつて、第三項に規定するものをいう。以下この項において同じ。)の前において当該特定買付け等を行う者の所有に係る株券等の株券等所有割合(法第二十七条の二第八項に規定する株券等所有割合をいう。以下この節において同じ。)とその者の特別関係者(同条第一項ただし書に規定する特別関係者をいう。)の株券等所有割合とを合計した割合が百分の五十を超えている場合における当該株券等の発行者の発行する株券等に係る特定買付け等(当該特定買付け等の後におけるその者の所有に係る株券等の株券等所有割合(その者に特別関係者(同項第一号に規定する特別関係者をいう。)がある場合にあつては、その株券等所有割合を加算したもの。以下この節において同じ。)が三分の二以上となる場合を除く。)
(iv) a Specified Purchase, etc. (meaning a Purchase, etc. of Share Certificates, etc. as referred to in paragraph (3); hereinafter the same applies in this paragraph) of Share Certificates, etc. that are being issued by the issuer of Share Certificates, etc. which are in the possession of the person making that Specified Purchase, etc., if, before the Specified Purchase, etc., the sum rate of that person's Ownership Ratio of Share Certificates, etc. (meaning the Ownership Ratio of Share Certificates, etc. defined in Article 27-2, paragraph (8) of the Act; hereinafter the same applies in this Section) and the Ownership Ratio of Share Certificates, etc. of that person's Specially Related Parties (meaning the Specially Related Parties set forth in the proviso to Article 27-2, paragraph (1) of the Act) exceeds 50 percent (excluding cases in which the Ownership Ratio of Share Certificates, etc. for Share Certificates, etc. in the possession of the person that conducts the Specified Purchase, etc. (if there are Specially Related Parties (meaning Specially Related Parties as set forth in Article 27-2, paragraph (1), item (i) of the Act) with the person, the rate obtained by adding the Ownership Ratio of Share Certificates, etc. of those Specially Related Parties; hereinafter the same applies in this Section) is not less than two-thirds after the Specified Purchase, etc. is conducted);
五 法人等の行う特定買付け等であつて、当該法人等に対してその総株主等の議決権の数の百分の五十を超える数の議決権に係る株式又は出資を所有する関係(内閣府令で定める場合を除く。以下この号において「特別支配関係」という。)にある法人等(次号において「親法人等」という。)が他の法人等に対して特別支配関係を有する場合における当該他の法人等から行うもの
(v) if a corporation or other organization that is in the position of holding shares or equity associated with a number of voting rights that constitutes over 50 percent of the number of Voting Rights Held by All the Shareholders, etc. of a corporation or other organization (excluding the cases specified by Cabinet Office Order; hereinafter referred to as a "Special Controlling Interest" in this item) (such a corporation or other organization is referred to as the "Parent Corporation, etc." in the following item), holds a Special Controlling Interest over another corporation or other organization, the Specified Purchase, etc. conducted by the other corporation or other organization;
六 特定買付け等を行う者と当該特定買付け等を行う者の親法人等その他の内閣府令で定める者(以下この号において「関係法人等」という。)が合わせて他の発行者の総株主等の議決権の数の三分の一を超える数の議決権(社債、株式等の振替に関する法律第百四十七条第一項又は第百四十八条第一項(これらの規定を同法第二百二十八条第一項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投資口(投資信託及び投資法人に関する法律第二条第十四項に規定する投資口をいう。以下この節において同じ。)に係る議決権を含む。)に係る株式又は投資口(外国投資法人(投資信託及び投資法人に関する法律第二条第二十五項に規定する外国投資法人をいう。以下同じ。)の社員の地位を含む。以下この節において同じ。)を所有している場合における当該関係法人等(内閣府令で定める者を除く。)から行う当該他の発行者の株券等の当該特定買付け等(前号に掲げるものを除く。)
(vi) if the person that conducts a Specified Purchase, etc. and the Parent Corporation, etc. of the person that conducts a Specified Purchase, etc. and any other person specified by Cabinet Office Order (hereinafter referred to as a "related corporation or other organization" in this item) jointly hold shares or Investment Equity (including the status as a member of a Foreign Investment Corporation (meaning a Foreign Investment Corporation as prescribed in Article 2, paragraph (25) of that Act; the same applies hereinafter); hereinafter the same applies in this Section) associated with voting rights (including voting rights associated with shares and Investment Equity (meaning the Investment Equity prescribed in Article 2, paragraph (14) of the Act on Investment Trusts and Investment Corporations; hereinafter the same applies in this Section) that cannot be asserted against the issuer pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on the Book-Entry Transfer of Corporate Bonds, Shares, etc. (including as applied mutatis mutandis pursuant to Article 228, paragraph (1) of that Act)) exceeding one-third of the number of Voting Rights Held by All the Shareholders, etc. of another issuer, the Specified Purchase, etc. of Share Certificates, etc. of the other issuer made by the related corporation or other organization (excluding those specified by Cabinet Office Order) (excluding the Specified Purchase, etc. set forth in the preceding item);
七 株券等の所有者が少数である場合として内閣府令で定める場合であつて、当該株券等に係る特定買付け等を公開買付けによらないで行うことにつき、当該株券等の全ての所有者が同意している場合として内閣府令で定める場合における当該特定買付け等
(vii) a Specified Purchase, etc. made in a case specified by Cabinet Office Order as a case in which the holders of Share Certificates, etc. are few in number, in a case specified by Cabinet Office Order as a case in which all the holders of the Share Certificates, etc. have given consent to make the Specified Purchase, etc. associated with the Share Certificates, etc. by means other than a Tender Offer;
八 担保権の実行による特定買付け等
(viii) a Specified Purchase, etc. made through the exercise of a security interest;
九 事業の全部又は一部の譲受けによる特定買付け等
(ix) a Specified Purchase, etc. made by a full or partial acquisition of business;
十 株券等の売出しに応じて行う株券等の買付け等(当該売出しにつき、法第四条第一項の規定による届出が行われている場合又は法第二十三条の八第一項の規定により同項に規定する発行登録追補書類が提出されている場合に限る。)
(x) a Purchase, etc. of Share Certificates, etc. made in response to a Secondary Distribution of Share Certificates, etc. (limited to cases in which the notification under Article 4, paragraph (1) of the Act has been given or the Supplements to Shelf Registration Documents defined in Article 23-8, paragraph (1) of the Act has been submitted under that paragraph with regard to the Secondary Distribution);
十一 発行者がその発行する全部又は一部の株式の内容として株主が当該発行者に対して当該株式の取得を請求することができる旨の定めを設けている場合において、当該株式の取得と引換えに交付される株券等の買付け等
(xi) if the issuer provides, as a feature of all or part of its shares, that the shareholders may demand the issuer to redeem the shares, the Purchase, etc. of the Share Certificates, etc. which are delivered in exchange of the redemption of the shares;
十二 発行者がその発行する全部若しくは一部の株式又は新株予約権の内容として当該発行者が一定の事由が生じたことを条件として当該株式又は新株予約権を取得することができる旨の定めを設けている場合において、当該株式又は新株予約権の取得と引換えに交付される株券等の買付け等
(xii) if the issuer provides, as a feature of all or part of its shares, that the issuer may acquire the shares or share options upon the occurrence of a specified event, Purchase, etc. of the Share Certificates, etc. which are delivered in exchange of the acquisition of the shares or share options;
十三 株券等の発行者の役員(取締役、執行役、会計参与(会計参与が法人である場合は、その職務を行うべき社員を含む。第九条第一項及び第十四条の八の二第一項において同じ。)及び監査役をいい、投資法人(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をいい、外国投資法人を含む。)にあつては、執行役員、監督役員その他これらに準ずる者をいう。以下この号において同じ。)又は従業員が当該発行者の他の役員又は従業員と共同して当該発行者の株券等の買付け等を金融商品取引業者(第一種金融商品取引業(法第二十八条第一項に規定する第一種金融商品取引業をいう。以下同じ。)を行う者に限る。第十条第一号及び第十四条の三の五第一号において同じ。)に委託して行う場合であつて、当該買付け等が一定の計画に従い、個別の投資判断に基づかず、継続的に行われる場合その他の内閣府令で定める場合における株券等の買付け等
(xiii) if an Officer (meaning a director, executive officer, accounting advisor (if the accounting advisor is a corporation, the member to perform the duties thereof is included; the same applies in Article 9, paragraph (1) and Article 14-8-2, paragraph (1)), or company auditor, and in the case of an Investment Corporation (meaning an Investment Corporation as defined in Article 2, paragraph (12) of the Act on Investment Trusts and Investment Corporations and including a Foreign Investment Corporation), meaning the corporate officer, supervisory officer, or any person equivalent thereto; hereinafter the same applies in this item) or employee of the issuer of the Share Certificates, etc. entrusts the Purchase, etc. of the issuer's Share Certificates, etc. to a Financial Instruments Business Operator (limited to those that conduct Type 1 Financial Instruments Business (meaning the Type I Financial Instruments Business defined in Article 28, paragraph (1) of the Act; the same applies hereinafter); the same applies in Article 10, item (i) and Article 14-3-5, item (i)) jointly with other Officers or employees of the issuer, the Purchase, etc. of Share Certificates, etc. made if that Purchase, etc. is to be made continually according to a fixed plan and without depending on an individual investment decision, and any other case specified by Cabinet Office Order;
十四 法第二十四条第一項(同条第五項(法第二十七条において準用する場合を含む。)において準用する場合を含む。)の規定により有価証券報告書を提出しなければならない発行者以外の発行者(特定上場有価証券又は特定店頭売買有価証券である株券等の発行者を除く。)が発行する株券等の買付け等
(xiv) the Purchase, etc. of Share Certificates, etc. which are issued by an issuer other than one that is required to submit an Annual Securities Report pursuant to Article 24, paragraph (1) of the Act (including as applied mutatis mutandis pursuant to Article 24, paragraph (5) of the Act (including as applied mutatis mutandis pursuant to Article 27 of the Act)) (excluding an issuer of Share Certificates, etc. which are Specified Listed Securities or Specified Over-the-Counter Traded Securities);
十五 金融商品取引清算機関(当該金融商品取引清算機関が法第百五十六条の二十の十六第一項に規定する連携金融商品債務引受業務を行う場合には、同項に規定する連携清算機関等を含む。以下この号において同じ。)又は外国金融商品取引清算機関に対し株券等を引き渡す債務を負う清算参加者(法第百五十六条の七第二項第三号に規定する清算参加者をいう。)が、当該金融商品取引清算機関又は外国金融商品取引清算機関の業務方法書において履行すべき期限として定められる時までに当該債務を履行しなかつた場合に、当該業務方法書に定めるところにより行う株券等の買付け等
(xv) if a Clearing Member (meaning a Clearing Member as prescribed in Article 156-7, paragraph (2), item (iii) of the Act) that has the obligation to deliver the Share Certificates, etc. to the Financial Instruments Clearing Organization (if the Financial Instruments Clearing Organization conducts Collaborative Financial Instruments Obligation Assumption Services as prescribed in Article 156-20-16, paragraph (1), including the Collaborating Clearing Organization, etc. set forth in that paragraph; hereinafter the same applies in this item) or the Foreign Financial Instruments Clearing Organization has failed to perform that obligation by the time specified as the limit for the performance of the obligations in the business rules of the Financial Instruments Clearing Organization or Foreign Financial Instruments Clearing Organization, a Purchase, etc. of Share Certificates, etc. made pursuant to the provisions of the business rules; or
十六 株式等売渡請求(会社法第百七十九条の三第一項に規定する株式等売渡請求をいう。第二十八条の二第十三号、第二十九条の二の五第六号及び第三十一条において同じ。)による株券等の買付け等(当該買付け等の時点において当該株券等の発行者が新株予約権証券を発行している場合(当該新株予約権証券の全てが第八条第五項第三号に規定する内閣府令で定めるものである場合を除く。)には、同法第百七十九条第二項に規定する株式売渡請求に併せて同条第三項に規定する新株予約権売渡請求をした場合に限る。)
(xvi) a Purchase, etc. of Share Certificates, etc. through a Demand for a Share, etc. Cash-Out (meaning a demand for a share, etc. cash-out as prescribed in Article 179-3, paragraph (1) of the Companies Act; the same applies in Article 28-2, item (xiii), Article 29-2-5, item (vi), and Article 31) (if the issuer of Share Certificates, etc. has issued share option certificates by the time of the purchase, etc. (excluding cases in which all the share option certificates are specified by Cabinet Office Order, referred to in Article 8, paragraph (5), item (iii)), limited to cases in which the demand for a share option cash-out prescribed in Article 179, paragraph (3) of that Act is made together with the demand for a cash-out prescribed in Article 179, paragraph (2) of that Act).
2 法第二十七条の二第一項第一号に規定する政令で定める取引は、次に掲げる取引とする。
(2) The transactions specified by Cabinet Order that are provided for in Article 27-2, paragraph (1), item (i) of the Act are the following transactions:
一 店頭売買有価証券市場における店頭売買有価証券の取引
(i) transactions of Over-the-Counter Traded Securities on an Over-the-Counter Securities Market;
二 法第二条第八項第十号に掲げる行為(次に掲げる要件の全てを満たすものとして金融庁長官が指定する電子情報処理組織を使用して行われるものに限る。)による有価証券(金融商品取引所に上場されているものに限る。以下この項において同じ。)の取引(当該有価証券が特定上場有価証券である場合にあつては、特定投資家等のみを当事者として行われるものに限る。)
(ii) transactions of Securities (limited to those listed on a Financial Instruments Exchange; hereinafter the same applies in this paragraph) through the acts set forth in Article 2, paragraph (8), item (x) of the Act (limited to those made using an electronic data processing system designated by the Commissioner of the Financial Services Agency as satisfying all of the following requirements) (if the Securities are Specified Listed Securities, those transactions are limited to those in which Professional Investors, etc. are the only parties):
イ 電子情報処理組織を使用して行われた売付け若しくは買付けの申込み又は売買についてその対象となつた有価証券の種類、銘柄、価格その他当該申込み又は売買の内容を示すべき事項として内閣府令で定める事項が直ちに公表されることとなつていること。
(a) it has been established that the class, issue and price of the Securities subject to an offer to sell, an offer to purchase, or a purchase and sale that has been undertaken using an electronic data processing system, and any other particulars specified by Cabinet Office Order as particulars that should indicate the substance of the offer or of the purchase and sale, will be publicly announced immediately;
ロ 電子情報処理組織を使用して行われる売付け若しくは買付けの申込み又は売買に係る売買価格の決定方法が競売買の方法その他多数の者の参加の下に価格の形成が行われる方法として内閣府令で定める方法であること。
(b) the method for deciding the trading price associated with an offer to sell, an offer to purchase, or a purchase and sale that is undertaken using the electronic data processing system is a method that involves an auction or any other method specified by Cabinet Office Order as one that involves the price being formed with the participation of a large number of persons; and
ハ 電子情報処理組織を使用した買付けの申込みに係る有価証券を所有する者が当該電子情報処理組織を使用して当該有価証券を適時に売却する機会が確保されていると認められること。
(c) it is found to have been ensured that a person holding Securities for which an offer to purchase has been made using an electronic data processing system will have the opportunity to sell those Securities using that electronic data processing system in a timely manner.
3 法第二十七条の二第一項第一号に規定する著しく少数の者から買付け等を行うものとして政令で定める場合及び同項第二号に規定する著しく少数の者から株券等の買付け等を行うものとして政令で定める場合は、株券等の買付け等を行う相手方の人数と、当該買付け等を行う日前六十日間に、取引所金融商品市場外において行つた当該株券等の発行者の発行する株券等の買付け等(公開買付けによる買付け等、前項各号に掲げる取引による株券等の買付け等(次条第七項第一号に規定する場合における買付け等を除く。)、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並びに第一項第一号から第三号まで及び第十号から第十五号までに掲げる買付け等を除く。)の相手方(内閣府令で定めるものを除く。)の人数との合計が十名以下である場合とする。
(3) The case specified by Cabinet Order as Purchases, etc. being made from an extremely small number of persons, as prescribed in Article 27-2, paragraph (1), item (i) of the Act, and the case specified by Cabinet Order as Purchases, etc. of Share Certificates, etc. being made from an extremely small number of persons, as prescribed in item (ii) of that paragraph, are cases in which the total number of counterparties to the Purchases, etc. of Share Certificates, etc. and counterparties to Purchases, etc. of Share Certificates, etc. that have been issued by the issuer of the relevant Share Certificates, etc. which have been made outside a Financial Instruments Exchange Market during the 60 days prior to the day on which the relevant Purchases, etc. are to be made (excluding the persons specified by Cabinet Office Order) (excluding Purchases, etc. made through a Tender Offer, Purchases, etc. of Share Certificates, etc. made through transactions as set forth in the items of the preceding paragraph (excluding Purchases, etc. in the case referred to in the following Article, paragraph (7), item (i)), any Purchase, etc. of Share Certificates, etc. that a person holding share options makes through the exercise of those share options, and Purchases, etc. as set forth in paragraph (1), items (i) to (iii) and (x) to (xv)) is less than ten persons.
4 法第二十七条の二第一項第二号に規定する政令で定める取引は、第二項第一号に掲げる取引とする。
(4) The transactions specified by Cabinet Order that are provided for in Article 27-2, paragraph (1), item (ii) of the Act are the transactions set forth in paragraph (2), item (i).
(公開買付規制の適用となる買付け等)
(Purchases to Which Restrictions on Tender Offer Are Applied)
第七条 法第二十七条の二第一項第一号に規定する所有に準ずるものとして政令で定める場合は、次に掲げる場合とする。
Article 7 (1) The case specified by Cabinet Order as equivalent to the possession of Share Certificates, etc. which is provided for in Article 27-2, paragraph (1), item (i) of the Act means one of the following cases:
一 売買その他の契約に基づき株券等の引渡請求権を有する場合
(i) a case in which the person that conducts the Purchase, etc. has the right to request delivery of Share Certificates, etc. under a purchase and sale contract or any other contract;
二 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若しくは投資主(投資信託及び投資法人に関する法律第二条第十六項に規定する投資主をいい、外国投資法人の社員を含む。第十四条の六の二第二号において同じ。)としての議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有する場合
(ii) a case in which the person that conducts the Purchase, etc. has the authority to exercise voting rights as a shareholder or Investor (meaning an investor as defined in Article 2, paragraph (16) of the Act on Investment Trusts and Investment Corporations and including the members of a Foreign Investment Corporation; the same applies in Article 14-6-2, item (ii)) of the issuer of Share Certificates, etc., or the authority to give instructions with regard to the exercise of voting rights under a money trust contract or any other contract, or the provisions of Acts;
三 投資一任契約(法第二条第八項第十二号ロに規定する投資一任契約をいう。以下同じ。)その他の契約又は法律の規定に基づき、株券等に投資するのに必要な権限を有する場合
(iii) a case in which the person that conducts the Purchase, etc. has the authority necessary to make investments in Share Certificates, etc. based on a Discretionary Investment Contract (meaning a discretionary investment contract as prescribed in Article 2, paragraph (8), item (xii), (b) of the Act; the same applies hereinafter) or any other contract, or the provisions of Acts;
四 株券等の売買の一方の予約を行つている場合(当該売買を完結する権利を有し、かつ、当該権利の行使により買主としての地位を取得する場合に限る。)
(iv) a case in which the person that conducts the Purchase, etc. has entered into a unilateral option contract for a purchase and sale of Share Certificates, etc. (limited to cases in which the person in question holds the right to complete the purchase and sale and would acquire the position of buyer through the exercise of that right);
五 株券等の売買に係るオプションの取得(当該オプションの行使により当該行使をした者が当該売買において買主としての地位を取得するものに限る。)をしている場合
(v) a case in which the person that conducts the Purchase, etc. has acquired an Option to effect a purchase and sale of Share Certificates, etc. (limited to if the exercise of that Option would cause the person exercising it to acquire the position of buyer in the purchase and sale); and
六 その他内閣府令で定める場合
(vi) any other cases specified by Cabinet Office Order.
2 法第二十七条の二第一項第四号に規定する政令で定める期間は、三月とする。
(2) The period specified by Cabinet Order that is provided for in Article 27-2, paragraph (1), item (iv) of the Act is three months.
3 法第二十七条の二第一項第四号の株券等の取得に係る政令で定める割合は、取得しようとする株券等の発行者が発行する株券等の総数の百分の十とする。この場合において、当該割合の算定は、株券等に係る議決権の数を基礎として内閣府令で定めるところにより行うものとする。
(3) The proportion specified by Cabinet Order related to the acquisition of Share Certificates, etc., as prescribed in Article 27-2, paragraph (1), item (iv) of the Act, is ten percent of the total number of Share Certificates, etc. issued by the issuer of the Share Certificates, etc. subject to the acquisition. In this case, the calculation of that proportion is to be made pursuant to the provisions of Cabinet Office Order based on the number of voting rights associated with the Share Certificates, etc.
4 法第二十七条の二第一項第四号の特定売買等による株券等の買付け等又は取引所金融商品市場外における株券等の買付け等に係る政令で定める割合は、買付け等を行おうとする株券等の発行者が発行する株券等の総数の百分の五とする。この場合において、当該割合の算定は、株券等に係る議決権の数を基礎として内閣府令で定めるところにより行うものとする。
(4) The proportion specified by Cabinet Order related to the Purchase, etc. of Share Certificates, etc. made through the Specified Purchase and Sale, etc. or the Purchase, etc. made outside of Financial Instruments Exchange Markets, as prescribed in Article 27-2, paragraph (1), item (iv) of the Act, is five percent of the total number of Share Certificates, etc. issued by the issuer of Share Certificates, etc. that are subject to that Purchase, etc. In this case, the calculation of that proportion is to be made pursuant to the provisions of Cabinet Office Order based on the number of voting rights associated with the Share Certificates, etc.
5 法第二十七条の二第一項第五号に規定する政令で定める期間は、当該株券等につき行われている公開買付けに係る公開買付届出書(法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。)に記載された株券等の買付け等の期間の開始日から当該期間の終了の日までとする。
(5) The period specified by Cabinet Order that is provided for in Article 27-2, paragraph (1), item (v) of the Act is the period from the day of commencement of the period of Purchase, etc. of Share Certificates, etc. stated on the Tender Offer Statement (meaning a Tender Offer Statement as prescribed in Article 27-3, paragraph (2) of the Act) for a Tender Offer undertaken for the relevant Share Certificates, etc. until the day on which the period ends.
6 法第二十七条の二第一項第五号に規定する政令で定める割合は、買付け等を行おうとする株券等の発行者が発行する株券等の総数の百分の五とする。この場合において、当該割合の算定は、株券等に係る議決権の数を基礎として内閣府令で定めるところにより行うものとする。
(6) The proportion specified by Cabinet Order that is provided for in Article 27-2, paragraph (1), item (v) of the Act is five percent of the total number of Share Certificates, etc. issued by the issuer of the Share Certificates, etc. subject to Purchase, etc. In this case, the calculation of that proportion is to be made pursuant to the provisions of Cabinet Office Order based on the number of voting rights associated with the Share Certificates, etc.
7 法第二十七条の二第一項第六号に規定する政令で定める株券等の買付け等は、次に掲げる株券等の買付け等とする。
(7) The Purchase, etc. of Share Certificates, etc. specified by Cabinet Order that is provided for in Article 27-2, paragraph (1), item (vi) of the Act means one of the following Purchases, etc. of Share Certificates, etc.:
一 前条第二項第二号に掲げる取引による株券等の買付け等であつて株券等の買付け等の後における株券等買付者(株券等の買付け等を行う者をいう。次号において同じ。)の所有に係る株券等の株券等所有割合が三分の一を超える場合における当該株券等の買付け等
(i) if the Ownership Ratio of Share Certificates, etc. for Share Certificates, etc. in the possession of the Purchaser of Share Certificates, etc. (meaning the person that conducts the Purchase, etc. of Share Certificates, etc.; the same applies in the following item) is much than a-third after the Purchase, etc. of Share Certificates, etc. is conducted, the Purchase, etc. thereof which is made through a transaction as set forth in paragraph (2), item (ii) of the preceding Article; and
二 株券等買付者が行う株券等の取得(株券等の買付け等及び法第二十七条の二第一項第四号に規定する新規発行取得をいう。以下この号において同じ。)及びその特別関係者(同条第七項第二号に規定する特別関係者をいう。)が行う株券等の取得を株券等買付者が行う株券等の取得とみなして同条第一項第四号の規定を適用することとした場合において、同号に該当することとなる株券等の取得として行われる株券等の買付け等
(ii) if the provisions of Article 27-2, paragraph (1), item (iv) of the Act are applied to the Acquisition of Share Certificates, etc. (meaning the Purchase, etc. of Share Certificates, etc. and the Acquisition of Newly Issued Share Certificates, etc. prescribed in Article 27-2, paragraph (1), item (iv) of the Act; hereinafter the same applies in this item) made by the Purchaser of Share Certificates, etc. and to the Acquisition of Share Certificates, etc. made by the Specially Related Party thereof (meaning a Specially Related Party thereof as prescribed in Article 27-2, paragraph (7), item (ii) of the Act) by deeming the acquisition to be the Acquisition of Share Certificates, etc. made by the Purchaser of Share Certificates, etc., the Purchase, etc. of Share Certificates, etc. made as the Acquisition of Share Certificates, etc. which is to fall under the category of Purchase, etc. of Share Certificates, etc. prescribed in Article 27-2, paragraph (1), item (iv) of the Act.
(買付け等の期間等)
(Period of Purchase)
第八条 法第二十七条の二第二項に規定する政令で定める期間は、公開買付者(法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。)が公開買付開始公告(法第二十七条の三第一項の規定による公告をいう。以下この節において同じ。)を行つた日から起算して二十日(行政機関の休日に関する法律(昭和六十三年法律第九十一号)第一条第一項各号に掲げる日(以下「行政機関の休日」という。)の日数は、算入しない。)以上で六十日(行政機関の休日の日数は、算入しない。)以内とする。
Article 8 (1) The period specified by Cabinet Order that is provided for in Article 27-2, paragraph (2) of the Act is not less than 20 days (the number of days that constitute days as set forth in the items of Article 1, paragraph (1) of the Act on Non-Business Days of Administrative Organs (Act No. 91 of 1988) (hereinafter referred to as "Non-Business Days of Administrative Organs") is not included) but within 60 days (Non-Business Days of Administrative Organs are not included) from the day on which the Tender Offeror (meaning the Tender Offeror prescribed in Article 27-3, paragraph (2) of the Act; hereinafter the same applies in this Section) has given Public Notice of the Commencement of the Tender Offer (meaning the public notice referred to in Article 27-3, paragraph (1) of the Act; hereinafter the same applies in this Section).
2 法第二十七条の二第三項に規定する買付けの価格に準ずるものとして政令で定めるものは、有価証券その他金銭以外のものをもつて買付け等の対価とする場合における当該有価証券その他金銭以外のものとの交換比率とし、その交換に係る差金として金銭を交付するときは、当該金銭の額を含むものとする。
(2) The thing specified by Cabinet Order as being equivalent to the purchase price, as provided in Article 27-2, paragraph (3) of the Act, is the ratio of exchange between the Share Certificates, etc. and the Securities or anything other than money, if Securities or anything other than money are delivered as the consideration of the Purchase, etc.; and if money is delivered for the difference that arises in the exchange, its amount is included.
3 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(法第二十七条の二第三項に規定する買付け等の価格をいう。)は、すべての応募株主等(法第二十七条の十二第一項に規定する応募株主等をいう。以下この節において同じ。)について均一にしなければならない。ただし、公開買付者が応募株主等に複数の種類の対価を選択させる場合には、選択することができる対価の種類をすべての応募株主等につき同一とし、かつ、それぞれの種類ごとに当該種類の対価を選択した応募株主等について均一にしなければならない。
(3) If a Purchase, etc. of Share Certificates, etc. is being undertaken by means of a Tender Offer, the Price for the Purchase, etc. (meaning the price for the Purchase, etc. referred to in Article 27-2, paragraph (3) of the Act) must be the same for all tendering shareholders, etc. (meaning tendering shareholders, etc. as prescribed in Article 27-12, paragraph (1) of the Act; hereinafter the same applies in this Section); provided, however, that if the Tender Offeror allows tendering shareholders, etc. to choose two or more types of consideration, it must make the types of consideration that can be chosen the same for all the tendering shareholders, etc., and must act uniformly for each type of consideration as regards the tendering shareholders, etc. that have selected that type of consideration.
4 法第二十七条の二第四項に規定する政令で定める事務は、次に掲げるものとする。
(4) The affairs specified by Cabinet Order that are provided for in Article 27-2, paragraph (4) of the Act are as follows:
一 応募株券等(法第二十七条の十二第三項に規定する応募株券等をいう。)の保管及び返還
(i) the retention and return of tendered Share Certificates, etc. (meaning tendered Share Certificates, etc. as prescribed in Article 27-12, paragraph (3) of the Act);
二 買付け等の代金の支払(有価証券その他金銭以外のものをもつて買付け等の対価とする場合における当該有価証券その他金銭以外のものの引渡しを含む。)
(ii) paying for the Purchase, etc. (if Securities or anything other than money are delivered as the consideration for Purchase, etc., the delivery of the Securities or anything other than money is included); and
三 あん分比例方式(法第二十七条の十三第五項に規定するあん分比例方式をいう。)により買付け等を行う株券等の数を確定させる事務
(iii) affairs for fixing the number of Share Certificates, etc. for which Purchase, etc. is to be made by the Pro Rata Method (meaning the Pro Rata Method prescribed in Article 27-13, paragraph (5) of the Act).
5 法第二十七条の二第五項に規定する政令で定める条件及び方法は、次に掲げるものとする。
(5) The conditions and methods specified by Cabinet Order that are provided for in Article 27-2, paragraph (5) of the Act are as follows:
一 買付け等の期間が終了したときは、遅滞なく、買付け等をする株券等の数その他の内閣府令で定める事項を記載した買付け等に関する通知書を応募株主等に送付すること。
(i) once the period of Purchase, etc. has ended, a written notice of Purchase, etc. stating the number of Share Certificates, etc. subject to the Purchase, etc. and any other particulars specified by Cabinet Office Order will be sent to the tendering shareholders, etc. without delay;
二 買付け等に係る受渡しその他の決済は、買付け等の期間が終了した後、遅滞なく行うこと。
(ii) the transfer or other settlement of the Purchase, etc. will be undertaken without delay after the expiration of the period of Purchase, etc.; and
三 買付け等の後における当該買付け等を行う者の株券等所有割合の合計が三分の二以上となるときは、当該株券等の発行者が発行するすべての株券等(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ものを除く。)について、内閣府令で定めるところにより買付け等の申込み又は売付け等(法第二十七条の二第六項に規定する売付け等をいう。以下この章において同じ。)の申込みの勧誘を行うこと。
(iii) if the Ownership Ratio of Share Certificates, etc. of the person making the Purchase, etc. would aggregate to not less than two-thirds after the Purchase, etc. has been conducted, the offer to Purchase, etc. or the solicitation of offers to Sell, etc. (meaning to Sell, etc. as prescribed in Article 27-2, paragraph (6) of the Act; hereinafter the same applies in this Chapter) will be made pursuant to the provisions of Cabinet Office Order with regard to all of the Share Certificates, etc. (excluding Share Certificates, etc. specified by Cabinet Office Order as those which would not compromise the public interest or the protection of investors) that are issued by the issuer of the relevant Share Certificates, etc.
6 前項第一号の規定により通知書を送付しなければならない者は、内閣府令で定める場合には、当該通知書の送付に代えて、当該通知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、当該事項を提供した者は、当該通知書を送付したものとみなす。
(6) The person that is required to send a written notice under item (i) of the preceding paragraph may, in the case specified by Cabinet Office Order, provide a person with the particulars that are required to be stated in the written notice by a means that involves the use of an Electronic Data Processing System or any other means specified by Cabinet Office Order in lieu of sending the written notice. In this case, the person that has so provided those particulars is deemed to have sent the written notice.
(特別の関係)
(Special Relationship)
第九条 法第二十七条の二第七項第一号に規定する政令で定める特別の関係は、株券等の買付け等を行う者が個人である場合には、次に掲げる者との関係とする。
Article 9 (1) The special relationship specified by Cabinet Order provided for in Article 27-2, paragraph (7), item (i) of the Act is if a person making a Purchase, etc. of Share Certificates, etc. is an individual, that person's relationship with the following persons:
一 その者の親族(配偶者並びに一親等内の血族及び姻族に限る。以下この条において同じ。)
(i) a relative of the person (limited to the spouse thereof and the relatives by blood or affinity within the first degree of kinship; hereinafter the same applies in this Article);
二 その者(その者の親族を含む。)が法人等に対して当該法人等の総株主等の議決権の百分の二十以上の議決権に係る株式又は出資を自己又は他人(仮設人を含む。以下この条において同じ。)の名義をもつて所有する関係(以下この条において「特別資本関係」という。)にある場合(当該株券等の買付け等を行うことにより特別資本関係を有することとなる場合を除く。)における当該法人等及びその役員(取締役、執行役、会計参与及び監査役(理事及び監事その他これらに準ずる者を含む。)をいう。以下この条において同じ。)
(ii) if the person that conducts the Purchase, etc. of Share Certificates, etc. (inclusive of that person's relatives) is in the position of holding shares or equity associated with not less than 20 percent of the Voting Rights Held by All the Shareholders, etc. of a corporation or other organization in the person's own name or in another person's name (or under a fictitious name; hereinafter the same applies in this Article) (hereinafter such a relationship is referred to as a "Special Capital Relationship" in this Article), the corporation or other organization and its Officers (meaning a director, executive officer, accounting advisor, or company auditor (including board member, inspector, and persons equivalent thereto); hereinafter the same applies in this Article) (excluding cases in which the person will come to have a Special Capital Relationship by conducting the Purchase, etc. of the Share Certificates, etc.).
2 法第二十七条の二第七項第一号に規定する政令で定める特別の関係は、株券等の買付け等を行う者が法人等である場合には、次に掲げる者との関係とする。
(2) The special relationship specified by Cabinet Order that is provided for in Article 27-2, paragraph (7), item (i) of the Act is, if the person that conducts the Purchase, etc. of Share Certificates, etc. is a corporation or other organization, its relationship with the following persons:
一 その者の役員
(i) that person's Officers;
二 その者が他の法人等に対して特別資本関係を有する場合(当該株券等の買付け等を行うことにより特別資本関係を有することとなる場合を除く。)における当該他の法人等及びその役員
(ii) if that person has a Special Capital Relationship with another corporation or other organization (excluding a case in which that person will come to have a Special Capital Relationship by conducting a Purchase, etc. of Share Certificates, etc.), the other corporation or other organization and its Officers; and
三 その者に対して特別資本関係を有する個人及び法人等並びに当該法人等の役員
(iii) an individual that has a Special Capital Relationship with that person, a corporation or other organization that has a Special Capital Relationship with that person, or the Officer of such a corporation or other organization.
3 個人(その親族を含む。以下この条において同じ。)とその被支配法人等又は法人等とその被支配法人等が合わせて他の法人等の総株主等の議決権の百分の二十以上の議決権に係る株式又は出資を自己又は他人の名義をもつて所有する場合には、当該個人又は当該法人等は、当該他の法人等に対して特別資本関係を有するものとみなして前二項の規定を適用する。
(3) If an individual (inclusive of that individuals relatives; hereinafter the same applies in this Article) and the controlled corporation or other organization thereof, or a corporation or other organization and the controlled corporation or other organization thereof jointly hold shares or equity associated with voting rights constituting not less than 20 percent of the Voting Rights Held by All the Shareholders, etc. of another corporation or other organization in their own names or in another person's name, the individual or corporation or other organization is deemed to have a Special Capital Relationship with the other corporation or other organization and the provisions of the preceding two paragraphs apply.
4 個人とその被支配法人等又は法人等とその被支配法人等が合わせて他の法人等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つて所有する場合には、当該他の法人等は、当該個人又は当該法人等の被支配法人等とみなして前項の規定を適用する。
(4) If an individual and the controlled corporation or other organizations thereof or a corporation or other organization and the controlled corporation or other organizations thereof jointly hold shares or equity associated with voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. of another corporation or other organization in their own names or in another person's name, the other corporation or other organization is deemed to be the controlled corporation or other organization of the individual or the corporation or other organization and the provisions of the preceding paragraph apply.
5 前二項の被支配法人等とは、個人又は法人等が他の法人等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つて所有する場合における当該他の法人等をいう。
(5) The controlled corporation or other organization that is referred to in the preceding two paragraphs means a second corporation or other organization in which an individual or a first corporation or other organization holds shares or equity associated with voting rights constituting more than 50 percent of the Voting Rights Held by All the Shareholders, etc. of the second corporation or other organization in its own name or in another person's name.
(株券等所有割合の算定に加算する有価証券)
(Securities to Be Added in the Calculation of the Ownership Ratio of Share Certificates)
第九条の二 法第二十七条の二第八項第一号及び第二号に規定する政令で定める有価証券は、次に掲げる有価証券とする。
Article 9-2 The Securities specified by Cabinet Order that are provided for in Article 27-2, paragraph (8), items (i) and (ii) of the Act are the following Securities:
一 新株予約権付社債券
(i) corporate bond certificates with share options;
二 新株予約権証券
(ii) share option certificates;
三 発行者がその発行する全部又は一部の株式の内容として株主が当該発行者に対して当該株式の取得を請求することができる旨の定めを設けている場合における当該株式に係る株券
(iii) if the issuer provides, as a feature of all or part of its shares, that the shareholders may demand the issuer to redeem the shares, the share certificates of those shares;
四 発行者がその発行する全部又は一部の株式の内容として当該発行者が一定の事由が生じたことを条件として当該株式を取得することができる旨の定めを設けている場合における当該株式に係る株券
(iv) if the issuer provides, as a feature of all or part of its shares, that the issuer may acquire its shares upon the occurrence of a specified event, the share certificates of those shares;
五 外国の者の発行する証券又は証書で前各号に掲げる有価証券の性質を有するもの
(v) instruments or certificates issued by a foreign person which have the nature of the Securities set forth in the preceding items; and
六 新投資口予約権証券等
(vi) Investment Equity Subscription Right Certificates, etc.
(公開買付開始公告等)
(Public Notice of the Commencement of a Tender Offer)
第九条の三 法第二十七条の三第一項、第二十七条の六第一項、第二十七条の八第十一項、第二十七条の十第四項、第二十七条の十一第二項及び第二十七条の十三第一項の規定による公告は、次のいずれかの方法によりしなければならない。
Article 9-3 (1) Public notice under Article 27-3, paragraph (1), Article 27-6, paragraph (1), Article 27-8, paragraph (11), Article 27-10, paragraph (4), Article 27-11, paragraph (2), and Article 27-13, paragraph (1) of the Act must be given by one of the following means:
一 内閣府令で定めるところにより、開示用電子情報処理組織を使用する方法により不特定多数の者が公告すべき内容である情報の提供を受けることができる状態に置く措置をとる方法(第三項から第五項までにおいて「電子公告」という。)
(i) by taking measures to put the information that is required to be given in a public notice into a form that makes it possible for many and unspecified persons to be provided with that information by a means that involves the use of an Electronic Data Processing System for Disclosure pursuant to the provisions of Cabinet Office Order (referred to as the "Electronic Public Notice" in paragraph (3) to paragraph (5)); or
二 内閣府令で定めるところにより、時事に関する事項を掲載する日刊新聞紙(産業及び経済に関する事項を全般的に報道する日刊新聞紙を含む。次条第一号及び第十四条の三の四第一項第二号において同じ。)に掲載する方法
(ii) by publication in a daily newspaper that publishes information on current affairs (including daily newspapers that report on general industrial and economic matters; the same applies in item (i) of the following Article and Article 14-3-4, paragraph (1), item (ii)) pursuant to the provisions of Cabinet Office Order.
2 前項の公告のうち法第二十七条の八第十一項本文の規定によるものは、同項の訂正届出書を提出した後直ちにしなければならない。
(2) Among the public notices referred to in the preceding paragraph, the public notice set forth in the main clause of Article 27-8, paragraph (11) of the Act must be given immediately after the amendment under that paragraph has been submitted.
3 第一項の規定により電子公告による公告をする者は、内閣府令で定めるところにより、当該公告をした後遅滞なく、当該公告をした旨を、時事に関する事項を掲載する日刊新聞紙に掲載しなければならない。
(3) A person giving public notice by way of Electronic Public Notice pursuant to the provisions of paragraph (1) must publish an indication that it has given that public notice in a daily newspaper that publishes information on current affairs pursuant to the provisions of Cabinet Office Order without delay after having given the public notice.
4 第一項の規定により電子公告による公告をする者は、次の各号に掲げる公告の区分に応じ、当該各号に定める日までの間、継続して電子公告をしなければならない。
(4) A person giving public notice by way of Electronic Public Notice pursuant to paragraph (1) must continue to provide the Electronic Public Notice until the day specified in the relevant of the following items for the category of public notice set forth in that item:
一 法第二十七条の三第一項、第二十七条の六第一項、第二十七条の八第十一項、第二十七条の十第四項及び第二十七条の十一第二項の規定による公告 公開買付期間の末日
(i) a public notice under Article 27-3, paragraph (1), Article 27-6, paragraph (1), Article 27-8, paragraph (11), Article 27-10, paragraph (4), or Article 27-11, paragraph (2) of the Act: the last day of the Tender Offer Period; and
二 法第二十七条の十三第一項の規定による公告 当該公告の開始後一月を経過する日
(ii) a public notice under Article 27-13, paragraph (1) of the Act: the final day in the one-month period after the start of the public notice.
5 第四条の二の四第三項及び第四項の規定は、第一項の規定により電子公告による公告をする者について準用する。この場合において、同条第三項中「同項第二号」とあるのは「第九条の三第一項第二号」と、同条第四項中「第二項」とあるのは「第九条の三第四項」と読み替えるものとする。
(5) The provisions of Article 4-2-4, paragraphs (3) and (4) apply mutatis mutandis to a person that gives public notice by way of Electronic Public Notice pursuant to paragraph (1). In this case, the phrase "paragraph (1), item (ii)" in Article 4-2-4, paragraph (3) is deemed to be replaced with "Article 9-3, paragraph (1), item (ii)" and the phrase "paragraph (2)" in Article 4-2-4, paragraph (4) is deemed to be replaced with "Article 9-3, paragraph (4)".
6 法第二十七条の三第一項後段並びに第二十七条の十第二項第二号及び第三項に規定する政令で定める期間は、三十日(行政機関の休日の日数は、算入しない。)とする。
(6) The period specified by Cabinet Order referred to in the second sentence of Article 27-3, paragraph (1) of the Act and Article 27-10, paragraph (2), item (ii) and paragraph (3) of that Article of the Act is 30 days (not counting any Non-Business Days of Administrative Organs).
(応募株券の数等の公表)
(Public Announcement of the Numbers of Tendered Share Certificates)
第九条の四 法第二十七条の十三第一項の規定による公表は、内閣府令で定めるところにより、次に掲げる報道機関に対して公開する方法によりしなければならない。
Article 9-4 The public announcement under Article 27-13, paragraph (1) of the Act must be made by disclosure to the following journalistic organizations, pursuant to the provisions of Cabinet Office Order:
一 時事に関する事項を掲載する日刊新聞紙の販売を業とする新聞社
(i) news publishers engaged in the sale of daily newspapers that publish information on current affairs in the course of trade;
二 前号に掲げる新聞社に時事に関する事項を総合して伝達することを業とする通信社
(ii) communications agencies engaged in the comprehensive transmission of information on current affairs to the news publishers set forth in the preceding item in the course of trade; and
三 日本放送協会及び一般放送事業者(放送法(昭和二十五年法律第百三十二号)第二条第三号の三に規定する一般放送事業者をいう。以下同じ。)
(iii) NHK (Japan Broadcasting Corporation) and Private Broadcasters (meaning the Private Broadcasters prescribed in Article 2, item (iii)-3 of the Broadcast Act (Act No. 132 of 1950); the same applies hereinafter).
(公開買付者の関係者)
(Persons Affiliated with a Tender Offeror)
第十条 法第二十七条の三第三項に規定する政令で定める関係者は、次に掲げる者とする。
Article 10 The persons concerned specified by Cabinet Order that are provided for in Article 27-3, paragraph (3) of the Act are the following persons:
一 公開買付者のために第八条第四項に規定する事務を行う金融商品取引業者又は銀行等(銀行、優先出資法第二条第一項に規定する協同組織金融機関(以下「協同組織金融機関」という。)及び第一条の九各号に掲げる金融機関をいう。第十四条の三の五第一号において同じ。)
(i) a Financial Instruments Business Operator or a Bank, etc. (meaning a bank, a Cooperative Structured Financial Institution prescribed in Article 2, paragraph (1) of the Act on Preferred Equity Investment (hereinafter referred to as the "Cooperative Financial Institution"), or a Financial Institution set forth in the items of Article 1-9 of this Order; the same applies in Article 14-3-5, item (i)) that carries out the affairs set forth in Article 8, paragraph (4) on behalf of the Tender Offeror; or
二 公開買付者を代理して公開買付けによる株券等の買付け等を行う者
(ii) a person that conducts the Purchase, etc. of Share Certificates, etc. by means of a Tender Offer while representing the Tender Offeror.
(上場株券等に準ずる株券等)
(Share Certificates Equivalent to Listed Share Certificates)
第十一条 法第二十七条の三第四項第二号(法第二十七条の八第六項(法第二十七条の十三第三項において準用する場合を含む。)、第二十七条の十一第四項及び第二十七条の十三第三項において準用する場合を含む。以下この条において同じ。)に規定する政令で定める株券等は、店頭売買有価証券に該当する株券等とし、同号に規定する政令で定める認可金融商品取引業協会は、当該株券等を登録する認可金融商品取引業協会とする。
Article 11 The Share Certificates, etc. specified by Cabinet Order that are provided for in Article 27-3, paragraph (4), item (ii) of the Act (including as applied mutatis mutandis pursuant to Article 27-8, paragraph (6) of the Act (including as applied mutatis mutandis pursuant to Article 27-13, paragraph (3) of the Act), Article 27-11, paragraph (4), and Article 27-13, paragraph (3) of the Act; hereinafter the same applies in this Article) are Share Certificates, etc. that fall under the category of Over-the-Counter Traded Securities; and the Authorized Financial Instruments Firms Association specified by Cabinet Order that is provided for in Article 27-3, paragraph (4), item (ii) of the Act is the Authorized Financial Instruments Firms Association that registers those Share Certificates, etc.
(公開買付けによらないで買付け等ができる場合)
(Cases in Which a Purchase May Be Conducted by Means Other Than a Tender Offer)
第十二条 法第二十七条の五第三号(法第二十七条の八第十項において準用する場合を含む。)に規定する政令で定める場合は、次に掲げる場合とする。
Article 12 The cases specified by Cabinet Order that are provided for in Article 27-5, item (iii) of the Act (including as applied mutatis mutandis pursuant to Article 27-8, paragraph (10) of the Act) are the following cases:
一 第十条各号に掲げる者が公開買付者及びその特別関係者(法第二十七条の二第七項に規定する特別関係者をいい、法第二十七条の五第二号の規定による申出を金融庁長官に行つた者を除く。以下この節において同じ。)以外の者の委託を受けて買付け等をする場合
(i) a case in which a person as set forth in the items of Article 10 conducts the Purchase, etc. under the entrustment of a person other than the Tender Offeror or the Specially Related Party thereof (meaning a Specially Related Party as prescribed in Article 27-2, paragraph (7) of the Act; excluding a person that has notified the Commissioner of the Financial Services Agency as under Article 27-5, item (ii) of the Act; hereinafter the same applies in this Section);
二 第十条各号に掲げる者が金融商品取引所又は認可金融商品取引業協会の定める規則において有価証券の流通の円滑化を図るため認められている買付け等をする場合
(ii) a case in which a person as set forth in the items of Article 10 conducts a Purchase, etc. which is authorized for the facilitation of smooth distribution of Securities by the rules provided by a Financial Instruments Exchange or Authorized Financial Instruments Firms Association;
三 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買付け等をする場合
(iii) a case in which a person that holds share options conducts the Purchase, etc. through the exercise of those share options;
四 第六条の二第一項第一号から第三号まで、第十一号及び第十二号に掲げる買付け等をする場合
(iv) a case in which a Purchase, etc. as set forth in Article 6-2, paragraph (1), items (i) to (iii), (xi) and (xii) is to be conducted;
五 第十条各号に掲げる者が、その有する株券等の売買に係るオプションを行使し、又はその付与していた株券等の売買に係るオプションが行使されることにより買付け等をする場合
(v) a case in which a person as set forth in the items of Article 10 conducts the Purchase, etc. through the exercise of an Option to effect a purchase and sale of Share Certificates, etc. held thereby or due to the exercise of the Option to effect a purchase and sale of Share Certificates, etc. that the person has granted;
六 第六条の二第一項第十五号に掲げる買付け等をする場合
(vi) a case in which a Purchase, etc. set forth in Article 6-2, paragraph (1), item (xv) is to be conducted;
七 その株券等が上場されている外国の金融商品取引所が所在する外国において、当該外国の法令の規定に基づき海外公開買付け(公開買付けに類するものであつて外国の法令に基づいて不特定かつ多数の者に対して行われる株券等の買付け等の申込み又は売付け等の申込みの勧誘をいう。第十四条の三の七第二号において同じ。)により買付け等をする場合
(vii) a case in which a Purchase, etc. is to be conducted in a foreign state where the Foreign Financial Instruments Exchange which lists the Share Certificates, etc. is located, by means of a Foreign Tender Offer (meaning an offer to Purchase, etc. or the solicitation of offers to Sell, etc. Share Certificates, etc. that is made to many and unspecified persons based on the laws and regulations of a foreign state and that is similar to a Tender Offer; the same applies in Article 14-3-7, item (ii)) based on the provisions of laws and regulations of the foreign state; and
八 会社法第百十六条第一項、第百八十二条の四第一項、第百九十二条第一項、第四百六十九条第一項、第七百八十五条第一項、第七百九十七条第一項若しくは第八百六条第一項の規定による株式の買取りの請求又は投資信託及び投資法人に関する法律第百四十一条第一項、第百四十九条の三第一項、第百四十九条の八第一項若しくは第百四十九条の十三第一項の規定による投資口の買取りの請求に基づき株券等に係る買付け等をする場合
(viii) a case in which a Purchase, etc. of Share Certificates, etc. is to be conducted in response to the request for the purchase of Shares under the provisions of Article 116, paragraph (1), Article 182-4, paragraph (1), Article 192, paragraph (1), Article 469, paragraph (1), Article 785, paragraph (1), Article 797, paragraph (1), or Article 806, paragraph (1) of the Companies Act, or in response to the demand for the purchase of Investment Equity under the provisions of Article 141, paragraph (1), Article 149-3, paragraph (1), Article 149-8, paragraph (1) or Article 149-13, paragraph (1) of the Act on Investment Trusts and Investment Corporations.
(禁止される買付条件等の変更)
(Prohibited Changes in the Terms of Purchase)
第十三条 法第二十七条の六第一項第一号に規定する政令で定める行為は、次に掲げるものとする。
Article 13 (1) The acts specified by Cabinet Order that are provided for in Article 27-6, paragraph (1), item (i) of the Act are as follows:
一 株式又は投資口の分割
(i) the splitting of shares or Investment Equity; and
二 株主に対する株式若しくは新株予約権の割当て(新たに払込みをさせないで行うものに限る。)又は投資主(投資信託及び投資法人に関する法律第二条第十六項に規定する投資主をいう。)に対する新投資口予約権(同条第十七項に規定する新投資口予約権をいう。第十四条第一項第一号ワにおいて同じ。)の割当て
(ii) the allotment of shares or share options to shareholders (limited to those made without requiring an additional payment), or allotment of Investment Equity Subscription Rights (meaning the Investment Equity Subscription Rights as prescribed in Article 2, paragraph (17) of the Act on Investment Trusts and Investment Corporations; the same applies in Article 14, paragraph (1), item (i), (m)) to Investors (meaning the Investors as prescribed in Article 2, paragraph (16) of that Act).
2 法第二十七条の六第一項第四号に規定する政令で定める買付条件等の変更は、次に掲げるものとする。
(2) The changes in the Terms of Purchase, etc. specified by Cabinet Order that are provided for in Article 27-6, paragraph (1), item (iv) of the Act are as follows:
一 法第二十七条の十三第四項第一号に掲げる条件を付した場合において、同号に規定する公開買付開始公告及び公開買付届出書において記載された数を増加させること。ただし、公開買付開始公告を行つた後に、当該公開買付者、その特別関係者及び当該公開買付けに係る株券等の発行者(以下この節において「対象者」という。)以外の者が、当該対象者の発行する株券等について、公開買付開始公告又は買付予定の株券等の数を増加させる買付条件の変更の公告若しくは公表(法第二十七条の六第二項又は第三項の規定による公告又は公表をいう。)を行い、公開買付けを行つている場合については、この限りでない。
(i) if the conditions set forth in Article 27-13, paragraph (4), item (i) of the Act have been imposed, an increase in the number of Share Certificates, etc. designated in the Public Notice of the Commencement of the Tender Offer and Tender Offer Statement as prescribed in that item; provided, however, that this does not apply if a person other than the Tender Offeror, Specially Related Party thereof, or the issuer of the Share Certificates, etc. for which the Tender Offer has been commenced (hereinafter referred to as the "Subject Company" in this Section) has given a Public Notice of the Commencement of a Tender Offer or a Public Notice or Public Announcement (meaning a public notice or public announcement as referred to in Article 27-6, paragraph (2) or (3) of the Act) of the changes in the Terms of Purchase which increases the number of Share Certificates, etc. planned to be purchased, and has conducted the Tender Offer with regard to the Share Certificates, etc. issued by the Subject Company;
二 買付け等の期間を第八条第一項に定める期間を超えて延長すること。ただし、次に掲げる場合の区分に応じ、次に定める期間延長する場合は、この限りでない。
(ii) an extension of the period of Purchase, etc. exceeding the period specified in Article 8, paragraph (1); provided, however, that this does not apply if the period specified in the relevant of following items is to be extended for the category of cases set forth in that item:
イ 法第二十七条の八第八項の規定により買付け等の期間を延長しなければならない場合 同項の規定により延長しなければならない期間
(a) if the period of Purchase, etc. must be extended pursuant to the provisions of Article 27-8, paragraph (8) of the Act: the period to be extended pursuant to that paragraph; and
ロ 公開買付期間(法第二十七条の五に規定する公開買付期間をいう。以下この節において同じ。)中に、当該公開買付者及びその特別関係者以外の者が、対象者の発行する株券等について、公開買付開始公告(法第二十七条の二十二の二第二項において準用する法第二十七条の三第二項に規定する公開買付開始公告を含む。)又は買付け等の期間を延長する買付条件の変更の公告若しくは公表(法第二十七条の六第二項若しくは第三項又は法第二十七条の八第八項(これらの規定を法第二十七条の二十二の二第二項及び法第二十七条の二十二の三第四項において準用する場合を含む。)の規定による公告又は公表をいう。)を行つた場合 当該公開買付期間の末日の翌日から当該公開買付開始公告又は当該変更の公告若しくは公表に係る公開買付期間(法第二十七条の二十二の二第二項において準用する法第二十七条の五に規定する公開買付期間を含む。)の末日までの日数以内の期間
(b) if a person other than the Tender Offeror or Specially Related Party thereof has given, with regard to the Share Certificates, etc. issued by the Subject Company, Public Notice of the Commencement of the Tender Offer (including the Public Notice of the Commencement of the Tender Offer set forth in Article 27-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act) or a Public Notice or Public Announcement (meaning the public notice or public announcement under Article 27-6, paragraph (2) or (3) of the Act or Article 27-8, paragraph (8) of the Act (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act or Article 27-22-3, paragraph (4) of the Act)) of a change in the Terms of Purchase that extends the period of Purchase, etc., during the Tender Offer Period (meaning the Tender Offer Period as prescribed in Article 27-5 of the Act; hereinafter the same applies in this Section): a period not exceeding the number of days counted from the day following the last day of the Tender Offer Period (including the Tender Offer Period prescribed in Article 27-5 of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act) until the last day of the Tender Offer Period given in the Public Notice of the Commencement of the Tender Offer or the Public Notice or Public Announcement of those changes;
三 買付け等の対価の種類を変更すること。ただし、応募株主等が選択することができる対価の種類として新たな対価の種類を追加するものについては、この限りでない。
(iii) a change in the types of consideration for Purchase, etc.; provided, however, that this does not apply if a new type of consideration is added as an option for the tendering shareholders, etc. to choose; and
四 法第二十七条の十一第一項に規定する条件を付した場合において、当該条件の内容を変更すること。
(iv) if the condition set forth in Article 27-11, paragraph (1) of the Act is imposed, a change in the details of the condition.
(意見表明報告書等を提出すべき期間等)
(Period to Submit a Target Company's Position Statement)
第十三条の二 法第二十七条の十第一項に規定する政令で定める期間は、十日(行政機関の休日の日数は、算入しない。)とする。
Article 13-2 (1) The period specified by Cabinet Order that is provided for in Article 27-10, paragraph (1) of the Act is ten days (not counting any Non-Business Days of Administrative Organs).
2 法第二十七条の十第十一項に規定する政令で定める期間は、五日(行政機関の休日の日数は、算入しない。)とする。
(2) The period specified by Cabinet Order that is provided for in Article 27-10, paragraph (11) of the Act is five days (not counting any Non-Business Days of Administrative Organs).
(公開買付けの撤回等)
(Withdrawal of a Tender Offer)
第十四条 法第二十七条の十一第一項に規定する政令で定めるものは、次に掲げるものとする。ただし、第一号から第三号までに掲げるものにあつては、軽微なものとして内閣府令で定める基準に該当するものを除く。
Article 14 (1) The circumstances specified by Cabinet Order that are provided for in Article 27-11, paragraph (1) of the Act are as follows; provided, however, that, with regard to circumstances set forth in item (i) to item (iii), those that satisfy the criteria specified by Cabinet Office Order as being minor are excluded:
一 対象者又はその子会社(会社法第二条第三号に規定する子会社をいう。以下この条及び第十四条の八の二において同じ。)の業務執行を決定する機関が次に掲げる事項を行うことについての決定をしたこと(公開買付開始公告を行つた日以後に公表されたものに限る。)。
(i) the fact that the organ which is responsible for making decisions on the execution of operations of the Subject Company or its Subsidiary (meaning a Subsidiary as prescribed in Article 2, item (iii) of the Companies Act; hereinafter the same applies in this Article and Article 14-8-2) has made a decision to undertake one of the following (limited to something that has been publicly announced after the day on which it gave the Public Notice of the Commencement of the Tender Offer):
イ 株式交換
(a) a share exchange;
ロ 株式移転
(b) a share transfer;
ハ 会社の分割
(c) a company split;
ニ 合併
(d) a merger;
ホ 解散(合併による解散を除く。)
(e) a dissolution (excluding the dissolution as a result of merger);
ヘ 破産手続開始、再生手続開始又は更生手続開始の申立て
(f) the filing of a petition for commencement of bankruptcy proceedings, rehabilitation proceedings or reorganization proceedings;
ト 資本金の額の減少
(g) a reduction of the amount of stated capital;
チ 事業の全部又は一部の譲渡、譲受け、休止又は廃止
(h) the transfer, acquisition, suspension, or discontinuation of the business in whole or in part;
リ 金融商品取引所に対する株券等の上場の廃止に係る申請
(i) the filing of an application for the delisting of Share Certificates, etc. made to a Financial Instruments Exchange;
ヌ 認可金融商品取引業協会に対する株券等の登録の取消しに係る申請
(j) the filing of an application for rescission of the registration of Share Certificates, etc. made to an Authorized Financial Instruments Firms Association;
ル 預金保険法第七十四条第五項の規定による申出
(k) the filing of a report under Article 74, paragraph (5) of the Deposit Insurance Act;
ヲ 株式又は投資口の分割
(l) the splitting of shares or Investment Equity;
ワ 株式若しくは新株予約権の割当て(新たに払込みをさせないで行うものに限る。)又は新投資口予約権の割当て
(m) the allotment of shares or share options (limited to those made without requiring an additional payment), or allotment of Investment Equity Subscription Rights;
カ 株式、新株予約権、新株予約権付社債又は投資口の発行(ヲ及びワに掲げるものを除く。)
(n) the issuance of shares, share options, corporate bonds with share options or Investment Equity (excluding those set forth in (l) and (m));
ヨ 自己株式(会社法第百十三条第四項に規定する自己株式をいう。)の処分(ワに掲げるものを除く。)
(o) the disposal of Treasury Shares (meaning the Treasury Shares prescribed in Article 113, paragraph (4) of the Companies Act) (excluding those set forth in (m));
タ 既に発行されている株式について、会社法第百八条第一項第八号又は第九号に掲げる事項について異なる定めをすること。
(p) with regard to shares that have already been issued, providing different provisions on the particulars set forth in Article 108, paragraph (1), item (viii) or (ix) of the Companies Act;
レ 重要な財産の処分又は譲渡
(q) the disposal or transfer of important properties;
ソ 多額の借財
(r) borrowing in a significant amount; and
ツ イからソまでに掲げる事項に準ずる事項で公開買付者が公開買付開始公告及び公開買付届出書(法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。以下この条において同じ。)において指定したもの
(s) anything equivalent to what is set forth in (a) to (r) which the Tender Offeror has designated in the Public Notice of the Commencement of the Tender Offer and the Tender Offer Statement (meaning the Tender Offer Statement defined in Article 27-3, paragraph (2) of the Act; hereinafter the same applies in this Article);
二 対象者の業務執行を決定する機関が次に掲げる場合の区分に応じ、次に定める決定をしたこと(公開買付開始公告を行つた日以後に公表されたものに限る。)。
(ii) the fact that the organ which is responsible for making decisions on the execution of operations of the Subject Company has made the decision specified below for the category of cases set forth below, (limited to those publicly announced after the day on which the Public Notice of the Commencement of the Tender Offer was given):
イ 公開買付開始公告をした日において、対象者の業務執行を決定する機関が当該公開買付けの後に当該公開買付者の株券等所有割合を内閣府令で定める割合以上減少させることとなる新株の発行その他の行為(当該公開買付けに係る買付け等の期間の末日後に行うものに限る。)を行うことがある旨の決定を既に行つており、かつ、当該決定の内容を公表している場合 当該決定を維持する旨の決定
(a) if the organ which is responsible for making decisions on the execution of operations of the Subject Company has already made a decision to the effect that the organ may issue new shares or conduct any other acts (limited to those conducted after the last day of the period of Purchase, etc. for that Tender Offer) that may reduce the Ownership Ratio of Share Certificates, etc. of the Tender Offeror by less than the proportion specified by Cabinet Office Order after the Tender Offer and has publicly announced the details of that decision on the day when the Public Notice of the Commencement of the Tender Offer was given: a decision to the effect that the decision is maintained; or
ロ 公開買付開始公告をした日において、対象者又はその子会社が会社法第百八条第一項第八号又は第九号に掲げる事項について異なる定めをした内容の異なる二以上の種類の株式に係る株券等を発行している場合 当該異なる定めを変更しない旨の決定
(b) if a Subject Company or its Subsidiary Company has issued Share Certificates, etc. for two or more classes of shares with different features which have different provisions for the particulars set forth in Article 108, paragraph (1), item (viii) or (ix) of the Companies Act on the day when the Public Notice of the Commencement of the Tender Offer was given: a decision to the effect that the different provisions are not changed;
三 対象者に次に掲げる事実が発生したこと(公開買付開始公告を行つた日以後に発生したものに限る。)。ただし、イ、ハ、ホ及びトにあつては、公開買付者及びその特別関係者によつて行われた場合を除く。
(iii) the occurrence of the following facts in a Subject Company (limited to those that occur on or after the day on which the Public Notice of the Commencement of the Tender Offer was given); provided, however, that in cases of (a), (c), (e) and (g), cases in which the relevant acts are conducted by the Tender Offeror and the Specially Related Party thereof are excluded:
イ 事業の差止めその他これに準ずる処分を求める仮処分命令の申立てがなされたこと。
(a) a petition seeking an injunction against the business or a provisional disposition order seeking a disposition equivalent thereto has been filed;
ロ 免許の取消し、事業の停止その他これらに準ずる行政庁による法令に基づく処分がなされたこと。
(b) a rescission of license, suspension of business, or any other disposition equivalent thereto under laws and regulations has been given by an administrative agency;
ハ 当該対象者以外の者による破産手続開始、再生手続開始、更生手続開始又は企業担保権の実行の申立て(以下「破産手続開始の申立て等」という。)がなされたこと。
(c) a petition for the commencement of bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or the exercise of an enterprise mortgage (hereinafter referred to as a "Petition for Commencement of Bankruptcy Proceedings, etc.") has been filed by a person other than the Subject Company;
ニ 手形若しくは小切手の不渡り(支払資金の不足を事由とするものに限る。)又は手形交換所による取引停止処分(以下「不渡り等」という。)があつたこと。
(d) dishonor of a negotiable instrument or check (limited to those due to the shortage of funds necessary for payment), or a disposition of the suspension of a transaction given by a clearinghouse (hereinafter referred to as "Dishonor, etc.");
ホ 主要取引先(前事業年度における売上高又は仕入高が売上高の総額又は仕入高の総額の百分の十以上である取引先をいう。)から取引の停止を受けたこと。
(e) a suspension of transaction by the Major Trading Partner (meaning the trading partner for which the sales or purchases of the previous business year are not less than ten percent of the total amount of sales or purchases);
ヘ 災害に起因する損害
(f) damage resulting from a disaster;
ト 財産権上の請求に係る訴えが提起されたこと。
(g) an action associated with a claim based on a property right has been filed;
チ 株券の上場の廃止(当該株券を上場している全ての金融商品取引所において上場が廃止された場合に限る。)
(h) the delisting of share certificates (limited to the delisting from all Financial Instruments Exchanges on which the Share Certificates are listed);
リ 株券の登録の取消し(当該株券を登録している全ての認可金融商品取引業協会において登録が取り消された場合(当該株券が上場されたことによる場合を除く。)に限る。)
(i) the rescission of registration of share certificates (limited to cases in which all the Authorized Financial Instruments Firms Associations which register the share certificates have rescinded the registration thereof (excluding rescissions made on the grounds of listing the share certificates)); or
ヌ イからリまでに掲げる事実に準ずる事実で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指定したもの
(j) facts equivalent to those set forth in (a) to (i) which the Tender Offeror has designated in the Public Notice of the Commencement of the Tender Offer and the Tender Offer Statement;
四 株券等の取得につき他の法令に基づく行政庁の許可、認可、承認その他これらに類するもの(以下この号において「許可等」という。)を必要とする場合において、公開買付期間の末日の前日までに、当該許可等を得られなかつたこと。
(iv) if permission, authorization, approval, or anything similar thereto (hereinafter collectively referred to as "Permission, etc." in this item) from an administrative agency under other laws and regulations is necessary for the acquisition of Share Certificates, etc., the fact that the Permission, etc. was not obtained by the day immediately preceding the last day of the Tender Offer Period; and
五 その他前各号に準ずるものとして内閣府令で定めるもの
(v) anything else specified by Cabinet Office Order as being equivalent to what is set forth in the preceding items.
2 法第二十七条の十一第一項に規定する政令で定める重要な事情の変更は、次に掲げる事項とする。
(2) The changes in important circumstances specified by Cabinet Order that are provided for in Article 27-11, paragraph (1) of the Act are the following particulars:
一 死亡
(i) death;
二 後見開始の審判を受けたこと。
(ii) being subject to an order for commencement of guardianship;
三 解散
(iii) a dissolution;
四 破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けたこと。
(iv) being subject to a ruling for the commencement of bankruptcy proceedings, rehabilitation proceedings, or reorganization proceedings;
五 当該公開買付者及びその特別関係者以外の者による破産手続開始の申立て等がなされたこと。
(v) a Petition for Commencement of Bankruptcy Proceedings, etc. has been filed by a person other than the Tender Offeror or the Specially Related Party thereof; or
六 不渡り等があつたこと。
(vi) the fact of Dishonor, etc.
(契約の解除の方法等)
(Means for Cancellation of Contracts)
第十四条の二 法第二十七条の十二第二項に規定する政令で定める方法は、公開買付けに係る契約の解除を行う旨の書面を公開買付者が指定した者(内閣府令で定める者に限る。)に交付し、又は送付する方法とし、同項に規定する政令で定める時は、当該書面が当該指定した者に交付され、又は到達した時とする。
Article 14-2 The means specified by Cabinet Order that is provided for in Article 27-12, paragraph (2) of the Act is any means of delivering or sending a document cancelling the contract connected with a Tender Offer to the person designated by the Tender Offeror (limited to the persons specified by Cabinet Office Order); and the time specified by Cabinet Order that is provided for in Article 27-12, paragraph (2) of the Act is the time when the document has been delivered to or has reached the designated person.
(部分的公開買付けを行うことができる場合)
(Cases in Which a Partial Tender Offer Is Allowed)
第十四条の二の二 法第二十七条の十三第四項に規定する政令で定める割合は、三分の二とする。
Article 14-2-2 The rate specified by Cabinet Order that is provided for in Article 27-13, paragraph (4) of the Act is two-thirds.
(公衆縦覧を行う認可金融商品取引業協会)
(Authorized Financial Instruments Firms Associations Providing Public Inspection)
第十四条の三 法第二十七条の十四第三項に規定する政令で定める認可金融商品取引業協会は、第十一条に規定する認可金融商品取引業協会とする。
Article 14-3 The Authorized Financial Instruments Firms Association specified by Cabinet Order that is provided for in Article 27-14, paragraph (3) of the Act is an Authorized Financial Instruments Firms Association stipulated in Article 11.
第二節 発行者による上場株券等の公開買付け
Section 2 Tender Offers for Listed Share Certificates by the Issuer
(公開買付けの適用範囲)
(Scope of Application of a Tender Offer)
第十四条の三の二 法第二十七条の二十二の二第一項に規定する政令で定める取引は、店頭売買有価証券市場における店頭売買有価証券の取引とする。
Article 14-3-2 (1) The transactions specified by Cabinet Order that are provided for in Article 27-22-2, paragraph (1) of the Act are the transactions of Over-the-Counter Traded Securities in an Over-the-Counter Securities Market.
2 法第二十七条の二十二の二第一項第一号に規定する政令で定めるものは、投資信託及び投資法人に関する法律第八十条の二第一項(同法第八十条の五第二項の規定により読み替えて適用する場合を含む。)の規定とする。
(2) The provisions of other laws and regulations to be specified by Cabinet Order that are provided for in Article 27-22-2, paragraph (1), item (i) of the Act are the provisions of Article 80-2, paragraph (1) of the Act on Investment Trusts and Investment Corporations (including as applied pursuant to the provisions of Article 80-5, paragraph (2) of that Act following the deemed replacement of terms).
3 法第二十七条の二十二の二第一項第二号に規定する多数の者が買付け等(同項に規定する買付け等をいう。以下この節において同じ。)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は、当該買付け等に関する事項(当該買付け等に係る上場株券等(法第二十四条の六第一項に規定する上場株券等をいう。以下この節において同じ。)の買付け等の申込み又は売付け等の申込みの勧誘を行う旨の文言が含まれるものに限る。)を新聞若しくは雑誌に掲載し、又は文書、放送、映画その他の方法を用いることにより多数の者に知らせて行う買付け等とする。
(3) The Purchase, etc. (meaning a Purchase, etc. as prescribed in Article 27-22-2, paragraph (1) of the Act; hereinafter the same applies in this Section) specified by Cabinet Order as one that is effected by a method that makes the particulars of that Purchase, etc. available to a large number of persons, as provided in Article 27-22-2, paragraph (1), item (ii) of the Act, means a Purchase, etc. that a person conducts after informing a large number of persons of the particulars of that Purchase, etc. (limited to those which include the wording that an offer to Purchase, etc. or solicitation of offers to Sell, etc. of Listed Share Certificates, etc. (meaning the Listed Share Certificates, etc. set forth in Article 24-6, paragraph (1) of the Act; hereinafter the same applies in this Section) being conducted in connection with the Purchase, etc.) through publication in a newspaper or magazine, or using documents, broadcasts, movies, or any other method.
(買付け等の期間等)
(Period of Purchase)
第十四条の三の三 法第二十七条の二十二の二第二項において準用する法第二十七条の二第二項に規定する政令で定める期間は、公開買付者(法第二十七条の二十二の二第二項において準用する法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。)が公開買付開始公告(法第二十七条の二十二の二第二項において準用する法第二十七条の三第一項の規定による公告をいう。第十四条の三の八第一号ロを除き、以下この節において同じ。)を行つた日から起算して二十日(行政機関の休日の日数は、算入しない。)以上で六十日(行政機関の休日の日数は、算入しない。)以内とする。
Article 14-3-3 (1) The period specified by Cabinet Order that is provided for in Article 27-2, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act is not less than 20 days (not counting any Non-Business Days of Administrative Organs) but within 60 days (not counting any Non-Business Days of Administrative Organs) from the day on which the Tender Offeror (meaning the Tender Offeror prescribed in Article 27-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act; hereinafter the same applies in this Section) has given the Public Notice of the Commencement of the Tender Offer (meaning the public notice set forth in Article 27-3, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act; hereinafter the same applies in this Section except in Article 14-3-8, item (i), (b)).
2 法第二十七条の二十二の二第二項において準用する法第二十七条の二第三項に規定する買付けの価格に準ずるものとして政令で定めるものは、有価証券その他金銭以外のものをもつて買付け等の対価とする場合における当該有価証券その他金銭以外のものとの交換比率とし、その交換に係る差金として金銭を交付するときは、当該金銭の額を含むものとする。
(2) The thing specified by Cabinet Order as being equivalent to the purchase price, as provided in Article 27-2, paragraph (3) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act, is the ratio of exchange between the Share Certificates, etc. and the Securities or anything other than money if Securities or anything other than money are delivered as the consideration of the Purchase, etc.; and if money is delivered for the difference that arises in the exchange, its amount is included.
3 法第二十七条の二十二の二第一項本文に規定する公開買付け(以下この節において「公開買付け」という。)による上場株券等の買付け等を行う場合には、買付け等の価格(法第二十七条の二十二の二第二項において準用する法第二十七条の二第三項に規定する買付け等の価格をいう。以下この節において同じ。)は、すべての応募株主等(法第二十七条の二十二の二第二項において準用する法第二十七条の十二第一項に規定する応募株主等をいう。以下この節において同じ。)について均一にしなければならない。ただし、公開買付者が応募株主等に複数の種類の対価を選択させる場合には、選択することができる対価の種類をすべての応募株主等につき同一とし、かつ、それぞれの種類ごとに当該種類の対価を選択した応募株主等について均一にしなければならない。
(3) If a Purchase, etc. of Listed Share Certificates, etc. is undertaken by means of a Tender Offer as set forth in the main clause of Article 27-22-2, paragraph (1) of the Act (hereinafter referred to as the "Tender Offer" in this Section), the Price for the Purchase, etc. (meaning the price for the Purchase, etc. referred to in Article 27-2, paragraph (3) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act; hereinafter the same applies in this Section) must be the same for all tendering shareholders, etc. (meaning an tendering shareholder, etc. as prescribed in Article 27-12, paragraph (1) of the Act, as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act; hereinafter the same applies in this Section); provided, however, that if the Tender Offeror allows tendering shareholders, etc. to choose two or more types of consideration, it must make the types of consideration that can be chosen the same for all the tendering shareholders, etc., and must act uniformly for each type of consideration as regards the tendering shareholders, etc. that have selected that type of consideration.
4 法第二十七条の二十二の二第二項において準用する法第二十七条の二第四項に規定する政令で定める事務は、次に掲げるものとする。
(4) The affairs specified by Cabinet Order that are provided for in Article 27-2, paragraph (4) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act are as follows:
一 応募上場株券等(法第二十七条の二十二の二第二項において読み替えて準用する法第二十七条の十二第三項に規定する応募上場株券等をいう。)の保管及び返還
(i) the retention and refund of listed Share Certificates, etc. tendered (meaning the listed Share Certificates, etc. tendered as prescribed in Article 27-12, paragraph (3) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act following the deemed replacement of terms);
二 買付け等の代金の支払(有価証券その他金銭以外のものをもつて買付け等の対価とする場合における当該有価証券その他金銭以外のものの引渡しを含む。)
(ii) the payment for the Purchase, etc. (if Securities or anything other than money are delivered as the consideration for Purchase, etc., the delivery of the Securities or anything other than money is included); and
三 あん分比例方式(法第二十七条の二十二の二第二項において準用する法第二十七条の十三第五項に規定するあん分比例方式をいう。)により買付け等を行う上場株券等の数を確定させる事務
(iii) affairs to fix the number of Listed Share Certificates, etc. for which Purchase, etc. is to be made by the Pro Rata Method (meaning the Pro Rata Method prescribed in Article 27-13, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act).
5 法第二十七条の二十二の二第二項において準用する法第二十七条の二第五項に規定する政令で定める条件及び方法は、次に掲げるものとする。
(5) The conditions and methods specified by Cabinet Order that are provided for in Article 27-2, paragraph (5) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act are as follows:
一 買付け等の期間が終了したときは、遅滞なく、買付け等をする上場株券等の数その他の内閣府令で定める事項を記載した買付け等に関する通知書を応募株主等に送付すること。
(i) when the period of Purchase, etc. has ended, the written notice of Purchase, etc. containing the number of Listed Share Certificates, etc. for which Purchase, etc. is to be made, and any other particulars specified by Cabinet Office Order, will be sent to the tendering shareholders, etc. without delay; and
二 買付け等に係る受渡しその他の決済は、買付け等の期間が終了した後、遅滞なく行うこと。
(ii) the transfer or other settlement of the Purchase, etc. will be undertaken without delay after the expiration of the period of Purchase, etc.
6 前項第一号の規定により通知書を送付しなければならない者は、内閣府令で定める場合には、当該通知書の送付に代えて、当該通知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、当該事項を提供した者は、当該通知書を送付したものとみなす。
(6) The person that is required to send the written notice under item (i) of the preceding paragraph may, in the cases specified by Cabinet Office Order, provide the relevant person with the particulars that are required to be stated in the written notice by a means that involves the use of an Electronic Data Processing System or any other means specified by Cabinet Office Order in lieu of sending the written notice. In this case, the person that has so provided those particulars is deemed to have sent the written notice.
(公開買付開始公告等)
(Public Notice of the Commencement of a Tender Offer)
第十四条の三の四 法第二十七条の二十二の二第二項において準用する法第二十七条の三第一項、第二十七条の六第二項、第二十七条の八第十一項、第二十七条の十一第二項及び第二十七条の十三第一項の規定による公告は、次のいずれかの方法によりしなければならない。
Article 14-3-4 (1) Public notices under the provisions of Article 27-3, paragraph (1), Article 27-6, paragraph (2), Article 27-8, paragraph (11), Article 27-11, paragraph (2), and Article 27-13, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act must be given by one of the following means:
一 内閣府令で定めるところにより、開示用電子情報処理組織を使用する方法により不特定多数の者が公告すべき内容である情報の提供を受けることができる状態に置く措置をとる方法(第三項から第五項までにおいて「電子公告」という。)
(i) by taking measures to put the information that is required to be given in a public notice into a form that makes it possible for many and unspecified persons to be provided with that information by a means that involves the use of an Electronic Data Processing System for Disclosure pursuant to the provisions of Cabinet Office Order (referred to as the "Electronic Public Notice" in paragraph (3) to paragraph (5)); or
二 内閣府令で定めるところにより、時事に関する事項を掲載する日刊新聞紙に掲載する方法
(ii) by publication in a daily newspaper that publishes information on current affairs pursuant to the provisions of Cabinet Office Order.
2 前項の公告のうち法第二十七条の二十二の二第二項において準用する法第二十七条の八第十一項本文の規定によるものは、同項の訂正届出書を提出した後直ちにしなければならない。
(2) Among the public notices referred to in the preceding paragraph, the public notice set forth in the main clause of Article 27-8, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act must be given immediately after the amendment under Article 27-8, paragraph (11) of the Act has been submitted.
3 第一項の規定により電子公告による公告をする者は、内閣府令で定めるところにより、当該公告をした後遅滞なく、当該公告をした旨を、時事に関する事項を掲載する日刊新聞紙に掲載しなければならない。
(3) A person giving public notice by way of Electronic Public Notice pursuant to the provisions of paragraph (1) must publish an indication that it has given that public notice in a daily newspaper that publishes information on current affairs pursuant to the provisions of Cabinet Office Order without delay after having given that public notice.
4 第一項の規定により電子公告による公告をする者は、次の各号に掲げる公告の区分に応じ、当該各号に定める日までの間、継続して電子公告をしなければならない。
(4) A person giving public notice by way of Electronic Public Notice pursuant to paragraph (1) must continue to provide the Electronic Public Notice until the day specified in the relevant of the following items for the category of public notice set forth in that item:
一 法第二十七条の二十二の二第二項において準用する法第二十七条の三第一項、第二十七条の六第二項、第二十七条の八第十一項及び第二十七条の十一第二項の規定による公告 公開買付期間の末日
(i) a public notice under the provisions of Article 27-3, paragraph (1), Article 27-6, paragraph (2), Article 27-8, paragraph (11), or Article 27-11, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act: the last day of the Tender Offer Period; and
二 法第二十七条の二十二の二第二項において準用する法第二十七条の十三第一項の規定による公告 当該公告の開始後一月を経過する日
(ii) a public notice under Article 27-13, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act: the day on which one month has elapsed from the publication of the public notice.
5 第四条の二の四第三項及び第四項の規定は、第一項の規定により電子公告による公告をする者について準用する。この場合において、同条第三項中「同項第二号」とあるのは「第十四条の三の四第一項第二号」と、同条第四項中「第二項」とあるのは「第十四条の三の四第四項」と読み替えるものとする。
(5) The provisions of Article 4-2-4, paragraphs (3) and (4) apply mutatis mutandis to a person that gives the public notice by way of Electronic Public Notice pursuant to paragraph (1). In this case, the phrase "paragraph (1), item (ii)" in Article 4-2-4, paragraph (3) is deemed to be replaced with "Article 14-3-4, paragraph (1), item (ii)" and the phrase "paragraph (2)" in Article 4-2-4, paragraph (4) is deemed to be replaced with "Article 14-3-4, paragraph (4)".
6 第九条の四の規定は、法第二十七条の二十二の二第二項において準用する法第二十七条の十三第一項の規定による公表について準用する。
(6) The provisions of Article 9-4 apply mutatis mutandis to the public announcement under Article 27-13, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act.
(公開買付者の関係者)
(Person Affiliated with a Tender Offeror)
第十四条の三の五 法第二十七条の二十二の二第二項において準用する法第二十七条の三第三項に規定する政令で定める関係者は、次に掲げる者とする。
Article 14-3-5 The persons concerned specified by Cabinet Order that are provided for in Article 27-3, paragraph (3) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act are the following persons:
一 公開買付者のために第十四条の三の三第四項に規定する事務を行う金融商品取引業者又は銀行等
(i) a Financial Instruments Business Operator or a Bank, etc. that carries out the affairs set forth in Article 14-3-3, paragraph (4) on behalf of the Tender Offeror; or
二 公開買付者を代理して公開買付けによる上場株券等の買付け等を行う者
(ii) a person that conducts the Purchase, etc. of Share Certificates, etc. by means of a Tender Offer while representing the Tender Offeror.
(上場株券等に準ずる株券等)
(Share Certificates Equivalent to Listed Share Certificates)
第十四条の三の六 法第二十七条の二十二の二第二項及び第三項において準用する法第二十七条の三第四項第二号に規定する政令で定める株券等は、店頭売買有価証券に該当する株券等とし、同号に規定する政令で定める認可金融商品取引業協会は、当該株券等を登録する認可金融商品取引業協会とする。
Article 14-3-6 The Share Certificates, etc. specified by Cabinet Order that are provided for in Article 27-3, paragraph (4), item (ii) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraphs (2) and (3) of the Act are the Share Certificates, etc. that fall under the category of Over-the-Counter Traded Securities; and the Authorized Financial Instruments Firms Association specified by Cabinet Order that is provided for in Article 27-3, paragraph (4), item (ii) of the Act is the Authorized Financial Instruments Firms Association that registers the Share Certificates, etc.
(公開買付けによらないで買付け等ができる場合)
(Cases in Which a Purchase May Be Made by Means Other Than a Tender Offer)
第十四条の三の七 法第二十七条の二十二の二第二項及び第五項並びに法第二十七条の二十二の三第五項において読み替えて準用する法第二十七条の五に規定する政令で定める場合は、次に掲げる場合とする。
Article 14-3-7 The cases specified by Cabinet Order that are provided for in Article 27-5 of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraphs (2) and (5) and Article 27-22-3, paragraph (5) of the Act following the deemed replacement of terms are the following cases:
一 会社法第百十六条第一項、第百八十二条の四第一項、第四百六十九条第一項、第七百八十五条第一項、第七百九十七条第一項若しくは第八百六条第一項の規定による株式の買取りの請求若しくは投資信託及び投資法人に関する法律第百四十一条第一項、第百四十九条の三第一項、第百四十九条の八第一項若しくは第百四十九条の十三第一項の規定による投資口の買取りの請求又は法令上の義務に基づき株券等に係る買付け等をする場合
(i) a case in which a Purchase, etc. of Share Certificates, etc. is to be made in response to a request for the purchase of Shares under Article 116, paragraph (1), Article 182-4, paragraph (1), Article 469, paragraph (1), Article 785, paragraph (1), Article 797, paragraph (1) or Article 806, paragraph (1) of the Companies Act or a demand for the purchase of Investment Equity under Article 141, paragraph (1), Article 149-3, paragraph (1), Article 149-8, paragraph (1) or Article 149-13, paragraph (1) of the Act on Investment Trusts and Investment Corporations, or based on the obligations under laws and regulations;
二 その株券等が上場されている外国の金融商品取引所が所在する外国において、当該外国の法令の規定に基づき海外公開買付けにより買付け等をする場合
(ii) a case in which a Purchase, etc. is to be conducted in a foreign state where the Foreign Financial Instruments Exchange which lists the Share Certificates, etc. is located, by means of a Foreign Tender Offer under the provisions of laws and regulations of the foreign state;
三 第十四条の三の五各号に掲げる者が第十二条第三号及び第四号に掲げる買付け等をする場合
(iii) a case in which a person as set forth in the items of Article 14-3-5 conducts a Purchase, etc. set forth in Article 12, items (iii) and (iv);
四 第十四条の三の五各号に掲げる者が公開買付者以外の者の委託を受けて買付け等をする場合
(iv) a case in which a person as set forth in the items of Article 14-3-5 conducts the Purchase, etc. under the entrustment of a person other than the Tender Offeror;
五 第十四条の三の五各号に掲げる者が金融商品取引所又は認可金融商品取引業協会の定める規則において有価証券の流通の円滑化を図るため認められている買付け等をする場合
(v) a case in which a person as set forth in the items of Article 14-3-5 conducts the Purchase, etc. which is authorized for the facilitation of smooth distribution of Securities by the rules provided by a Financial Instruments Exchange or Authorized Financial Instruments Firms Association; and
六 第十四条の三の五各号に掲げる者が、その有する上場株券等の売買に係るオプションを行使し、又はその付与していた上場株券等の売買に係るオプションが行使されることにより買付け等をする場合
(vi) a case in which a person as set forth in one of the items of Article 14-3-5 conducts a Purchase, etc. through the exercise of an Option to effect a purchase and sale of the Listed Share Certificates, etc. held thereby or due to the exercise of an Option to effect a purchase and sale of Listed Share Certificates, etc. that the person has granted.
(禁止される買付条件等の変更)
(Prohibited Changes in the Terms of Purchase)
第十四条の三の八 法第二十七条の二十二の二第二項において準用する法第二十七条の六第一項第四号に規定する政令で定める買付条件等の変更は、次に掲げるものとする。
Article 14-3-8 The changes in the Terms of Purchase, etc. specified by Cabinet Order that are provided for in Article 27-6, paragraph (1), item (iv) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act are as follows:
一 買付け等の期間を第十四条の三の三第一項に定める期間を超えて延長すること。ただし、次の各号に掲げる場合で、当該各号に定める期間延長する場合は、この限りでない。
(i) an extension of the period of Purchase, etc. exceeding the period specified in Article 14-3-3, paragraph (1); provided, however, that this does not apply if the period specified in the relevant of the following items is to be extended in the case set forth in that item:
イ 法第二十七条の二十二の二第二項及び法第二十七条の二十二の三第四項において準用する法第二十七条の八第八項の規定により買付け等の期間を延長しなければならない場合 同項の規定により延長しなければならない期間
(a) if the period of Purchase, etc. must be extended pursuant to the provisions of Article 27-8, paragraph (8) of the Act as applied mutatis mutandis pursuant to the provisions of Article 27-22-2, paragraph (2) and Article 27-22-3, paragraph (4) of the Act: the period to be extended pursuant to Article 27-8, paragraph (8) of the Act; and
ロ 公開買付期間(法第二十七条の二十二の二第二項において準用する法第二十七条の五に規定する公開買付期間をいう。)中に、当該公開買付者以外の者が、当該公開買付者の発行する株券等について、公開買付開始公告(法第二十七条の三第一項の規定による公告をいう。)又は買付け等の期間を延長する買付条件の変更の公告若しくは公表(法第二十七条の六第二項若しくは第三項又は法第二十七条の八第八項の規定による公告又は公表をいう。)を行つた場合 当該公開買付期間の末日の翌日から当該公開買付開始公告又は当該変更の公告若しくは公表に係る公開買付期間(法第二十七条の五に規定する公開買付期間をいう。)の末日までの日数以内の期間
(b) if a person other than the Tender Offeror has given, with regard to the Share Certificates, etc. issued by the Tender Offeror, a Public Notice of the Commencement of a Tender Offer (meaning the public notice set forth in Article 27-3, paragraph (1) of the Act) or a Public Notice or Public Announcement (meaning the public notice or public announcement under Article 27-6, paragraph (2) or (3) of the Act or Article 27-8, paragraph (8) of the Act) of the changes in the Terms of Purchase which extend the period of Purchase, etc. during the Tender Offer Period (meaning the Tender Offer Period prescribed in Article 27-5 of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act): a period not exceeding the number of days counted from the day following the last day of the Tender Offer Period until the last day of the Tender Offer Period (meaning the Tender Offer Period set forth in Article 27-5 of the Act) given in the Public Notice of the Commencement of the Tender Offer or the Public Notice or Public Announcement of the changes;
二 買付け等の対価の種類を変更すること。ただし、応募株主等が選択することができる対価の種類として新たな対価の種類を追加するものについては、この限りでない。
(ii) a change in the types of consideration for Purchase, etc.; provided, however, that this does not apply if a new type of consideration is added as an option for the tendering shareholders, etc. to choose; and
三 法第二十七条の二十二の二第二項において準用する法第二十七条の十一第一項に規定する条件を付した場合において、当該条件の内容を変更すること。
(iii) if the terms set forth in Article 27-11, paragraph (1) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act are imposed, a change in the details of the terms.
(契約の解除の方法等)
(Means for Cancellation of Contracts)
第十四条の三の九 法第二十七条の二十二の二第二項において準用する法第二十七条の十二第二項に規定する政令で定める方法は、公開買付けに係る契約の解除を行う旨の書面を公開買付者が指定した者(内閣府令で定める者に限る。)に交付し、又は送付する方法とし、同項に規定する政令で定める時は、当該書面が当該指定した者に交付され、又は到達した時とする。
Article 14-3-9 The means specified by Cabinet Order that is provided for in Article 27-12, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act is any means of delivering or sending a document cancelling the contract connected with a Tender Offer to the person designated by the Tender Offeror (limited to the persons specified by Cabinet Office Order); and the time specified by Cabinet Order that is provided for in Article 27-12, paragraph (2) of the Act is the time when the document has been delivered to or has reached the designated person.
(公衆縦覧を行う認可金融商品取引業協会)
(Authorized Financial Instruments Firms Associations Providing Public Inspection)
第十四条の三の十 法第二十七条の二十二の二第二項において準用する法第二十七条の十四第三項に規定する政令で定める認可金融商品取引業協会は、第十四条の三の六に規定する認可金融商品取引業協会とする。
Article 14-3-10 The Authorized Financial Instruments Firms Association specified by Cabinet Order that is provided for in Article 27-14, paragraph (3) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act is an Authorized Financial Instruments Firms Association stipulated in Article 14-3-6.
(発行者による上場株券等の公開買付けに関する読替え)
(Deemed Replacement of Terms in Connection with a Tender Offer for Listed Share Certificates by the Issuer)
第十四条の三の十一 法第二十七条の二十二の二第一項の規定により公開買付けによる買付け等を行う場合について、同条第二項において法の規定を準用する場合における同条第十三項の規定による技術的読替えは、次の表のとおりとする。
Article 14-3-11 (1) If a Purchase, etc. by means of a Tender Offer is made pursuant to Article 27-22-2, paragraph (1) of the Act, the deemed replacement of terms under paragraph (13) of that Article when the provisions of the Act are applied mutatis mutandis pursuant to paragraph (2) of that Article is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original Terms
読み替える字句
Terms deemed to replace the original terms
第二十七条の二(第二項から第六項までに限る。)
Article 27-2 (limited to paragraph (2) to paragraph (6))
第二十七条の十二第三項
Article 27-12, paragraph (3)
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十二第三項
Article 27-12, paragraph (3) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
この節に定める
provisions of this Section
次節に定める
provisions of the following Section
第二十七条の四
Article 27-4
前条第二項
paragraph (2) of the preceding Article
第二十七条の二十二の二第二項において準用する前条第二項
paragraph (2) of the preceding Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の七
Article 27-7
前条第二項又は第三項
paragraph (2) or (3) of the preceding Article
第二十七条の二十二の二第二項において準用する前条第一項又は第二項
paragraph (1) or (2) of the preceding Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
次条第八項
paragraph (8) of the following Article
第二十七条の二十二の二第二項において準用する次条第八項
paragraph (8) of the following Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の八(第六項、第十項及び第十二項を除く。)
Article 27-8 (excluding paragraph (6), paragraph (10), and paragraph (12))
この節の規定
the provisions of this Section
次節の規定
the provisions of the following Section
第二十七条の六第一項
Article 27-6, paragraph (1)
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六第一項
Article 27-6, paragraph (1) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の六第二項
Article 27-6, paragraph (2)
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六第二項
Article 27-6, paragraph (2) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の九
Article 27-9
前条第一項から第四項まで
the provisions of paragraphs (1) to (4) of the preceding Article
第二十七条の二十二の二第二項において準用する前条第一項から第四項まで
the provisions of paragraphs (1) to (4) of the preceding Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の十二
Article 27-12
第二十七条の八第八項
Article 27-8, paragraph (8)
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八第八項
Article 27-8, paragraph (8) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
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
paragraphs (1) and (4) of the following Article, 27-14, paragraph (1) and Article 27-21, paragraphs (1) and (2)
第二十七条の二十二の二第二項において準用する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
the provisions of paragraphs (1) and (4) of the following Article, 27-14, paragraph (1) and Article 27-21, paragraph (1) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の十三(第三項を除く。)
Article 27-13 (excluding paragraph (3))
第二十七条の十一第二項
Article 27-11, paragraph (2)
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十一第二項
Article 27-11, paragraph (2) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の十一第一項ただし書
the proviso to Article 27-11, paragraph (1)
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十一第一項ただし書
the proviso to Article 27-11, paragraph (1) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の六第二項
Article 27-6, paragraph (2)
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六第二項
Article 27-6, paragraph (2) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の十四
Article 27-14
次条第一項
paragraph (1) of the following Article
第二十七条の二十二の二第二項において準用する次条第一項
paragraph (1) of the following Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の三第四項(第二十七条の八第六項、第二十七条の十一第四項及び前条第三項において準用する場合を含む。)
Article 27-3, paragraph (4) (including the cases where it is applied mutatis mutandis pursuant to Articles 27-8, paragraph (6), 27-11, paragraph (4) and paragraph (3) of the preceding Article)
第二十七条の二十二の二第二項及び第三項において準用する第二十七条の三第四項並びに第二十七条の二十二の二第四項(同条第八項において準用する場合を含む。)
Article 27-3, paragraph (4) as applied mutatis mutandis pursuant to Article 27-22-2, paragraphs (2) and (3) and Article 27-22-2, paragraph (4) (including the cases where it is applied mutatis mutandis pursuant to paragraph (8) of that Article)
第二十七条の十七
Article 27-17
第二十七条の五(第二十七条の八第十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。)
Article 27-5 (including the cases where it is applied mutatis mutandis pursuant to Article 27-8, paragraph (10); hereinafter the same applies in this paragraph)
第二十七条の二十二の二第二項及び第五項において準用する第二十七条の五
Article 27-5 as applied mutatis mutandis pursuant to Article 27-22-2, paragraphs (2) and (5)
第二十七条の五
Article 27-5
第二十七条の二十二の二第二項及び第五項において準用する第二十七条の五
Article 27-5 as applied mutatis mutandis pursuant to Article 27-22-2, paragraphs (2) and (5)
次条第二項第一号
paragraph (2), item (i) of the following Article
第二十七条の二十二の二第二項において準用する次条第二項第一号
paragraph (2), item (i) of the following Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の六第二項又は第三項
Article 27-6, paragraph (2) or (3)
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六第二項又は第三項
Article 27-6, paragraph (2) or (3) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
次条第二項及び第二十七条の二十第二項
paragraph (2) of the following Article and Article 27-20, paragraph (2)
第二十七条の二十二の二第二項において準用する次条第二項
paragraph (2) of the following Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の十八
Article 27-18
第二十七条の十三第四項
Article 27-13, paragraph (4)
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十三第四項
Article 27-13, paragraph (4) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
前条第一項
paragraph (1) of the preceding Article
第二十七条の二十二の二第二項において準用する前条第一項
paragraph (1) of the preceding Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の二十一第一項
Article 27-21, paragraph (1)
第二十七条の十七第一項
Article 27-17, paragraph (1)
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十七第一項
Article 27-17, paragraph (1) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の十八第二項
Article 27-18, paragraph (2)
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十八第二項
Article 27-18, paragraph (2) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
2 法第二十七条の二十二の二第二項において準用する法第二十七条の八第八項及び第十一項の規定による公告又は公表について、法第二十七条の二十二の二第六項において法の規定を準用する場合における同条第十三項の規定による技術的読替えは、次の表のとおりとする。
(2) With regard to a Public Notice or Public Announcement given under the provisions of Article 27-8, paragraphs (8) and (11) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act, the deemed replacement of terms under Article 27-22-2, paragraph (13) of the Act when the provisions of the Act are applied mutatis mutandis pursuant to Article 27-22-2, paragraph (6) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十七条の七
Article 27-7
次条第八項
paragraph (8) of the following Article
第二十七条の二十二の二第二項において準用する次条第八項
paragraph (8) of the following Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
3 法第二十七条の二十二の二第二項において準用する法第二十七条の十三第二項に規定する公開買付報告書について、法第二十七条の二十二の二第七項において法の規定を準用する場合における同条第十三項の規定による技術的読替えは、次の表のとおりとする。
(3) With regard to the Tender Offer Report defined in Article 27-13, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) of the Act, the deemed replacement of terms under Article 27-22-2, paragraph (13) of the Act when the provisions of the Act are applied mutatis mutandis pursuant to Article 27-22-2, paragraph (7) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十七条の八(第一項から第五項までに限る。)
Article 27-8 (limited to paragraph (1) to paragraph (5))
含む。第七項において同じ。
(including the period to be extended under paragraph (8); the same applies in paragraph (7))
含む。
(including the period to be extended under paragraph (8))
(公表後の経過期間)
(Transitional Period After Publication)
第十四条の三の十二 法第二十七条の二十二の三第三項に規定する政令で定める期間は、十二時間とする。
Article 14-3-12 The period specified by Cabinet Order that is provided for in Article 27-22-3, paragraph (3) of the Act is 12 hours.
(公開買付者である会社に係る重要事実の公表に関する読替え)
(Deemed Replacement of Terms in Connection with the Publication of Material Facts Concerning a Company That Is a Tender Offeror)
第十四条の三の十三 法第二十七条の二十二の三第五項において準用する法第二十七条の五の規定に違反して上場株券等の買付け等をした場合について、法第二十七条の二十二の三第八項において法の規定を準用する場合における同項の規定による技術的読替えは、次の表のとおりとする。
Article 14-3-13 If a Purchase, etc. of Listed Share Certificates, etc. has been made in violation of Article 27-5 of the Act as applied mutatis mutandis pursuant to Article 27-22-3, paragraph (5) of the Act, the deemed replacement of terms under Article 27-22-3, paragraph (8) of the Act when the provisions of the Act are applied mutatis mutandis pursuant to Article 27-22-3, paragraph (8) of the Act is as given in the following table:
読み替える法の規定
Provisions of the Act whose terms are deemed to be replaced
読み替えられる字句
Original terms
読み替える字句
Terms deemed to replace the original terms
第二十七条の十七
Article 27-17
第二十七条の五
Article 27-5
第二十七条の二十二の三第五項において準用する第二十七条の五
Article 27-5 as applied mutatis mutandis pursuant to Article 27-22-3, paragraph (5)
次条第二項第一号
paragraph (2), item (i) of the following Article
第二十七条の二十二の二第二項において準用する次条第二項第一号
paragraph (2), item (i) of the following Article as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
第二十七条の六第二項又は第三項
Article 27-6, paragraph (2) or (3)
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六第二項又は第三項
Article 27-6, paragraph (2) or (3) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)
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。
(excluding those which the person cannot make Sales, etc. of as a result of the Method of Proportional Distribution; the same applies in paragraph (2) of the following Article and Article 27-20, paragraph (2))
除く。
(excluding those for which the person cannot make Sales, etc. as a result of the Method of Proportional Distribution)
第三章の二 株券等の大量保有の状況に関する開示
Chapter III-2 Disclosure of Status of Large Volume Holdings in Share Certificates
(株券関連有価証券の範囲)
(Scope of Share-Related Securities)
第十四条の四 法第二十七条の二十三第一項に規定する株券、新株予約権付社債券その他の政令で定める有価証券は、次に掲げる有価証券とする。
Article 14-4 (1) The share certificates, corporate bond certificates with share options, and other Securities specified by Cabinet Order that are provided for in Article 27-23, paragraph (1) of the Act are the following Securities:
一 株券、新株予約権証券及び新株予約権付社債券
(i) share certificates, share option certificates, and corporate bond certificates with share options;
二 外国の者の発行する証券又は証書で前号に掲げる有価証券の性質を有するもの
(ii) instruments or certificates issued by a foreign person which have the nature of the Securities set forth in the preceding item;
三 投資証券等及び新投資口予約権証券等
(iii) Investment Securities, etc. or Investment Equity Subscription Right Certificates, etc.;
四 有価証券信託受益証券で、受託有価証券が前三号に掲げる有価証券であるもの
(iv) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are the Securities set forth in the preceding three items; and
五 法第二条第一項第二十号に掲げる有価証券で、第一号から第三号までに掲げる有価証券に係る権利を表示するもの
(v) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities set forth in item (i) to item (iii).
2 法第二十七条の二十三第一項に規定する流通状況が金融商品取引所に上場されているものに準ずるものとして政令で定める株券関連有価証券は、店頭売買有価証券とする。
(2) The Share-related Securities specified by Cabinet Order as those for which the state of distribution can be regarded as being equivalent to those listed on a Financial Instruments Exchange, referred to in Article 27-13, paragraph (1) of the Act, are Over-the-Counter Traded Securities.
(対象有価証券に係る権利を表示する有価証券の範囲)
(Scope of Securities That Indicate Rights Associated with Subject Securities)
第十四条の四の二 法第二十七条の二十三第一項に規定する対象有価証券に係る権利を表示するものとして政令で定めるものは、次に掲げるものとする。
Article 14-4-2 The other Securities specified by Cabinet Order as indicating rights associated with Subject Securities, as provided in Article 27-23, paragraph (1) of the Act, are as follows:
一 法第二条第一項第十九号に掲げる有価証券で、対象有価証券(法第二十七条の二十三第二項に規定する対象有価証券をいう。以下この条において同じ。)の売買に係るオプション(当該オプションの行使により当該行使をした者が当該売買において買主としての地位を取得するものに限る。)を表示するもの
(i) the Securities set forth in Article 2, paragraph (1), item (xix) of the Act that indicate an Option to effect a purchase and sale of Subject Securities (meaning Subject Securities as defined in Article 27-23, paragraph (2) of the Act; hereinafter the same applies in this Article) (limited to if the exercise of that Option would cause the person exercising it to acquire the position of buyer in the purchase and sale);
二 有価証券信託受益証券で、対象有価証券を受託有価証券とするもの
(ii) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are Subject Securities;
三 法第二条第一項第二十号に掲げる有価証券で、対象有価証券に係る権利を表示するもの
(iii) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with Subject Securities;
四 社債券(新株予約権付社債券を除く。)で、対象有価証券(当該社債券の発行会社以外の会社が発行したものに限る。)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(社債券を保有する者が当該社債券の発行会社に対し対象有価証券による償還をさせることができる権利を有しているものに限る。)
(iv) corporate bond certificates (excluding corporate bond certificates with share options) with a special provision that allows the redemption of the bond certificates through the Subject Securities (limited to Subject Securities issued by a company other than the company issuing the corporate bond certificates) (limited to those in connection with which the person holding the corporate bond certificates has the right to have the issuer company of the corporate bond certificates redeem the corporate bond certificates through Subject Securities); and
五 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
(v) the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act which have the nature of the Securities referred to in the preceding item.
(報告期間に算入しない休日)
(Non-Business Days Not Included in the Reporting Period)
第十四条の五 法第二十七条の二十三第一項に規定する政令で定める休日は、行政機関の休日(日曜日を除く。)とする。
Article 14-5 The non-business days specified by Cabinet Order that are provided for in Article 27-23, paragraph (1) of the Act are the Non-Business Days of Administrative Organs (excluding Sundays).
(対象有価証券の範囲)
(Scope of Subject Securities)
第十四条の五の二 法第二十七条の二十三第二項に規定する政令で定めるものは、次に掲げるものとする。
Article 14-5-2 The other Securities specified by Cabinet Order that are provided for in Article 27-23, paragraph (2) of the Act are as follows:
一 株券(議決権のない株式として内閣府令で定めるものに係る株券を除く。)
(i) share certificates (excluding the share certificates associated with what is specified by Cabinet Office Order as a Share Not Conferring Voting Rights);
二 新株予約権証券及び新株予約権付社債券(新株予約権として議決権のない株式のみを取得する権利のみを付与されているものを除く。)
(ii) share option certificates and corporate bond certificates with share options (excluding those that grant only the right to acquire Shares Not Conferring Voting Rights as the share option);
三 外国の者の発行する証券又は証書で前二号に掲げる有価証券の性質を有するもの
(iii) instruments or certificates issued by a foreign person which have the nature of the Securities set forth in the preceding two items;
四 投資証券等
(iv) Investment Securities, etc.; and
五 新投資口予約権証券等
(v) Investment Equity Subscription Right Certificates, etc.
(株券等の引渡請求権を有する者に準ずる者)
(Persons Equivalent to the Person with the Right to Request Delivery of Share Certificates)
第十四条の六 法第二十七条の二十三第三項に規定する政令で定める者は、次に掲げる者とする。
Article 14-6 The person specified by Cabinet Order that is provided for in Article 27-23, paragraph (3) of the Act is any of the following persons:
一 株券等(法第二十七条の二十三第一項に規定する株券等をいう。以下この章において同じ。)の売買の一方の予約(当該売買を完結する権利を有し、かつ、当該権利の行使により買主としての地位を取得する場合に限る。)を行つている者
(i) a person that has entered into a unilateral option contract for a purchase and sale of Share Certificates, etc. (meaning Share Certificates, etc. as prescribed in Article 27-23, paragraph (1) of the Act; hereinafter the same applies in this Chapter) (limited to cases in which the person holds the right to complete the purchase and sale and would acquire the position of buyer through the exercise of that right); and
二 株券等の売買に係るオプション(当該オプションが第十四条の四の二第一号に掲げる有価証券において表示されている場合を除く。)の取得(当該オプションの行使により当該行使をした者が当該売買において買主としての地位を取得するものに限る。)をしている者
(ii) a person that has acquired the Option to effect a purchase and sale of Share Certificates, etc. (limited to cases in which the Option is indicated on a Security as set forth in Article 14-4-2, item (i)) (limited to if the exercise of that Option would cause the person exercising it to acquire the position of buyer in the purchase and sale).
(保有株券等から除外するもの)
(Exceptions of Share Certificates Held)
第十四条の六の二 法第二十七条の二十三第四項に規定する政令で定める権利は、次に掲げる権利とする。
Article 14-6-2 The rights specified by Cabinet Order that are provided for in Article 27-23, paragraph (4) of the Act are the following rights:
一 売買その他の契約に基づく株券等の引渡請求権
(i) the right to request delivery of Share Certificates, etc. under a purchase and sale contract or any other contract;
二 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若しくは投資主としての議決権を行使することができる権利又は当該議決権の行使について指図を行うことができる権利
(ii) the right to exercise voting rights as a shareholder or Investor of the issuer of Share Certificates, etc. or the right to give instructions with regard to the exercise of voting rights under a money trust contract or any other contract, or the provisions of Acts;
三 投資一任契約その他の契約又は法律の規定に基づいて有する投資をするのに必要な権利
(iii) the necessary rights to make investments in Share Certificates, etc. based on a Discretionary Investment Contract or any other contracts, or the provisions of Acts;
四 株券等の売買の一方の予約に基づき、当該売買を完結させ、かつ、買主としての地位を取得する権利
(iv) the right, based on a unilateral option contract for a purchase and sale of Share Certificates, etc., to complete that purchase and sale and acquire the position of buyer; and
五 株券等の売買に係るオプションの行使により当該行使をした者が当該売買において買主としての地位を取得する権利
(v) the right of a person exercising the Option to effect a purchase and sale of Share Certificates, etc. to acquire the position of buyer in the purchase and sale through the exercise of that Option.
(特別の関係)
(Special Relationship)
第十四条の七 法第二十七条の二十三第六項に規定する政令で定める特別の関係は、次に掲げる関係とする。
Article 14-7 (1) The special relationship specified by Cabinet Order that is provided for in Article 27-23, paragraph (6) of the Act means one of the following relationships:
一 夫婦の関係
(i) the relationship of husband and wife;
二 会社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(仮設人を含む。以下この条において同じ。)の名義をもつて所有している者(以下この条において「支配株主等」という。)と当該会社(以下この条において「被支配会社」という。)との関係
(ii) the relationship between a person that holds shares or equity associated with voting rights that constitute over 50 percent of the Voting Rights Held by All the Shareholders, etc. of a company in the person's own name or in another person's name (or under a fictitious name; hereinafter the same applies in this Article) (hereinafter such a person is referred to as a "Controlling Shareholder, etc." in this Article) and that company (hereinafter referred to as the "Controlled Company" in this Article);
三 被支配会社とその支配株主等の他の被支配会社との関係
(iii) the relationship between one Controlled Company and another Controlled Company with the same Controlling Shareholder, etc.; and
四 その他前三号に掲げる関係に準ずるものとして内閣府令で定める関係
(iv) any other relationship specified by Cabinet Office Order as being equivalent to the relationships set forth in the preceding three items.
2 夫婦が合わせて会社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つて所有している場合には、当該夫婦は、それぞれ当該会社の支配株主等とみなして前項の規定を適用する。
(2) If a husband and wife jointly hold shares or equity associated with voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. of a company in their own names or in another person's name, the husband and wife are each deemed to be the Controlling Shareholder, etc. of the company, and the provisions of the preceding paragraph apply.
3 支配株主等とその被支配会社が合わせて他の会社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つて所有している場合には、当該他の会社も、当該支配株主等の被支配会社とみなして第一項及びこの項の規定を適用する。
(3) If a Controlling Shareholder, etc. and the Controlled Company thereof jointly hold shares or equity associated with voting rights that constitute over 50 percent of the Voting Rights Held by All the Shareholders, etc. of another company in their own names or in another person's name, the other company is also deemed to be the Controlled Company of the Controlling Shareholder, etc. and the provisions of paragraph (1) and this paragraph apply.
(大量保有報告書に記載すべき重要な事項の変更)
(Changes in Material Particulars That Are Required to Be Stated in a Statement of Large Volume Holdings)
第十四条の七の二 法第二十七条の二十五第一項並びに第二十七条の二十六第二項第一号及び第二号に規定する大量保有報告書に記載すべき重要な事項の変更として政令で定めるものは、大量保有報告書又は変更報告書(これらの訂正報告書を含む。)に記載すべき内容に係る変更のうち、次の各号に掲げるものを除くものとする。
Article 14-7-2 (1) The other cases specified by Cabinet Order as a change in a material particular that is required to be stated in a Statement of Large-Volume Holdings, referred to in the provisions of Article 27-25, paragraph (1) and Article 27-26, paragraph (2), items (i) and (ii) of the Act are, among the changes in the details to be contained in the Statement of Large-Volume Holdings or Statement of Changes (including the Amendment Reports thereof), changes other than those set forth in the following items:
一 その単体株券等保有割合が百分の一未満である保有者が新たに共同保有者(法第二十七条の二十三第五項に規定する共同保有者をいい、同条第六項の規定により共同保有者とみなされる者を含む。以下この章において同じ。)となつたこと。
(i) the fact that a holder whose Ratio of Share Certificates, etc. Held Singly is less than one percent has become a new Joint Holder (meaning the Joint Holder prescribed in Article 27-23, paragraph (5) of the Act and including the person deemed to be a Joint Holder under paragraph (6) of that Article; hereinafter the same applies in this Chapter);
二 その単体株券等保有割合が百分の一未満であつた保有者が共同保有者でなくなつたこと。
(ii) the fact that a holder whose Ratio of Share Certificates, etc. Held Singly was less than one percent has ceased to be a Joint Holder;
三 その単体株券等保有割合が百分の一未満である共同保有者の氏名若しくは名称又は住所若しくは所在地の変更
(iii) changes in the name, address, or location of a Joint Holder whose Ratio of Share Certificates, etc. Held Singly is less than one percent;
四 単体株券等保有割合の百分の一未満の増加又は減少
(iv) increases or reductions in the Ratio of Share Certificates, etc. Held Singly of less than one percent;
五 株券等の保有者及びその共同保有者の保有に係る当該株券等に関する次に掲げる契約の締結又はそれらの内容の変更のうち軽微なものとして内閣府令で定めるもの
(v) conclusion of the following contracts involving the Share Certificates, etc. held by a holder of Share Certificates, etc. and by a Joint Holder thereof, or among the changes in the contents of those contracts, those which are specified by Cabinet Office Order as being minor changes:
イ 担保に供することを内容とする契約
(a) contracts for providing the Share Certificates, etc. as a collateral;
ロ 売り戻すことを内容とする契約
(b) contracts for reselling;
ハ 売買の一方の予約(当該売買を完結する権利を有し、かつ、当該権利の行使により売主としての地位を取得する場合に限る。)
(c) a unilateral option contract for a purchase and sale (limited to cases in which the person in question holds the right to complete the purchase and sale and would acquire the position of seller through the exercise of that right);
ニ 貸借することを内容とする契約
(d) contracts for lending and borrowing; and
ホ イからニまでに掲げる契約に準ずる契約
(e) contracts equivalent to the contracts set forth in (a) to (d); and
六 その他前各号に準ずるものとして内閣府令で定めるもの
(vi) anything else specified by Cabinet Office Order as being equivalent to what is set forth in the preceding items.
2 前項の「単体株券等保有割合」とは、保有株券等の数(法第二十七条の二十三第四項に規定する保有株券等の数をいう。)を、当該株券等の発行者の発行済株式又は発行済投資口の総数に当該保有者及び共同保有者の保有する新株予約権付社債券その他の内閣府令で定める有価証券の数を加算した数で除して得た割合をいう。
(2) The term "Ratio of Share Certificates, etc. Held Singly" referred to in the preceding paragraph means the ratio obtained by dividing the number of Share Certificates, etc. Held (meaning the Share Certificates, etc. Held set forth in Article 27-23, paragraph (4) of the Act) by the number obtained by adding the number of corporate bond certificates with share options and any other Securities specified by Cabinet Office Order held by the holder and the Joint Holder thereof to the total number of the Issued Shares or the Issued Investment Equity of the issuer of the Share Certificates, etc.
(短期大量譲渡の基準)
(Criteria for Transfer of a Large Number of Share Certificates in a Short Period)
第十四条の八 法第二十七条の二十五第二項に規定する政令で定める基準は、同項の変更報告書に記載すべき変更後の株券等保有割合(法第二十七条の二十三第四項に規定する株券等保有割合をいう。以下この条において同じ。)が、当該変更報告書に係る大量保有報告書(法第二十七条の二十三第一項又は第二十七条の二十六第一項に規定する大量保有報告書をいう。)又は当該大量保有報告書に係る他の変更報告書(法第二十七条の二十五第一項又は第二十七条の二十六第二項に規定する変更報告書をいう。)に記載された又は記載すべきであつた株券等保有割合(当該変更後の株券等保有割合の計算の基礎となつた日の六十日前の日以後の日を計算の基礎とするもの及び当該六十日前の日の前日以前の日を計算の基礎とするもので当該六十日前の日に最も近い日を計算の基礎とするものに限る。)のうち最も高いものの二分の一未満となり、かつ、当該最も高いものより百分の五を超えて減少したこととする。ただし、株券等保有割合が減少したことにより変更報告書を提出する者又はその共同保有者が当該変更後の株券等保有割合の計算の基礎となつた日前六十日間(次項において「短期大量譲渡報告対象期間」という。)に株券等を譲渡したことにより減少した株券等保有割合の合計が、当該最も高いものの二分の一以下である場合又は百分の五以下である場合には、この限りでない。
Article 14-8 (1) The criteria specified by Cabinet Order that are provided for in Article 27-25, paragraph (2) of the Act are that the Holding Ratio of Share Certificates, etc. (meaning the Holding Ratio of Share Certificates, etc. prescribed in Article 27-23, paragraph (4) of the Act; hereinafter the same applies in this Article) after the change which is required to be stated in the Statement of Changes referred to in Article 27-25, paragraph (2) of the Act comes to be less than half of the highest Holding Ratio of Share Certificates, etc. (limited to those for which the calculation is based on the day on or after the day 60 days prior to the day on which calculation of the Holding Ratio of Share Certificates, etc. after the change has been based, and those for which the calculation is based on or before the day immediately preceding the day 60 days prior to the day on which calculation of the Holding Ratio of Share Certificates, etc. after the change has been based which is the nearest to the day 60 days prior to the day on which calculation of the Holding Ratio of Share Certificates, etc. after the change has been based) which has been stated or is required to have been stated in the Statements of Large-Volume Holdings (meaning the Statements of Large-Volume Holdings set forth in Article 27-23, paragraph (1) or Article 27-26, paragraph (1) of the Act) related to the Statement of Changes or in another Statement of Changes (meaning the Statement of Changes set forth in Article 27-25, paragraph (1) or Article 27-26, paragraph (2) of the Act) related to the Statements of Large-Volume Holdings, and has decreased by more than five percent in comparison with the highest Holding Ratio of Share Certificates, etc.; provided, however, that this does not apply if the total Holding Ratio of Share Certificates, etc. that has decreased as a result of the fact that a person that is to submit a Statement of Changes due to a decrease in the Holding Ratio of Share Certificates, etc. or a Joint Holder thereof has transferred Share Certificates. etc. during the 60 days prior to the day on which calculation of the Holding Ratio of Share Certificates, etc. after the change has been based (referred to as the "Period Subject to a Report of Short-Term, Large-Volume Transfer" in the following paragraph) in a volume not more than half of the highest Holding Ratio of Share Certificates, etc. or not more than five percent.
2 法第二十七条の二十五第二項に規定する政令で定める者は、株券等保有割合が減少したことにより変更報告書を提出する者又はその共同保有者から短期大量譲渡報告対象期間に譲渡を受けた株券等の数の合計を当該提出する者の保有株券等の総数(法第二十七条の二十三第四項に規定する保有株券等の総数をいう。)とみなした場合における当該提出する者の株券等保有割合が百分の一に満たない者とする。
(2) The person specified by Cabinet Order that is provided for in Article 27-25, paragraph (2) of the Act is to be, if deeming the total number of Share Certificates, etc. transferred by the person that is to submit a Statement of Changes due to a decrease in the Holding Ratio of Share Certificates, etc. or a Joint Holder thereof during the Period Subject to a Report of Short-Term, Large-Volume Transfer to be the person making the submission with the total number of Share Certificates, etc. held by that person making the submission (meaning the total number of Share Certificates, etc. prescribed in Article 27-23, paragraph (4) of the Act), the person making the submission with a Holding Ratio of Share Certificates, etc. of less than one percent.
(重要提案行為等)
(Material Proposal)
第十四条の八の二 法第二十七条の二十六第一項に規定する株券等の発行者の事業活動に重大な変更を加え、又は重大な影響を及ぼす行為として政令で定めるものは、発行者又はその子会社に係る次の各号に掲げる事項を、その株主総会若しくは投資主総会又は役員(業務を執行する社員、取締役、執行役、会計参与、監査役又はこれらに準ずる者をいい、相談役、顧問その他いかなる名称を有する者であるかを問わず、法人に対し業務を執行する社員、取締役、執行役、会計参与、監査役又はこれらに準ずる者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。第四号において同じ。)に対して提案する行為とする。ただし、軽微なものとして内閣府令で定める基準に該当するものを除く。
Article 14-8-2 (1) The acts specified by Cabinet Order as effecting material changes in or having a material effect on the business activities of the issuer of Share Certificates, etc., referred to in Article 27-26, paragraph (1) of the Act, are the acts in which the following matters related to the issuer or its Subsidiary are suggested at a shareholders meeting or investors' meeting, or to the Officers (meaning a member, director, executive officer, accounting advisor, company auditor, or persons equivalent thereto that execute the operations and including those that are found to have at least the same authority as a member, director, executive officer, or any equivalent persons that execute the operations of the corporation, irrespective of their titles, such as advisor, consultant, or others; the same applies in item (iv)); provided, however, that those that satisfy the criteria specified by Cabinet Office Order as being minor are excluded:
一 重要な財産の処分又は譲受け
(i) the disposal or acquisition of important properties;
二 多額の借財
(ii) borrowing in a significant amount;
三 代表取締役の選定又は解職
(iii) selection or removal of a representative director;
四 役員の構成の重要な変更(役員の数又は任期に係る重要な変更を含む。)
(iv) important changes in the constitution of Officers (including important changes related to the number and terms of office of Officers);
五 支配人その他の重要な使用人の選任又は解任
(v) appointment or dismissal of a manager or any other important employee;
六 支店その他の重要な組織の設置、変更又は廃止
(vi) establishment, changes in, or closure of a branch office or any other important organization;
七 株式交換、株式移転、会社の分割又は合併
(vii) share exchange, share transfer, or split or merger of the company;
八 事業の全部又は一部の譲渡、譲受け、休止又は廃止
(viii) the transfer, acquisition, suspension, or discontinuation of the business in whole or in part;
九 配当に関する方針の重要な変更
(ix) important changes in the policy concerning dividend distribution;
十 資本金の増加又は減少に関する方針の重要な変更
(x) important changes in the policy concerning the increase in or reduction of the amount of stated capital;
十一 その発行する有価証券の取引所金融商品市場における上場の廃止又は店頭売買有価証券市場における登録の取消し
(xi) delisting from the Financial Instruments Exchange Market or the rescission of registration on the Over-the-Counter Securities Market of the Securities issued thereby;
十二 その発行する有価証券の取引所金融商品市場への上場又は店頭売買有価証券登録原簿への登録
(xii) listing on the Financial Instruments Exchange Market and registration in a Registry of Over-the-Counter Traded Securities of the Securities issued thereby; and
十三 その他前各号に準ずるものとして内閣府令で定める事項
(xiii) any other matter specified by Cabinet Office Order as being equivalent to what is set forth in the preceding items.
2 法第二十七条の二十六第三項に規定する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は、次のいずれかとする。
(2) The combinations of two or more days of each month designated pursuant to the provisions of Cabinet Order, referred to in Article 27-26, paragraph (3) of the Act, are any of the following:
一 各月の第二月曜日及び第四月曜日(第五月曜日がある場合にあつては、第二月曜日、第四月曜日及び第五月曜日とする。)
(i) the second and forth Monday of each month (if there is a fifth Monday, this means the second, fourth and fifth Monday); or
二 各月の十五日及び末日(これらの日が土曜日に当たるときはその前日とし、これらの日が日曜日に当たるときはその前々日とする。)
(ii) the fifteenth and last day of each month (if those days fall on a Saturday, this means the previous day thereto, and if those days fall on a Sunday, this means the day two days before).
3 法第二十七条の二十六第四項及び第五項に規定する政令で定める期間は、当該百分の五を超えることとなつた日又は当該増加した日以後最初に到来する基準日(同条第三項に規定する基準日をいう。)の五日(行政機関の休日の日数は、算入しない。)後までの期間とする。
(3) The period specified by Cabinet Order that is provided for in Article 27-26, paragraphs (4) and (5) of the Act is the period until five days (not counting any Non-Business Days of Administrative Organs) have elapsed from the first Reference Date (meaning the Reference Date set forth in Article 27-26, paragraph (3) of the Act) that arrives on or after the day on which the Holding Ratio of Share Certificates, etc. has exceeded five percent or the date of the increase.
(上場株券等に準ずる株券等)
(Share Certificates Equivalent to Listed Share Certificates)
第十四条の九 法第二十七条の二十七第二号(法第二十七条の二十九第二項において準用する場合を含む。以下この条において同じ。)に規定する政令で定める株券等は、店頭売買有価証券に該当する株券等とし、同号及び法第二十七条の二十八第二項(法第二十七条の二十九第二項において準用する場合を含む。)に規定する政令で定める認可金融商品取引業協会は、当該株券等を登録する認可金融商品取引業協会とする。
Article 14-9 The Share Certificates, etc. specified by Cabinet Order that are provided for in Article 27-27, item (ii) of the Act (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2) of the Act; hereinafter the same applies in this Article) are Share Certificates, etc. that fall under the category of Over-the-Counter Traded Securities; and the Authorized Financial Instruments Firms Association specified by Cabinet Order that is provided for in Article 27-27, item (ii) and Article 27-28, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2) of the Act) is the Authorized Financial Instruments Firms Associations that registers the Share Certificates, etc.
第三章の三 開示用電子情報処理組織による手続の特例等
Chapter III-3 Special Rules on Procedures Undertaken Using an Electronic Data Processing System for Disclosure
(開示用電子情報処理組織を使用して行う電子開示手続又は任意電子開示手続の方法等)
(Means of Undertaking Electronic Disclosure Procedures or Discretionary Electronic Disclosure Procedures Using an Electronic Data Processing System for Disclosure)
第十四条の十 法第二十七条の三十の三第一項又は第二項の規定により開示用電子情報処理組織を使用して電子開示手続(法第二十七条の三十の二に規定する電子開示手続をいう。以下この条及び次条において同じ。)又は任意電子開示手続(法第二十七条の三十の二に規定する任意電子開示手続をいう。以下この条及び次条において同じ。)を行う者は、内閣府令で定めるところにより、電子開示手続又は任意電子開示手続を文書をもつて行う場合に記載すべきこととされている事項を金融庁長官が定める技術的基準に適合する入出力装置により入力して行わなければならない。
Article 14-10 (1) A person that carries out Electronic Disclosure Procedures (meaning the Electronic Disclosure Procedures defined in Article 27-30-2 of the Act; hereinafter the same applies in this Article and the following Article) or Discretionary Electronic Disclosure Procedures (meaning the Discretionary Electronic Disclosure Procedures defined in Article 27-30-2 of the Act; hereinafter the same applies in this Article and the following Article) using an Electronic Data Processing System for Disclosure under Article 27-30-3, paragraph (1) or (2) of the Act must, pursuant to the provisions of Cabinet Office Order, carry out those procedures by inputting the particulars that are required to be stated in written documents when Electronic Disclosure Procedures or Discretionary Electronic Disclosure Procedures are carried out in writing, through an input-output device which complies with the technical standards specified by the Commissioner of the Financial Services Agency.
2 前項の電子開示手続又は任意電子開示手続を行う者は、内閣府令で定めるところにより、あらかじめ金融庁長官に届け出るとともに、当該者に係る定款その他の書類を提出しなければならない。ただし、この項の規定により既に届出を行つた者が、内閣府令で定めるところにより定期的に定款その他の書類を提出している場合その他内閣府令で定めるときは、この限りでない。
(2) A person that carries out Electronic Disclosure Procedures or Discretionary Electronic Disclosure Procedures as referred to in the preceding paragraph must, pursuant to the provisions of Cabinet Office Order, notify the Commissioner of the Financial Services Agency to that effect in advance, and submit its articles of incorporation and other documents; provided, however, that this does not apply if the person that has already made the notification under this paragraph periodically submits the articles of incorporation and other documents pursuant to the provisions of Cabinet Office Order and to other cases specified by Cabinet Office Order.
(磁気ディスクの提出による電子開示手続又は任意電子開示手続の方法等)
(Means for Electronic Disclosure Procedures or Discretionary Electronic Disclosure Procedures by Submission of Magnetic Discs)
第十四条の十一 法第二十七条の三十の四第一項又は第二項の規定により磁気ディスク(これに準ずる方法により一定の事項を確実に記録しておくことができる物を含む。以下この条において同じ。)の提出による電子開示手続又は任意電子開示手続を行うための金融庁長官の承認を得ようとする者は、内閣府令で定めるところにより、磁気ディスクを提出する理由その他内閣府令で定める事項を記載した書面を金融庁長官に提出しなければならない。
Article 14-11 (1) A person that seeks approval from the Commissioner of the Financial Services Agency to carry out Electronic Disclosure Procedures or Discretionary Electronic Disclosure Procedures through the submission of a magnetic disc (including any object with an equivalent means of reliably storing fixed sets of data; hereinafter the same applies in this Article) under the provisions of Article 27-30-4, paragraph (1) or (2) of the Act must, pursuant to the provisions of Cabinet Office Order, submit documents containing the reasons for submitting a magnetic disc and other particulars specified by Cabinet Office Order to the Commissioner of the Financial Services Agency.
2 前項の承認を得て磁気ディスクの提出を行う者は、内閣府令で定めるところにより、電子開示手続又は任意電子開示手続を文書をもつて行う場合に記載すべきこととされている事項を金融庁長官が定める技術的基準に適合する磁気ディスクに記録して金融庁長官に提出しなければならない。
(2) A person that submits a magnetic disc with the approval referred to in the preceding paragraph must, pursuant to the provisions of Cabinet Office Order, record the particulars that it is established must be stated in written documents when Electronic Disclosure Procedures or Discretionary Electronic Disclosure Procedures are carried out in writing, in a magnetic disc that complies with the technical standards specified by the Commissioner of the Financial Services Agency and submit it to thereto.
(開示用電子情報処理組織を使用して行う電子開示手続の適用除外)
(Exemptions on Electronic Disclosure Procedures by Use of Electronic Data Processing System for Disclosure)
第十四条の十一の二 法第二十七条の三十の五第一項第一号に規定する政令で定める事由は、電力の供給が断たれた場合その他の理由により、法第二十七条の三十の二の電子計算機を稼働させることができないこととする。
Article 14-11-2 The causes specified by Cabinet Order that are provided for in Article 27-30-5, paragraph (1), item (i) of the Act are the case of impossibility of the operation of the electronic data processing system which links via telecommunications line the computers referred to in Article 27-30-2 of the Act, in cases of a cut off of the power supply or any other reason.
(金融庁長官の公衆縦覧の方法)
(Means of Public Inspection by the Commissioner of the Financial Services Agency)
第十四条の十二 金融庁長官は、ファイルに記録されている事項を法第二十七条の三十の七第一項の規定により公衆の縦覧に供する場合においては、当該事項を財務局及び福岡財務支局においてその使用に係る電子計算機の入出力装置の映像面に表示して公衆の縦覧に供するものとする。
Article 14-12 When making the particulars that have been recorded in a file available for public inspection pursuant to the provisions of Article 27-30-7, paragraph (1) of the Act, the Commissioner of the Financial Services Agency is to make those particulars available for public inspection by causing them to be displayed at finance bureaus and the Fukuoka Local Finance Branch Bureau on the screens of input/output devices of computers they use.
(金融商品取引所等の公衆縦覧の方法)
(Means of Public Inspection by a Financial Instruments Exchange)
第十四条の十三 金融商品取引所及び第三条に規定する認可金融商品取引業協会は、通知を受けた事項を法第二十七条の三十の八第一項の規定により公衆の縦覧に供する場合においては、当該事項をその事務所においてその使用に係る電子計算機の入出力装置の映像面に表示して公衆の縦覧に供するものとする。
Article 14-13 When making the particulars of which it has been notified available for public inspection pursuant to the provisions of Article 27-30-8, paragraph (1) of the Act, a Financial Instruments Exchange or an Authorized Financial Instruments Firms Association as set forth in Article 3 is to make those particulars available for public inspection by causing them to be displayed at their offices on the screens of input/output devices of computers they use.
第三章の四 特定証券情報等の提供又は公表
Chapter III-4 Provision or Publication of Specified Information on Securities
(特定証券情報の提供又は公表を要しない場合)
(Cases in Which Specified Information on Securities Need Not Be Provided or Publicized)
第十四条の十四 法第二十七条の三十一第一項に規定する政令で定める場合は、五十名未満の者を相手方として行う場合とする。
Article 14-14 The case specified by Cabinet Order that is provided for in Article 27-31, paragraph (1) of the Act is the case in which solicitation is made to less than fifty persons.
第三章の五 重要情報の公表
Chapter III-5 Disclosure of Material Information
(上場会社等の有価証券から除くもの)
(Securities Excluded from Consideration as the Securities of a Listed Company)
第十四条の十五 法第二十七条の三十六第一項に規定する有価証券から除くものとして政令で定めるものは、次に掲げる有価証券とする。
Article 14-15 The Securities specified by Cabinet Order as being excluded from consideration as Securities, as provided in Article 27-36, paragraph (1) of the Act, are the following Securities:
一 法第二条第一項第五号に掲げる有価証券のうち当該有価証券の発行により得られる金銭をもつて資産を取得し、当該資産の管理及び処分により得られる金銭をもつて当該有価証券の債務が履行されることとなる有価証券として内閣府令で定めるもの
(i) among the Securities set forth in Article 2, paragraph (1), item (v) of the Act, those specified by Cabinet Office Order as the Securities by which assets are acquired by money obtained from the issuance of those Securities and the obligations of those Securities are performed by money obtained from the administration and disposition of those assets; and
二 法第二条第一項第十一号に掲げる有価証券のうち次に掲げる者が発行者であるもの以外のもの
(ii) among the Securities set forth in Article 2, paragraph (1), item (xi), those issued by persons other than the following:
イ その資産の総額の百分の五十を超える額を不動産その他の内閣府令で定める資産に対する投資として運用することを規約に定めた投資法人(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をいう。以下この号及び第十四条の十七第六号において同じ。)
(a) an Investment Corporation (meaning an Investment Corporation as prescribed in Article 2, paragraph (12) of the Act on Investment Trusts and Investment Corporations; hereinafter the same applies in this item and Article 14-17, item (vi)) which provides in its certificate of incorporation that it is to invest an amount exceeding 50 percent of the total amount of its assets in real property or any other assets specified by Cabinet Office Order;
ロ その資産の総額のうちに占めるイに規定する内閣府令で定める資産の価額の合計額の割合が百分の五十を超える投資法人として内閣府令で定めるもの
(b) that specified by Cabinet Office Order as an Investment Corporation wherein the total value of the assets specified by Cabinet Office Order, referred to in (a), accounts for more than 50 percent of the total amount of its assets; or
ハ イ又はロに掲げる投資法人に類する外国投資法人
(c) a Foreign Investment Corporation that is similar to an Investment Corporation as set forth in (a) or (b).
(その発行者が上場会社等となる有価証券の範囲)
(Scope of Securities Whose Issuer Comes to Be a Listed Company)
第十四条の十六 法第二十七条の三十六第一項に規定する法第二条第一項第五号、第七号、第九号又は第十一号に掲げる有価証券(前条各号に掲げるものを除く。)で金融商品取引所に上場されているもの又は店頭売買有価証券に該当するものその他の政令で定める有価証券は、次に掲げるものとする。
Article 14-16 The Securities set forth in Article 2, paragraph (1), item (v), (vii), (ix) or (xi) of the Act (excluding those set forth in the items of the preceding Article) which are listed on a Financial Instruments Exchange or Securities falling under the category of Over-the-Counter Traded Securities or any other Securities specified by Cabinet Order that are provided for in Article 27-36, paragraph (1) of the Act are as follows:
一 法第二条第一項第五号、第七号、第九号又は第十一号に掲げる有価証券(前条各号に掲げるもの及び同項第十一号に掲げる外国投資証券を除く。次号において同じ。)で、金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券(法第六十七条の十八第四号に規定する取扱有価証券をいう。以下同じ。)に該当するもの
(i) the Securities set forth in Article 2, paragraph (1), item (v), (vii),(ix) or (xi) of the Act (excluding those set forth in the items of the preceding Article and the foreign investment securities set forth in Article 2, paragraph (1), item (xi) of the Act; hereinafter the same applies in the following item) which are listed on a Financial Instruments Exchange or which fall under the category of Over-the-Counter Traded Securities or Tradable Securities (meaning the tradable securities prescribed in Article 67-18, item (iv) of the Act; the same applies hereinafter);
二 法第二条第一項第五号、第七号、第九号又は第十一号に掲げる有価証券(前号に掲げるものを除く。)を受託有価証券とする有価証券信託受益証券で、金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券に該当するもの
(ii) a Beneficiary Certificate of Securities in Trust of which the Entrusted Securities are the Securities set forth in Article 2, paragraph (1), item (v), (vii),(ix) or (xi) of the Act (excluding those set forth in the preceding item), which are listed on a Financial Instruments Exchange or fall under the category of Over-the-Counter Traded Securities or Tradable Securities;
三 外国の者の発行する証券若しくは証書のうち法第二条第一項第五号、第七号若しくは第九号に掲げる有価証券(前条第一号に掲げるものを除く。以下この条において同じ。)の性質を有するもの又は同項第十一号に掲げる外国投資証券(前条第二号に掲げるものを除く。以下この条において同じ。)で、金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券に該当するもの(指定外国金融商品取引所に上場されているものを除く。)
(iii) the instruments or certificates issued by a foreign person which have the nature of the Securities set forth in Article 2, paragraph (1), item (v), (vii) or (ix) of the Act (excluding those set forth in item (i) of the preceding Article; hereinafter the same applies in this Article) or the foreign investment securities set forth in Article 2, paragraph (1), item (xi) of the Act (excluding those set forth in item (ii) of the preceding Article; hereinafter the same applies in this Article), if these Securities are listed on a Financial Instruments Exchange or fall under the category of Over-the-Counter Traded Securities or Tradable Securities (excluding those listed on a Designated Foreign Financial Instruments Exchange);
四 外国の者の発行する証券若しくは証書のうち法第二条第一項第五号、第七号若しくは第九号に掲げる有価証券の性質を有するもの(前号に掲げるもの及び指定外国金融商品取引所に上場されているものを除く。)又は同項第十一号に掲げる外国投資証券(前号に掲げるもの及び指定外国金融商品取引所に上場されているものを除く。)を受託有価証券とする有価証券信託受益証券で、金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券に該当するもの
(iv) a Beneficiary Certificate of Securities in Trust of which the Entrusted Securities are the instruments or certificates issued by a foreign person which have the nature of the Securities set forth in Article 2, paragraph (1), item (v), (vii), or (ix) of the Act (excluding those set forth in the preceding item and those listed on a Designated Foreign Financial Instruments Exchange) or the foreign investment securities set forth in Article 2, paragraph (1), item (xi) of the Act (excluding those set forth in the preceding item and those listed on a Designated Foreign Financial Instruments Exchange), if these Securities are listed on a Financial Instruments Exchange or fall under the category of Over-the-Counter Traded Securities or Tradable Securities; and
五 外国の者の発行する証券若しくは証書のうち法第二条第一項第五号、第七号若しくは第九号に掲げる有価証券の性質を有するもの(第三号に掲げるもの、指定外国金融商品取引所に上場されているもの及び前号に掲げる有価証券信託受益証券の受託有価証券であるものを除く。)又は同項第十一号に掲げる外国投資証券(第三号に掲げるもの、指定外国金融商品取引所に上場されているもの及び前号に掲げる有価証券信託受益証券の受託有価証券であるものを除く。)の預託を受けた者が当該証券若しくは証書又は当該外国投資証券の発行された国以外の国において発行する証券又は証書で、当該預託を受けた証券若しくは証書又は外国投資証券に係る権利を表示するもののうち、金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券に該当するもの
(v) instruments or certificates issued by a person to which the instruments or certificates issued by a foreign person which have the nature of the Securities set forth in Article 2, paragraph (1), item (v), (vii), or (ix) of the Act (excluding those set forth in item (iii), those listed on a Designated Foreign Financial Instruments Exchange, and those that are the Entrusted Securities of the Beneficiary Certificates of Securities in Trust as set forth in the preceding item) or the foreign investment securities set forth in Article 2, paragraph (1), item (xi) of the Act (excluding those set forth in item (iii), those listed on a Designated Foreign Financial Instruments Exchange, and those that are the Entrusted Securities of the Beneficiary Certificates of Securities in Trust as set forth in the preceding item) have been deposited in a state other than the state wherein the deposited instruments or certificates or foreign investment securities had been issued, and among those that indicate rights associated with deposited instruments or certificates or foreign investment securities, those listed on a Financial Instruments Exchange or fall under the category of Over-the-Counter Traded Securities or Tradable Securities.
(上場有価証券等の範囲)
(Scope of Listed Securities)
第十四条の十七 法第二十七条の三十六第一項ただし書に規定する当該上場会社等の法第二条第一項第五号、第七号、第九号又は第十一号に掲げる有価証券(第十四条の十五各号に掲げるものを除く。)、これらの有価証券に係るオプションを表示する同項第十九号に掲げる有価証券その他の政令で定める有価証券は、次に掲げるものとする。
Article 14-17 Securities as set forth in Article 2, paragraph (1), item (v), (vii), (ix), or (xi) of the Act (excluding those set forth in the items of Article 14-15), Securities as set forth in item (xix) of that paragraph that indicate Options on the aforementioned Securities, or other Securities specified by Cabinet Order of a Listed Company, etc., as provided in the proviso to Article 27-36, paragraph (1) of the Act, are as follows:
一 当該上場会社等の法第二条第一項第五号、第七号、第九号又は第十一号に掲げる有価証券(第十四条の十五各号に掲げるもの及び同項第十一号に掲げる外国投資証券を除く。)
(i) Securities as set forth in Article 2, paragraph (1), item (v), (vii), (ix), or (xi) of a Listed Company, etc. (excluding those set forth in the items of Article 14-15 and the Foreign Investment Securities set forth in item (xi) of that paragraph);
二 外国の者である当該上場会社等の発行する証券若しくは証書のうち法第二条第一項第五号、第七号若しくは第九号に掲げる有価証券(第十四条の十五第一号に掲げるものを除く。次号及び第四号において同じ。)の性質を有するもの又は当該上場会社等の同項第十一号に掲げる外国投資証券(第十四条の十五第二号に掲げるものを除く。次号及び第四号において同じ。)で、金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券に該当するもの
(ii) instruments or certificates issued by a Listed Company, etc. that is a foreign person which have the nature of the Securities set forth in Article 2, paragraph (1), item (v), (vii) or (ix) of the Act (excluding those set forth in Article 14-15, item (i); the same applies in the following item and item (iv)) or foreign investment securities as set forth in item (xi) of that paragraph of a Listed Company, etc. (excluding those set forth in Article 14-15, item (ii); the same applies in the following item and item (iv)), if these Securities are listed on a Financial Instruments Exchange or fall under the category of Over-the-Counter Traded Securities or Tradable Securities;
三 外国の者である当該上場会社等の発行する証券若しくは証書のうち法第二条第一項第五号、第七号若しくは第九号に掲げる有価証券の性質を有するもの(前号に掲げるものを除く。)又は当該上場会社等の同項第十一号に掲げる外国投資証券(前号に掲げるものを除く。)で、これらの有価証券を受託有価証券とする有価証券信託受益証券が金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券に該当するもの
(iii) instruments or certificates issued by a Listed Company, etc. that is a foreign person which have the nature of the Securities set forth in Article 2, paragraph (1), item (v), (vii) or (ix) of the Act (excluding those set forth in the preceding item) or foreign investment securities as set forth in item (xi) of that paragraph of a Listed Company, etc. (excluding those set forth in the preceding item), if the Beneficiary Certificates of Securities in Trust for which the Entrusted Securities constitute any such Securities are listed on a Financial Instruments Exchange or fall under the category of Over-the-Counter Traded Securities or Tradable Securities;
四 外国の者である当該上場会社等の発行する証券若しくは証書のうち法第二条第一項第五号、第七号若しくは第九号に掲げる有価証券の性質を有するもの(前二号に掲げるものを除く。)又は当該上場会社等の同項第十一号に掲げる外国投資証券(前二号に掲げるものを除く。)で、これらに係る権利を表示する同項第二十号に掲げる有価証券が金融商品取引所に上場されており、又は店頭売買有価証券若しくは取扱有価証券に該当するもの
(iv) instruments or certificates issued by a Listed Company, etc. that is a foreign person which have the nature of the Securities set forth in Article 2, paragraph (1), item (v), (vii) or (ix) of the Act (excluding those set forth in the preceding two items) or foreign investment securities as set forth in item (xi) of that paragraph of a Listed Company, etc. (excluding those set forth in the preceding two items), if the Securities set forth in item (xx) of that paragraph that indicate rights associated with the relevant Securities are listed on a Financial Instruments Exchange or fall under the category of Over-the-Counter Traded Securities or Tradable Securities;
五 法第二条第一項第十号に掲げる有価証券で、信託財産を当該上場会社等の前各号に掲げる有価証券(以下この条において「対象有価証券」という。)のみに対する投資として運用することを信託約款に定めた投資信託(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。)又はこれに類する外国投資信託(同法第二条第二十四項に規定する外国投資信託をいう。以下同じ。)に係るもの
(v) Securities as set forth in Article 2, paragraph (1), item (x) of the Act which are related to an Investment Trust (meaning an Investment Trust as defined in Article 2, paragraph (3) of the Act on Investment Trusts and Investment Corporations; the same applies hereinafter) or a Foreign Investment Trust (meaning a Foreign Investment Trust as prescribed in Article 2, paragraph (24) of that Act; the same applies hereinafter) similar thereto which provides in the basic terms and conditions of the trust contract that the trust property is only to be invested in Securities as set forth in the preceding items of a Listed Company, etc. (hereinafter referred to as "Subject Securities" in this Article);
六 法第二条第一項第十一号に掲げる有価証券で、資産を当該上場会社等の対象有価証券のみに対する投資として運用することを規約に定めた投資法人又はこれに類する外国投資法人の発行するもの
(vi) Securities as set forth in Article 2, paragraph (1), item (xi) of the Act which are issued by an Investment Corporation or by a Foreign Investment Corporation similar thereto which provides in its certificate of incorporation that the assets are only to be invested in Subject Securities of a Listed Company, etc.;
七 法第二条第一項第十九号に掲げる有価証券で、当該上場会社等の対象有価証券に係るオプションを表示するもの
(vii) Securities as set forth in Article 2, paragraph (1), item (xix) of the Act that indicate Options on Subject Securities of a Listed Company, etc.;
八 法第二条第一項第二十号に掲げる有価証券で、当該上場会社等の対象有価証券に係る権利を表示するもの
(viii) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with Subject Securities of a Listed Company, etc.;
九 有価証券信託受益証券で、当該上場会社等の対象有価証券を受託有価証券とするもの
(ix) Beneficiary Certificates of Securities in Trust of which the Entrusted Securities are Subject Securities of a Listed Company, etc.;
十 当該上場会社等以外の会社の発行する社債券(新株予約権付社債券を除く。)で、当該上場会社等の対象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(社債券を保有する者が当該社債券の発行会社に対し、対象有価証券による償還をさせることができる権利を有しているものに限る。)
(x) corporate bond certificates (excluding corporate bond certificates with share options) issued by a company other than a Listed Company, etc. with a special provision that allows the redemption of those corporate bond certificates through Subject Securities of a Listed Company, etc. (limited to those in connection with which the person that holds the corporate bond certificates has the right to have the issuer company of those corporate bond certificates redeem those corporate bond certificates through Subject Securities); and
十一 外国の者の発行する証券又は証書で前号に掲げる有価証券の性質を有するもの
(xi) instruments or certificates issued by a foreign person which have the nature of Securities as set forth in the preceding item.
第四章 金融商品取引業者等
Chapter IV Financial Instruments Business Operators
(幹事会社となる有価証券の元引受け)
(Underwriting of Securities Constituting a Managing Underwriter)
第十五条 法第二十八条第一項第三号イに規定する政令で定めるものは、元引受契約(有価証券の募集若しくは売出し又は特定投資家向け取得勧誘(法第四条第三項第一号に規定する特定投資家向け取得勧誘をいう。以下同じ。)若しくは特定投資家向け売付け勧誘等(法第二条第六項に規定する特定投資家向け売付け勧誘等をいう。以下同じ。)に際して締結する次の各号のいずれかの契約をいう。)の締結に際し、有価証券の発行者又は所有者(金融商品取引業者及び登録金融機関(法第二条第十一項に規定する登録金融機関をいう。以下同じ。)を除く。以下この条及び第十七条の三第三号において同じ。)と当該元引受契約の内容を確定するための協議を行うもので内閣府令で定めるものとする。
Article 15 The Underwriting of Securities specified by Cabinet Order that is provided for in Article 28, paragraph (1), item (iii), (a) of the Act is that for which discussions are held with the issuer or holder (excluding a Financial Instruments Business Operator and Registered Financial Institution (meaning a Registered Financial Institution as set forth in Article 2, paragraph (11) of the Act; the same applies hereinafter); hereinafter the same applies in this Article and Article 17-3, item (iii)) of the Securities for fixing the contents of the Wholesale Underwriting Contract (meaning any of the contracts set forth in the following items concluded for a Public Offering or Secondary Distribution of Securities, Exclusive Solicitation of Offers to Acquire Targeting Professional Investors (meaning the Exclusive Solicitation of Offers to Acquire Targeting Professional Investors set forth in Article 4, paragraph (3), item (i) of the Act; the same applies hereinafter), or Offer to Sell, etc. Only for Professional Investors (meaning the Offer to Sell, etc. Only for Professional Investors set forth in Article 2, paragraph (6) of the Act; the same applies hereinafter)) upon the conclusion of that Underwriting Contract, and which are specified by Cabinet Office Order:
一 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から取得することを内容とする契約
(i) a contract wherein the relevant party will acquire the Securities in whole or in part from the issuer or the holder of those Securities for the purpose of having those Securities acquired by other persons;
二 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
(ii) a contract wherein, if there are no persons to acquire the Securities in whole or in part, the Underwriter will acquire the remaining Securities from the issuer or holder of the Securities; and
三 当該有価証券が新株予約権証券(法第二十八条第七項第三号に規定する新株予約権証券をいう。以下この号及び第十七条の三第三号ハにおいて同じ。)である場合において、当該新株予約権証券を取得した者が当該新株予約権証券の全部又は一部につき新株予約権(同項第三号に規定する新株予約権をいう。以下この号及び同条第三号ハにおいて同じ。)を行使しないときに当該行使しない新株予約権に係る新株予約権証券を発行者又は所有者から取得して自己又は第三者が当該新株予約権を行使することを内容とする契約
(iii) a contract wherein, if the Securities are share option certificates (meaning share option certificates set forth in Article 28, paragraph (7), item (iii) of the Act; hereinafter the same applies in this item and Article 17-3, item (iii), (c)) and the person that has acquired them does not exercise the share options (meaning the share option set forth in Article 28, paragraph (7), item (iii) of the Act; hereinafter the same applies in this item and Article 17-3, item (iii), (c)) associated with all or some of them, the relevant party will acquire the share option certificates associated with the unexercised share options from the issuer or holder thereof and that party or a third party is to exercise those share options.
(差金決済の原因となる行為)
(Acts to Be the Cause of Cash Settlement)
第十五条の二 法第二十八条第八項第四号イに規定する政令で定める行為は、金融商品市場及び外国金融商品市場によらないで、将来の一定の時期において有価証券及びその対価の授受を約する売買に関し、当該売買の当事者がその売買契約を解除する行為とする。
Article 15-2 The acts specified by Cabinet Order that are provided for in Article 28, paragraph (8), item (iv), (a) of the Act are, with regard to purchase and sale wherein the parties thereto promise to deliver and take delivery of a Security and its value at a fixed time in the future without recourse to a Financial Instruments Market or a Foreign Financial Instruments Market, the act of cancellation of the purchase and sale contract by the parties thereto.
(有価証券関連業となる有価証券等清算取次ぎの対象取引)
(Subject Transactions of Brokerage for Clearing of Securities Which Are Securities Services)
第十五条の三 法第二十八条第八項第七号に規定する政令で定める取引は、次に掲げるものとする。
Article 15-3 The other transactions specified by Cabinet Order that are provided for in Article 28, paragraph (8), item (vii) of the Act are as follows:
一 信用取引等(信用取引若しくは金融商品取引業者が自己の計算において行う有価証券の売買若しくは有価証券関連市場デリバティブ取引(法第二十八条第八項第三号に掲げる取引をいう。以下同じ。)又は有価証券等清算取次ぎ(信用取引又は金融商品取引業者が自己の計算において行う有価証券の売買若しくは有価証券関連市場デリバティブ取引に係るものに限る。)をいう。次号において同じ。)の決済に必要な金銭の貸借(証券金融会社による貸付けに係るものに限る。)
(i) the lending and borrowing of the money needed to settle a Margin Transaction, etc. (meaning a Margin Transaction, purchase and sale of Securities, or Securities-Related Market Transaction of Derivatives (meaning the transactions set forth in Article 28, paragraph (8), item (iii) of the Act; the same applies hereinafter) made on a Financial Instruments Business Operator's own account, or Brokerage for Clearing of Securities, etc. (limited to that related to a Margin Transaction, purchase and sale of Securities, or Securities-Related Market Transaction of Derivatives made on a Financial Instruments Business Operator's own account); the same applies in the following item) (limited to an instance of lending and borrowing in which the lending is done by a Securities Finance Company);
二 有価証券の貸借(信用取引等の決済に必要な有価証券を取引所金融商品市場又は店頭売買有価証券市場の決済機構を利用して証券金融会社以外の者が貸し付ける場合にあつては、取引所金融商品市場又は店頭売買有価証券市場によらないで行われる信用取引等に係る貸付けに限る。)
(ii) the lending and borrowing of Securities (if a person other than a Securities Finance Company loans the Securities necessary for the settlement of a Margin Transaction, etc. by utilizing the clearing systems of a Financial Instruments Exchange Market or Over-the-Counter Securities Market, this is limited to lending associated with a Margin Transaction, etc. undertaken without recourse to a Financial Instruments Exchange Market or an Over-the-Counter Securities Market);
三 前二号に掲げる取引に係る担保の授受
(iii) the delivery and receipt of collateral for the transactions set forth in the preceding two items;
四 証券投資信託の設定、証券投資信託の元本の一部の償還又は証券投資信託の受益証券と上場有価証券等との交換に係る受益証券又は金銭等の授受
(iv) the payment and receipt of beneficiary certificates or Money, etc. with regard to the establishment of a Securities Investment Trust, the redemption of a part of the principal of a Securities Investment Trust, or the exchange between beneficiary certificates of a Securities Investment Trust and Listed Securities, etc.; and
五 前三号に掲げるもののほか、有価証券の売買、有価証券関連デリバティブ取引(法第二十八条第八項第六号に規定する有価証券関連デリバティブ取引をいう。以下同じ。)又は前各号に掲げる取引に基づく債務を履行するために行う有価証券又は金銭の授受
(v) beyond what is set forth in the preceding three items, the delivery or payment and receipt of Securities or money, made for the performance of obligations arisen from the purchase and sale of Securities, Transactions of Securities-Related Derivatives (meaning the Transactions of Securities-Related Derivatives set forth in Article 28, paragraph (8), item (vi) of the Act; the same applies hereinafter), or the transactions set forth in the preceding items.
(登録の申請又は届出に係る使用人)
(Employees Related to the Application for Registration or Notification)
第十五条の四 法第二十九条の二第一項第四号並びに第二十九条の四第一項第二号及び第三号に規定する政令で定める使用人は、次の各号のいずれかに該当する使用人とする。
Article 15-4 The employee specified by Cabinet Order that is provided for in Article 29-2, paragraph (1), item (iv) and Article 29-4, paragraph (1), items (ii) and (iii) of the Act is an employee that falls under any of the following items:
一 金融商品取引業に関し、法令等(法令、法令に基づく行政官庁の処分又は定款その他の規則をいう。第十七条の十三第一号において同じ。)を遵守させるための指導に関する業務を統括する者その他これに準ずる者として内閣府令で定める者
(i) a person that supervises the function of providing guidance to ensure that Laws and Regulations, etc. (meaning laws and regulations, dispositions of a government agency given under laws and regulations, the articles of incorporation, or any other rules; the same applies in Article 17-13, item (i)) are observed with regard to a Financial Instruments Business, or any other person specified by Cabinet Office Order as being equivalent thereto;
二 投資助言業務(法第二十八条第六項に規定する投資助言業務をいう。以下同じ。)又は投資運用業(同条第四項に規定する投資運用業をいう。以下同じ。)に関し、助言又は運用(その指図を含む。)を行う部門を統括する者その他これに準ずる者として内閣府令で定める者
(ii) a person that supervises the section which gives advice or makes investments (including the orders given therefor) with regard to Investment Advisory Business (meaning an Investment Advisory Business as prescribed in Article 28, paragraph (6) of the Act; the same applies hereinafter) or Investment Management Business (meaning the Investment Management Business set forth in Article 28, paragraph (4) of the Act; the same applies hereinafter), or any other person specified by Cabinet Office Order as being equivalent thereto.
(登録申請書における電子募集取扱業務を行う旨の記載を要しない有価証券)
(Securities Not Requiring an Indication in a Written Application for Registration That the Relevant Person Will Provide Electronic Public Offering Services)
第十五条の四の二 法第二十九条の二第一項第六号に規定する政令で定めるものは、次に掲げる有価証券とする。
Article 15-4-2 The Securities specified by Cabinet Order that are provided for in Article 29-2, paragraph (1), item (vi) of the Act are the following Securities:
一 法第二条第一項第一号及び第二号に掲げる有価証券
(i) the Securities set forth in Article 2, paragraph (1), items (i) and (ii) of the Act;
二 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有価証券
(ii) Securities for which the government guarantees the redemption of the principal or the payment of interest;
三 第二条の十一に規定する有価証券
(iii) the Securities set forth in Article 2-1;
四 法第四条第一項から第三項までの規定による届出又は発行登録(法第二十三条の三第三項に規定する発行登録をいう。)が行われている有価証券
(iv) Securities for which a notification under Article 4, paragraphs (1) to (3) or a Shelf Registration (meaning the Self Registration prescribed in Article 23-3, paragraph (3) of the Act) has been made;
五 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(同項第二号に掲げる場合に限る。)における当該有価証券
(v) in a case in which disclosure has been made as prescribed in Article 4, paragraph (7) of the Act (limited to the case set forth in item (ii) of that paragraph) with regard to Securities, those Securities;
六 法第四条第一項第四号に該当する売出しに係る有価証券
(vi) Securities associated with a Secondary Distribution that falls under Article 4, paragraph (1), item (iv) of the Act; and
七 法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五号又は第六号に掲げる権利のうち、当該権利を有する者が出資又は拠出をした金銭その他の財産の価額の合計額の百分の五十を超える額を充てて金銭の貸付けを行う事業に係るもの
(vii) those of the rights set forth in Article 2, paragraph (2), item (v) or (vi) of the Act that are deemed to be Securities pursuant to that paragraph that are associated with the business of lending money by allocating an amount exceeding 50 percent of the total amount of money or other property invested or contributed by persons that hold the rights in question.
(持込資本金の額の計算)
(Calculation of the Amount of Brought-In Capital)
第十五条の五 法第二十九条の二第四項の持込資本金の額は、国内に持ち込む資産のうちに外国通貨をもつて金額を表示するものがある場合には、当該資産について外国為替相場(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。以下同じ。)により本邦通貨に換算し、合計して計算しなければならない。
Article 15-5 If assets brought into Japan include an amount indicated in a foreign currency, the total amount of Brought-in Capital referred to in Article 29-2, paragraph (4) of the Act must be calculated by converting the assets into Japanese currency using the Exchange Rate (meaning the basic exchange rate or the arbitrated exchange rate of a foreign currency set forth in Article 7, paragraph (1) of the Foreign Exchange and Foreign Trade Act; the same applies hereinafter).
(登録の基準となる法律の範囲)
(Scope of Acts That Give the Criteria for Registration)
第十五条の六 法第二十九条の四第一項第一号ハ及び第三十三条の五第一項第二号に規定する政令で定める法律は、次のとおりとする。
Article 15-6 The Acts specified by Cabinet Order that are provided for in Article 29-4, paragraph (1), item (i), (c) and Article 33-5, paragraph (1), item (ii) of the Act are as follows:
一 特許法(昭和三十四年法律第百二十一号)
(i) the Patent Act (Act No. 121 of 1959);
二 実用新案法(昭和三十四年法律第百二十三号)
(ii) the Utility Model Act (Act No. 123 of 1959);
三 意匠法(昭和三十四年法律第百二十五号)
(iii) the Design Act (Act No. 125 of 1959);
四 商標法(昭和三十四年法律第百二十七号)
(iv) the Trademark Act (Act No. 127 of 1959);
五 著作権法(昭和四十五年法律第四十八号)
(v) the Copyright Act (Act No. 48 of 1970);
六 半導体集積回路の回路配置に関する法律(昭和六十年法律第四十三号)
(vi) the Act on Layout-Design of Semiconductor Integrated Circuits (Act No. 43 of 1985);
七 金融機関等の更生手続の特例等に関する法律(平成八年法律第九十五号)
(vii) the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions (Act No. 95 of 1996);
八 種苗法(平成十年法律第八十三号)
(viii) the Plant Variety Protection and Seed Act (Act No. 83 of 1998);
九 民事再生法(平成十一年法律第二百二十五号)
(ix) the Civil Rehabilitation Act (Act No. 225 of 1999);
十 外国倒産処理手続の承認援助に関する法律(平成十二年法律第百二十九号)
(x) the Act on Recognition and Assistance for Foreign Insolvency Procedures (Act No. 129 of 2000);
十二 公益社団法人及び公益財団法人の認定等に関する法律(平成十八年法律第四十九号)
(xii) the Act on Authorization of Public Interest Incorporated Association and Public Interest Incorporated Foundation (Act No. 49 of 2006);
十三 会社更生法(平成十四年法律第百五十四号)
(xiii) the Corporate Reorganization Act (Act No. 54 of 2002);
十四 破産法(平成十六年法律第七十五号)
(xiv) the Bankruptcy Act (Act No. 75 of 2004); and
十五 会社法
(xv) the Companies Act.
(金融商品取引業者の最低資本金の額等)
(Minimum Amount of Stated Capital of a Financial Instruments Business Operator)
第十五条の七 法第二十九条の四第一項第四号イ(法第三十一条第五項において準用する場合を含む。)に規定する政令で定める金額は、次の各号に掲げる場合の区分に応じ、当該各号に定める金額とする。
Article 15-7 (1) The amount specified by Cabinet Order that is provided for in Article 29-4, paragraph (1), item (iv), (a) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) is the amount specified in the relevant of the following items for the category of case set forth in that item:
一 法第二十八条第一項第三号イに掲げる行為に係る業務を行おうとする場合 三十億円
(i) if a Financial Instruments Business Operator seeks to carry out business related to the acts set forth in Article 28, paragraph (1), item (iii), (a) of the Act: three billion yen;
二 法第二十八条第一項第三号ロに掲げる行為に係る業務を行おうとする場合(前号に掲げる場合を除く。) 五億円
(ii) if a Financial Instruments Business Operator seeks to carry out business related to the acts set forth in Article 28, paragraph (1), item (iii), (b) of the Act (excluding the case set forth in the preceding item): 500 million yen;
二の二 その店頭デリバティブ取引等の業務の用に供する電子情報処理組織を使用して特定店頭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。)若しくは代理を行おうとする場合(前二号に掲げる場合を除く。) 三億円
(ii)-2 if a Financial Instruments Business Operator seeks to carry out Specified Over-the-Counter Derivatives Transactions or intermediation, brokerage (excluding Brokerage for Clearing of Securities, etc.), or agency therefor using an electronic data processing system that it uses for its business of Over-the-Counter Derivatives Transactions, etc. (excluding the case set forth in the preceding two items): 300 million yen;
三 第一種金融商品取引業(第一種少額電子募集取扱業務(法第二十九条の四の二第十項に規定する第一種少額電子募集取扱業務をいう。以下同じ。)を除く。)を行おうとする場合(前三号に掲げる場合を除く。) 五千万円
(iii) if a Financial Instruments Business Operator seeks to carry out a Type I Financial Instruments Business (excluding a Type I Small Amount Electronic Public Offering Business (meaning the Type I Small Amount Electronic Public Offering Business set forth in Article 29-4-2, paragraph (10) of the Act; the same applies hereinafter)) (excluding the cases set forth in the preceding three items): 50 million yen;
四 投資運用業(適格投資家向け投資運用業(法第二十九条の五第一項に規定する適格投資家向け投資運用業をいう。以下同じ。)を除く。)を行おうとする場合(第一号から第二号の二までに掲げる場合を除く。) 五千万円
(iv) if a Financial Instruments Business Operator seeks to carry out an Investment Management Business (excluding an Investment Management Business for Qualified Investors (meaning the Investment Management Business for Qualified Investors set forth in Article 29-5, paragraph (1) of the Act; the same applies hereinafter)) (excluding the cases set forth in items (i) to (ii)-2): 50 million yen;
五 第二種金融商品取引業(法第二十八条第二項に規定する第二種金融商品取引業をいい、第二種少額電子募集取扱業務(法第二十九条の四の三第四項に規定する第二種少額電子募集取扱業務をいう。以下同じ。)を除く。)を行おうとする場合(前各号に掲げる場合を除く。) 千万円
(v) if a Financial Instruments Business Operator seeks to carry out a Type II Financial Instruments Business (meaning a Type II Financial Instruments Business set forth in Article 28, paragraph (2) of the Act and excluding a Type II Small Amount Electronic Public Offering Service (meaning a Type II Small Amount Electronic Public Offering Service set forth in Article 294-3, paragraph (4) of the Act; the same applies hereinafter)) (excluding the cases set forth in the preceding items): ten million yen;
六 第一種少額電子募集取扱業務を行おうとする場合(第一号から第四号までに掲げる場合を除く。) 千万円
(vi) if a Financial Instruments Business Operator seeks to carry out a Type I Small Amount Electronic Public Offering Service (excluding the cases set forth in items (i) to (iv)): ten million yen;
七 適格投資家向け投資運用業を行おうとする場合(第一号から第四号までに掲げる場合を除く。) 千万円
(vii) if a Financial Instruments Business Operator seeks to carry out an Investment Management Business for Qualified Investors (excluding the cases set forth in items (i) to (iii)): ten million yen; and
八 第二種少額電子募集取扱業務を行おうとする場合(前各号に掲げる場合を除く。) 五百万円
(viii) if a Financial Instruments Business Operator seeks to carry out a Type II Small Amount Electronic Public Offering Service (excluding the cases set forth in the preceding items): five million yen.
2 申請者が外国法人である場合において、法第二十九条の四第一項第四号イの資本金の額又は出資の総額を本邦通貨に換算するときは、法第二十九条の登録又は法第三十一条第四項の変更登録の申請の時における外国為替相場によるものとする。
(2) If an applicant is a foreign corporation and the amount of stated capital or the total amount of investment set forth in Article 29-4, paragraph (1), item (iv), (a) of the Act is to be converted into Japanese currency, the conversion is to be made by using the Exchange Rate at the time of registration under Article 29 of the Act, or at the time of the application for changes to the registration under Article 31, paragraph (4) of the Act.
(外国において第一種金融商品取引業と同種類の業務を行つている者に類するもの)
(Persons Similar to Those Engaged in the Same Type of Business as a Type 1 Financial Instruments Business in a Foreign State)
第十五条の八 法第二十九条の四第一項第五号イ(法第三十一条第五項において準用する場合を含む。)に規定する政令で定める者は、その発行済株式又は出資の持分の全部を所有している者が第一種金融商品取引業と同種類の業務を行つている者とする。
Article 15-8 The persons specified by Cabinet Order that are provided for in Article 29-4, paragraph (1), item (v), (a) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) are persons all of whose Issued Shares or equity in investment are held by persons engaged in the same type of business as Type 1 Financial Instruments Business.
(金融商品取引業者の最低純財産額)
(Minimum Net Assets of a Financial Instruments Business Operator)
第十五条の九 法第二十九条の四第一項第五号ロ(法第三十一条第五項において準用する場合を含む。)に規定する政令で定める金額は、第十五条の七第一項各号(第五号及び第八号を除く。)に掲げる場合の区分に応じ、当該各号に定める金額とする。
Article 15-9 (1) The amount specified by Cabinet Order that is provided for in Article 29-4, paragraph (1), item (v), (b) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) is the amount specified in the relevant of the items of Article 15-7, paragraph (1) (excluding items (v) and (viii)) for the category of case set forth in that item.
2 申請者が外国法人である場合において、法第二十九条の四第一項第五号ロの純財産額を本邦通貨に換算するときは、法第二十九条の登録又は法第三十一条第四項の変更登録の申請の時における外国為替相場によるものとする。
(2) If an applicant is a foreign corporation and the amount of Net Assets set forth in Article 29-4, paragraph (1), item (iv) of the Act is converted into Japanese currency, the conversion is to be made using the Exchange Rate at the time of registration under Article 29 of the Act, or at the time of the application for changes to the registration under Article 31, paragraph (4) of the Act.
(特別の関係)
(Special Relationship)
第十五条の十 法第二十九条の四第五項第二号(法第三十一条第五項及び第三十二条第五項において準用する場合を含む。)に規定する政令で定める特別の関係は、次の各号に掲げる者の区分に応じ、それぞれ当該各号に定める関係とする。
Article 15-10 (1) The special relationship specified by Cabinet Order that is provided for in Article 29-4, paragraph (5), item (ii) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) and Article 32, paragraph (5) of the Act) is the relationship specified in the relevant of the following items for the category of persons set forth in that item:
一 対象議決権(法第二十九条の四第二項に規定する対象議決権をいい、同条第五項(第二号に係る部分に限る。)の規定により保有しているものとみなされる対象議決権を除く。以下この号において同じ。)を保有している者又は被支配会社が対象議決権を保有している者 当該者と次に掲げる者との関係
(i) a person that holds Subject Voting Rights (meaning Subject Voting Rights as defined in Article 29-4, paragraph (2) of the Act and excluding Subject Voting Rights which are deemed to be held under the provisions of Article 29-4, paragraph (5) of the Act (limited to the part that involves item (ii)); hereinafter the same applies in this item) or a person whose Subject Voting Rights are held by a Controlled Company: the relationship between that person and the following persons:
イ 対象議決権をその者と共同で保有し、又は対象議決権をその者と共同で行使することを合意している者(第三項において「共同保有者」という。)
(a) a person that jointly holds Subject Voting Rights with that person, or that has agreed to jointly exercise Subject Voting Rights with that person (referred to as a "Joint Holder" in paragraph (3));
ロ その配偶者
(b) the person's spouse;
ハ その被支配会社
(c) the person's Controlled Company;
ニ その支配株主等
(d) the person's Controlling Shareholder, etc.; and
ホ その支配株主等の他の被支配会社
(e) another Controlled Company of the person's Controlling Shareholder, etc.;
二 前号に掲げる者以外の者 当該者と同号イ又はロに掲げる者との関係
(ii) persons other than those set forth in the preceding item: the relationship between that person and the persons set forth in (a) or (b) of that item.
2 前項第一号ニ及びホの「支配株主等」とは、会社の総株主等の議決権の百分の五十を超える議決権を保有している者をいい、同号の「被支配会社」とは、支配株主等により総株主等の議決権の百分の五十を超える議決権を保有されている会社をいう。この場合において、支配株主等とその被支配会社が合わせて他の会社の総株主等の議決権の百分の五十を超える議決権を保有しているときは、当該他の会社を当該支配株主等の被支配会社と、当該支配株主等を当該他の会社の支配株主等とそれぞれみなす。
(2) The term "Controlling Shareholder, etc." referred to in item (i), (d) and (e) of the preceding paragraph means a person that holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. of a company, and the term "Controlled Company" referred to in item (i) of the preceding paragraph means a company in which voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. are held by a Controlling Shareholder, etc. In this case, if a Controlling Shareholder, etc. and the Controlled Company thereof jointly hold voting rights that constitute over 50 percent of Voting Rights Held by All the Shareholders, etc. of another company, the other company is deemed to be the Controlled Company of the Controlling Shareholder, etc. and the Controlling Shareholder, etc. is deemed to be the Controlling Shareholder, etc. of the other company.
3 共同保有者と合わせて会社の総株主等の議決権の百分の五十を超える議決権を保有している者がある場合には、当該者をそれぞれ当該会社の支配株主等(前項に規定する支配株主等をいう。次項において同じ。)と、当該会社を当該者の被支配会社(前項に規定する被支配会社をいう。次項において同じ。)とそれぞれみなして、第一項の規定を適用する。
(3) If there is a person that, together with a Joint Holder, jointly holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. of a company, each of those persons is deemed to be a Controlling Shareholder, etc. (meaning a Controlling Shareholder, etc. as prescribed in the preceding paragraph; the same applies in the following paragraph) of the company, the company is deemed to be a Controlled Company (meaning a Controlled Company as prescribed in the preceding paragraph; the same applies in the following paragraph) of that person, and the provisions of paragraph (1) apply.
4 配偶者と合わせて会社の総株主等の議決権の百分の五十を超える議決権を保有している者がある場合には、当該者を当該会社の支配株主等と、当該会社を当該者の被支配会社とそれぞれみなして、第一項の規定を適用する。
(4) If there is a person that, together with that person's spouse, jointly holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. of a company, that person is deemed to be the Controlling Shareholder, etc. of that company, the company is deemed to be the Controlled Company of that person, and the provisions of paragraph (1) apply.
(第一種少額電子募集取扱業務及び第二種少額電子募集取扱業務において募集の取扱い等ができない有価証券)
(Securities for Which Handling of Public Offerings Cannot Be Carried Out in a Type I Small Amount Electronic Public Offering Business or a Type II Small Amount Electronic Public Offering Business)
第十五条の十の二 法第二十九条の四の二第十項に規定する政令で定めるものは、第十五条の四の二第四号及び第五号に掲げる有価証券とする。
Article 15-10-2 (1) The Securities specified by Cabinet Order that are provided for in Article 29-4-2, paragraph (10) of the Act are the Securities set forth in Article 15-4-2, items (iv) and (v) of the Act.
2 法第二十九条の四の三第四項に規定する政令で定めるものは、第二条の九第一項に規定する権利、第二条の十第一項第五号に掲げる権利及び第十五条の四の二第七号に掲げる権利とする。
(2) The Securities specified by Cabinet Order that are provided for in Article 29-4-3, paragraph (4) of the Act are the rights prescribed in Article 2-9, paragraph (1), the rights set forth in Article 2-10, paragraph (1), item (v), and the rights set forth in Article 15-4-2, item (vii).
(発行価額の総額及び有価証券を取得する者が払い込む額が少額である有価証券の募集の取扱い等)
(Handling of Public Offerings of Securities When the Total Issue Value and the Amount to Be Paid by Persons Acquiring the Securities Are Small)
第十五条の十の三 法第二十九条の四の二第十項及び第二十九条の四の三第四項に規定する政令で定める要件は、次に掲げるものとする。
Article 15-10-3 The requirements specified by Cabinet Order that are provided for in Article 29-4-2, paragraph (10) and Article 29-4-3, paragraph (4) of the Act are the following:
一 発行価額の総額として内閣府令で定める方法により算定される額が一億円未満であること。
(i) the amount calculated by the method specified by Cabinet Office Order as the total issue value is less than 100 million yen; and
二 取得する者が払い込む額として内閣府令で定める方法により算定される額が五十万円以下であること。
(ii) the amount calculated by the method specified by Cabinet Office Order as the amount to be paid by the person that acquires the Securities is 500,000 yen or less.
(適格投資家向け投資運用業における権利者の範囲)
(Scope of Rights Holders in Investment Management Business for Qualified Investors)
第十五条の十の四 法第二十九条の五第一項第一号に規定する政令で定める者は、次に掲げる者とする。
Article 15-10-4 The persons specified by Cabinet Order that are provided for in Article 29-5, paragraph (1), item (i) of the Act are the following persons:
一 法第二条第八項第十二号イに掲げる契約の相手方である登録投資法人(投資信託及び投資法人に関する法律第二条第十三項に規定する登録投資法人をいう。)の投資法人債権者(同法第百三十九条の三第一項第七号に規定する投資法人債権者をいう。)
(i) a Creditor of an Investment Corporation (meaning a Creditor of an Investment Corporation referred to in Article 139-3, paragraph (1), item (vii) of the Act on Investment Trusts and Investment Corporations) of a Registered Investment Corporation (meaning a Registered Investment Corporation referred to in Article 2, paragraph (13) of that Act) that is the counterparty to a contract set forth in Article 2, paragraph (8), item (xii), (a) of the Act; and
二 法第二条第八項第十二号ロに掲げる契約の相手方である外国投資法人の投資主(外国投資法人の社員をいう。)及び外国投資法人債権者(投資信託及び投資法人に関する法律に規定する外国投資証券で投資法人債券に類する証券に表示される権利を有する者をいう。)
(ii) an Investor (meaning an employee of a Foreign Investment Corporation) and a foreign Creditor of an Investment Corporation (meaning a person that holds the rights indicated on the Foreign Investment Securities as provided in the Act on Investment Trusts and Investment Corporations which are equivalent to the Investment Corporation Bond Certificates) that is the counterparty to a contract set forth in Article 2, paragraph (8), item (xii), (b) of the Act.
(適格投資家向け投資運用業における全ての運用財産の総額)
(Total Amount of All Investment Properties in Investment Management Business for Qualified Investors)
第十五条の十の五 法第二十九条の五第一項第二号に規定する政令で定める金額は、二百億円とする。
Article 15-10-5 The amount specified by Cabinet Order that is provided for in Article 29-5, paragraph (1), item (ii) of the Act is 20 billion yen.
(適格投資家以外の者に譲渡されるおそれが少ない私募の取扱い)
(Dealings in Private Placement Not Likely to Involve a Transfer to Persons Other Than Qualified Investors)
第十五条の十の六 法第二十九条の五第二項に規定する政令で定めるものは、当該有価証券の発行者と当該有価証券の取得勧誘に応じて当該有価証券を取得しようとする者(以下この条において「取得者」という。)との間及び当該取得勧誘を行う者と当該取得者との間において、当該取得者が取得した有価証券を適格投資家(法第二十九条の五第三項に規定する適格投資家をいう。)以外の者に譲渡を行わない旨その他の内閣府令で定める事項を定めた譲渡に係る契約を締結することを取得の条件として行われるものとする。
Article 15-10-6 The dealings in Private Placement specified by Cabinet Order that are provided for in Article 29-5, paragraph (2) of the Act are those undertaken in a way that makes the acquisition conditional upon the conclusion of a contract for transfer between the issuer of the Securities and the person that seeks to acquire the Securities in response to the Solicitation of Offers to Acquire them (hereinafter such a person is referred to as the "Acquirer" in this Article); as well as between the person that makes the Solicitation of Offers to Acquire and the Acquirer; which provides that the Acquirer will not transfer the Securities acquired thereby to a person other than a Qualified Institutional Investor (meaning a Qualified Institutional Investor as set forth in Article 29-5, paragraph (3) of the Act) and providing for any other particulars specified by Cabinet Office Order.
(金融商品取引業者と密接な関係を有する者)
(Persons Having a Close Relationship with a Financial Instruments Business Operator)
第十五条の十の七 法第二十九条の五第三項に規定する金融商品取引業者(法第二十九条の登録を受けようとする者を含む。)と密接な関係を有する者として政令で定める者は、次に掲げる者とする。
Article 15-10-7 The persons specified by Cabinet Order as being closely related to a Financial Instruments Business Operator (including a Financial Instruments Business Operator that seeks registration set forth in Article 29 of the Act), referred to in Article 29-5, paragraph (3) of the Act, are the following persons:
一 当該金融商品取引業者の役員(法第二十九条の二第一項第三号に規定する役員をいう。)
(i) an Officer (meaning an Officer set forth in Article 29-2, paragraph (1), item (iii) of the Act) of the Financial Instruments Business Operator;
二 当該金融商品取引業者の使用人
(ii) an employee of the Financial Instruments Business Operator;
三 当該金融商品取引業者の親会社等(第十五条の十六第三項に規定する親会社等をいう。)
(iii) the Parent Company, etc. (meaning a Parent Company, etc. set forth in Article 15-16, paragraph (3)) of the Financial Instruments Business Operator; and
四 前三号に掲げる者に準ずる者として内閣府令で定める者
(iv) the persons specified by Cabinet Office Order as being equivalent to the persons set forth in the preceding three items.
(投資事業に係る財産の運用を行う者)
(Persons Investing Assets in Connection with Investment Business)
第十五条の十の八 法第二十九条の五第四項第二号に規定する政令で定める者は、次に掲げる者とする。
Article 15-10-8 The persons specified by Cabinet Order that are provided for in Article 29-5, paragraph (4), item (ii) of the Act are the following persons:
一 金融商品取引業者等(投資運用業を行う者に限る。)
(i) a Financial Instruments Business Operator, etc. (limited to those that engage in Investment Management Business); and
二 外国の法令に準拠して設立された法人で外国において投資運用業を行う者(前号に掲げる者を除く。)
(ii) a corporation established under the laws and regulations of a foreign state, which is engaged in Investment Management Business in a foreign state (excluding those set forth in the preceding item).
(認可に係る最低資本金の額)
(Minimum Amount of Stated Capital for Authorization)
第十五条の十一 法第三十条の四第二号に規定する政令で定める金額は、三億円とする。
Article 15-11 (1) The amount specified by Cabinet Order that is provided for in Article 30-4, item (ii) of the Act is 300 million yen.
2 申請者が外国法人である場合において、法第三十条の四第二号の資本金の額及び同条第三号の純財産額を本邦通貨に換算するときは、法第三十条第一項の認可の申請の時における外国為替相場によるものとする。
(2) If an applicant is a foreign corporation and the amount of stated capital referred to in Article 30-4, item (ii) of the Act or the amount of Net Assets set forth in item (iii) of that paragraph is to be converted into Japanese currency, that conversion is made by using the Exchange Rate at the time of application for authorization under Article 30, paragraph (1) of the Act.
(営業保証金の額)
(Amount of Deposit for Operation)
第十五条の十二 法第三十一条の二第二項に規定する政令で定める額は、次の各号に掲げる者の区分に応じ、当該各号に定める額とする。
Article 15-12 The amount specified by Cabinet Order that is provided for in Article 31-2, paragraph (2) of the Act is the amount stipulated in the relevant of the following items for the category of persons set forth in that item:
一 第二種金融商品取引業(法第二十八条第二項に規定する第二種金融商品取引業をいい、第二種少額電子募集取扱業務を除く。)を行う個人 千万円
(i) an individual engaged in a Type II Financial Instruments Business (meaning a Type II Financial Instruments Business set forth in Article 28, paragraph (2) of the Act and excluding a Type II Small Amount Electronic Public Offering Service): ten million yen;
二 投資助言・代理業(法第二十八条第三項に規定する投資助言・代理業をいう。以下同じ。)のみを行う者 五百万円
(ii) persons that engage only in Investment Advisory and Agency Business (meaning Investment Advisory and Agency Business set forth in Article 28, paragraph (3) of the Act; hereinafter the same applies): five million yen; and
三 第二種少額電子募集取扱業務を行う個人(第一号に掲げる者を除く。) 五百万円
(iii) an individual engaged in a Type II Small Amount Electronic Public Offering Service (excluding the person set forth in item (i)): five million yen.
(営業保証金に代わる契約の要件)
(Requirements for Contract in Lieu of Deposit for Operation)
第十五条の十三 金融商品取引業者(第二種金融商品取引業(法第二十八条第二項に規定する第二種金融商品取引業をいう。以下同じ。)を行う個人及び投資助言・代理業のみを行う者に限る。以下この条から第十五条の十五までにおいて同じ。)は、法第三十一条の二第三項に規定する契約を締結する場合には、銀行、保険会社その他内閣府令で定める金融機関を相手方とし、その内容を次に掲げる要件に適合するものとしなければならない。
Article 15-13 If a Financial Instruments Business Operator (limited to an individual engaged in a Type II Financial Instruments Business (meaning the Type II Financial Instruments Business prescribed in Article 28, paragraph (2) of the Act; the same applies hereinafter) or person that engages only in Investment Advisory and Agency Business; hereinafter the same applies in this Article to Article 15-15) concludes a contract as set forth in Article 31-2, paragraph (3) of the Act, it must conclude that contract with a Bank, Insurance Company, or other Financial Institution specified by Cabinet Office Order, and the contents of that contract must conform to the following requirements:
一 法第三十一条の二第四項の規定による命令を受けたときは、当該金融商品取引業者のために当該命令に係る額の営業保証金が遅滞なく供託されるものであること。
(i) if the relevant person becomes subject to an order under Article 31-2, paragraph (4) of the Act, the amount of Deposit for Operation under that order will be deposited without delay on behalf of the Financial Instruments Business Operator;
二 一年以上の期間にわたつて有効な契約であること。
(ii) the contract will be valid for the period of one year or longer; and
三 金融庁長官の承認を受けた場合を除き、契約を解除し、又は契約の内容を変更することができないものであること。
(iii) unless approved by the Commissioner of the Financial Services Agency, the contract may not be cancelled, nor may its substance be changed.
(営業保証金に係る権利の実行の手続)
(Procedures for the Execution of Rights in Connection with a Deposit for Operation)
第十五条の十四 法第三十一条の二第六項の権利(以下この条において単に「権利」という。)を有する者は、金融庁長官に対し、その権利の実行の申立てをすることができる。
Article 15-14 (1) The person that holds the rights set forth in Article 31-2, paragraph (6) of the Act (hereinafter simply referred to as the "Rights" in this Article) may file a petition seeking execution of the Rights to the Commissioner of the Financial Services Agency.
2 金融庁長官は、前項の申立てがあつた場合において、当該申立てを理由があると認めるときは、当該営業保証金につき権利を有する者に対し、六十日を下らない一定の期間内に権利の申出をすべきこと及びその期間内に申出をしないときは配当手続から除斥されるべきことを公示し、かつ、その旨を同項の申立てをした者(次項及び第四項において「申立人」という。)及び供託者(金融商品取引業者及び法第三十一条の二第四項の規定による命令により同条第三項に規定する契約に基づき当該金融商品取引業者のために同条第一項の営業保証金の全部又は一部を供託している者をいう。第四項及び第五項において同じ。)に通知しなければならない。
(2) If a petition as referred to in the preceding paragraph has been filed and is found to be well-grounded, the Commissioner of the Financial Services Agency must issue public notice for persons holding Rights in relation to the Deposit for Operation to the effect that the Rights must be reported within a fixed period of not less than 60 days, and that persons not reporting their rights within that period will be excluded from the distribution procedures; and must notify the person that has filed the petition under the preceding paragraph (such a person is referred to as the "Petitioner" in the following paragraph and paragraph (4)) and the Depositor (meaning a Financial Instruments Business Operator and the person that has deposited all or part of the Deposit for Operation set forth in Article 31-2, paragraph (1) of the Act on behalf of the Financial Instruments Business Operator based on the contract set forth in paragraph (3) of that Article pursuant to the order issued under paragraph (4) of that Article; the same applies in paragraph (4) and paragraph (5)) to that effect.
3 前項の規定による公示があつた後は、申立人がその申立てを取り下げた場合においても、手続の進行は、妨げられない。
(3) After a public notice has been given under the preceding paragraph, even if the Petitioner withdraws the petition, this does not stop the proceedings from progressing.
4 金融庁長官は、第二項の期間が経過した後、遅滞なく、権利の調査をしなければならない。この場合において、金融庁長官は、あらかじめ期日及び場所を公示し、かつ、供託者に通知して、申立人、当該期間内に権利の申出をした者及び当該供託者に対し、権利の存否及びその権利によつて担保される債権の額について証拠を提示し、及び意見を述べる機会を与えなければならない。
(4) The Commissioner of the Financial Services Agency must carry out an investigation into the Rights without delay after the period set forth in paragraph (2) has elapsed. In this case, the Commissioner of the Financial Services Agency must give public notice and notify the Depositor of the due date and place in advance, and give the Petitioner, persons that have reported their Rights within the relevant period, and the Depositor an opportunity to present evidence and state their opinions concerning the existence of the Rights and the amount of claims secured by those Rights.
5 金融庁長官は、前項の規定による調査の結果に基づき、遅滞なく配当表を作成し、これを公示し、かつ、供託者に通知しなければならない。
(5) The Commissioner of the Financial Services Agency must prepare a distribution list based on the results of the investigation under the preceding paragraph and give public notice and notify the Depositor of this without delay.
6 配当は、前項の規定による公示をした日から八十日を経過した後、同項の配当表に従い実施するものとする。
(6) A dividend distribution is to be made after 80 days have elapsed from the day on which the public notice was given under the preceding paragraph and in accordance with the distribution list set forth in that paragraph.
7 金融庁長官は、有価証券(社債等の振替に関する法律第百二十九条第一項に規定する振替社債等を含む。)が供託されている場合において、権利の実行に必要があるときは、これを換価することができる。この場合において、換価の費用は、換価代金から控除する。
(7) If Securities (including book-entry corporate bonds, etc. prescribed in Article 129, paragraph (1) of the Act on Transfer of Corporate Bonds, etc.) have been deposited, and it is necessary for the execution of Rights, the Commissioner of the Financial Services Agency may convert them. In this case, the costs for the conversion are deducted from the conversion value.
(営業保証金の取戻し)
(Refund of Deposit for Operation)
第十五条の十五 金融商品取引業者若しくはその承継人又は当該金融商品取引業者のために営業保証金を供託した者は、当該金融商品取引業者が次に掲げる場合に該当することとなつたときは、その供託していた営業保証金の全部を、金融庁長官の承認を受けて取り戻すことができる。
Article 15-15 (1) A Financial Instruments Business Operator, the successor thereof, or the person that has deposited the Deposit for Operation on behalf of a Financial Instruments Business Operator may, if the Financial Instruments Business Operator has come to fall under any of the following cases, have all the Deposit for Operation from the deposit refunded with the approval of the Commissioner of the Financial Services Agency:
一 法第五十二条第一項若しくは第四項又は第五十四条の規定により法第二十九条の登録が取り消された場合
(i) if the registration under Article 29 of the Act has been rescinded pursuant to the provisions of Article 52, paragraph (1) or (4) or Article 54 of the Act;
二 法第五十条の二第二項の規定により法第二十九条の登録がその効力を失つた場合
(ii) if the registration under Article 29 of the Act has become invalid pursuant to the provisions of Article 50-2, paragraph (2) of the Act; or
三 第二種金融商品取引業(個人が行う場合に限る。)及び投資助言・代理業以外の金融商品取引業を行うことにつき法第三十一条第四項の変更登録を受けた場合
(iii) if the Financial Instruments Business Operator has obtained a change of registration set forth in Article 31, paragraph (4) of the Act for conducting Financial Instruments Business other than a Type II Financial Instruments Business (limited to cases in which this is performed by an individual) or Investment Advisory and Agency Business.
2 金融商品取引業者又は当該金融商品取引業者のために営業保証金を供託した者は、当該金融商品取引業者に係る営業保証金の額(契約金額(法第三十一条の二第三項に規定する契約金額をいう。以下この項において同じ。)を含む。以下この項において同じ。)が第十五条の十二に定める額を超えることとなつたときは、当該営業保証金の額から契約金額を控除した額の範囲内において、その超える額の全部又は一部を、金融庁長官の承認を受けて取り戻すことができる。
(2) A Financial Instruments Business Operator or a person that has deposited a Deposit for Operation on behalf of a Financial Instruments Business Operator may, if the amount of Deposit for Operation (including the Contract Amount (meaning the Contract Amount as defined in Article 31-2, paragraph (3) of the Act; hereinafter the same applies in this paragraph)) of the Financial Instruments Business Operator has come to exceed the amount specified in Article 15-12, have all or part of the exceeding amount refunded, within the amount obtained by deducting the Contract Amount from the amount of the Deposit for Operation, with the approval of the Commissioner of the Financial Services Agency.
(親法人等及び子法人等の範囲)
(Scope of a Parent Corporation and a Subsidiary Corporation)
第十五条の十六 法第三十一条の四第三項に規定する政令で定める要件に該当する者は、次に掲げる者(内閣府令で定める者を除く。)とする。
Article 15-16-1 (1) A person that satisfies the requirements specified by Cabinet Order that is provided for in Article 31-4, paragraph (3) of the Act means one of the following persons (excluding those specified by Cabinet Office Order):
一 その親会社等
(i) the relevant person's Parent Company, etc.;
二 その親会社等の子会社等(自己並びに前号及び次項第一号に掲げる者を除く。)
(ii) a Subsidiary Company, etc. of the relevant person's Parent Company, etc. (excluding the person itself and the person set forth in the preceding item and item (i) of the following paragraph);
三 その親会社等の関連会社等(次項第二号に掲げる者を除く。)
(iii) an Affiliated Company, etc. of the relevant person's Parent Company, etc. (excluding the person set forth in item (ii) of the following paragraph); and
四 その総株主等の議決権の百分の五十を超える議決権を保有する個人(以下「特定個人株主」という。)に係る次に掲げる会社、組合その他これらに準ずる事業体(外国におけるこれらに相当するものを含み、自己並びに前三号及び次項各号に掲げる者を除く。以下この号において「会社等」という。)
(iv) the following companies, partnerships, or any other business entity equivalent thereto (including those equivalent thereto in a foreign state and excluding the person itself and the persons set forth in the preceding three items and the items of the following paragraph; hereinafter referred to as the "Company, etc." in this item) related to the individual that holds voting rights constituting over 50 percent of the Voting Rights Held by All the Shareholders, etc. of the relevant person (hereinafter referred to as the "Specified Individual Shareholder"):
イ 当該特定個人株主が総株主等の議決権の百分の五十を超える議決権を保有する会社等(当該会社等の子会社等及び関連会社等を含む。)
(a) a Company, etc. (including the Subsidiary Company, etc. and Affiliated Company, etc. of the Company, etc.) in which that Specified Individual Shareholder holds voting rights that constitute over 50 percent of the Voting Rights Held by All the Shareholders, etc.; and
ロ 当該特定個人株主が総株主等の議決権の百分の二十以上百分の五十以下の議決権を保有する会社等
(b) a Company, etc. in which that Specified Individual Shareholder holds voting rights constituting not less than 20 percent but not more than 50 percent of the Voting Rights Held by All the Shareholders, etc.
2 法第三十一条の四第四項に規定する政令で定める要件に該当する者は、次に掲げる者(内閣府令で定める者を除く。)とする。
(2) The person that satisfies the requirements specified by Cabinet Order that is provided for in Article 31-4, paragraph (4) of the Act means one of the following persons (excluding those specified by Cabinet Office Order):
一 その子会社等
(i) the relevant person's Subsidiary Company, etc.; and
二 その関連会社等
(ii) the relevant person's Affiliated Company, etc.
3 第一項第一号から第三号までの「親会社等」とは、他の会社等(会社、組合その他これらに準ずる事業体(外国におけるこれらに相当するものを含む。)をいう。以下この条において同じ。)の財務及び営業又は事業の方針を決定する機関(株主総会その他これに準ずる機関をいう。以下この項において「意思決定機関」という。)を支配している会社等として内閣府令で定めるものをいい、第一項第二号及び第四号イ並びに前項第一号の「子会社等」とは、親会社等によりその意思決定機関を支配されている他の会社等をいう。この場合において、親会社等及び子会社等又は子会社等が他の会社等の意思決定機関を支配している場合における当該他の会社等は、その親会社等の子会社等とみなす。
(3) The term "Parent Company, etc." referred to in paragraph (1), item (i) to item (iii) means those specified by Cabinet Office Order as a Company, etc. which has control over the Organ (meaning the shareholders meeting and any other organs equivalent thereto; hereinafter referred to as the "Decision Making Body" in this paragraph) which is responsible for deciding the policies for finance, operations, and business of another Company, etc. (meaning a company, partnership, or any other business entity equivalent thereto (including those equivalent thereto in a Foreign State); hereinafter the same applies in this Article) and the term "Subsidiary Company, etc." referred to in paragraph (1), items (ii), (iv), (a) of that paragraph, and item (i) of the preceding paragraph means another Company, etc. whose Decision Making Body is controlled by a Parent Company, etc. In this case, if the Parent Company, etc. and Subsidiary Company, etc. or the Subsidiary Company, etc. has control over the Decision Making Body of another Company, etc., the other Company, etc. is deemed to be the Subsidiary Company, etc. of the Parent Company, etc.
4 第一項第三号及び第四号イ並びに第二項第二号の「関連会社等」とは、会社等(当該会社等の子会社等(前項に規定する子会社等をいう。以下この項において同じ。)を含む。)が出資、取締役その他これに準ずる役職への当該会社等の役員若しくは使用人である者若しくはこれらであつた者の就任、融資、債務の保証若しくは担保の提供、技術の提供又は営業上若しくは事業上の取引等を通じて、財務及び営業又は事業の方針の決定に対して重要な影響を与えることができる他の会社等(子会社等を除く。)として内閣府令で定めるものをいう。
(4) The term "Affiliated Company, etc." referred to in paragraph (1), item (iii), item (iv), (a) of that paragraph, and paragraph (2), item (ii) means a Company, etc. (excluding a Subsidiary Company, etc.) specified by Cabinet Office Order over whose financial, operational, or business policy decisions another Company, etc. (inclusive of its Subsidiary Companies, etc. (meaning Subsidiary Companies, etc. as prescribed in the preceding paragraph; hereinafter the same applies in this paragraph)) is capable of exerting a material influence through investment, assumption of office as a director or other position equivalent thereto by a person that is or has been an officer or employee of the other Company, etc., financing, guarantee of obligations, provision of collateral, provision of technology, or transactions, etc. in operations and business.
5 第一項第四号に規定する議決権の保有の判定に関し必要な事項は、その保有の態様その他の事情を勘案して、内閣府令で定める。
(5) The particulars necessary for the determination of the holding of the voting rights as set forth in paragraph (1), item (iv) are specified by Cabinet Office Order in consideration of the mode of possession and any other circumstances.
(特定主要株主の子法人等の範囲)
(Scope of Subsidiary Corporation of a Specified Major Shareholder)
第十五条の十六の二 法第三十二条の二第二項に規定する政令で定める要件に該当する者は、次に掲げる者とする。
Article 15-16-2 (1) Persons that satisfy the requirements specified by Cabinet Order prescribed in Article 32-2, paragraph (2) of the Act are the following persons:
一 その子会社等
(i) the relevant person's Subsidiary Company, etc.; and
二 その関連会社等
(ii) the relevant person's Affiliated Company, etc.
2 前項第一号の「子会社等」とは、親会社等(他の会社等(会社、組合その他これらに準ずる事業体をいい、外国におけるこれらに相当するものを含む。以下この条において同じ。)の財務及び営業又は事業の方針を決定する機関(株主総会その他これに準ずる機関をいう。以下この項において「意思決定機関」という。)を支配している会社等として内閣府令で定めるものをいう。)によりその意思決定機関を支配されている他の会社等をいう。この場合において、親会社等及び子会社等又は子会社等が他の会社等の意思決定機関を支配している場合における当該他の会社等は、その親会社等の子会社等とみなす。
(2) The term "Subsidiary Company, etc." as used in item (i) of the preceding paragraph means another company, etc. whose body that decides its financial and operational or business policies (meaning shareholders meeting or other equivalent body; hereinafter referred to as "decision-making body" in this paragraph) is controlled by its Parent Company, etc. (a company, etc. (meaning a company, partnership or other equivalent business entity, including those equivalent thereto in a foreign state; hereinafter the same applies in this Article) that controls the decision-making body of another company, etc. specified by Cabinet Office Order). In this case, if a Parent Company, etc. and its Subsidiary Company, etc. or its Subsidiary Company, etc. controls the decision-making body of another company, etc., that company, etc. is deemed as a Subsidiary Company, etc. of the Parent Company, etc.
3 第一項第二号の「関連会社等」とは、会社等(当該会社等の子会社等(前項に規定する子会社等をいう。以下この項において同じ。)を含む。)が出資、取締役その他これに準ずる役職への当該会社等の役員若しくは使用人である者若しくはこれらであつた者の就任、融資、債務の保証若しくは担保の提供、技術の提供又は営業上若しくは事業上の取引等を通じて、財務及び営業又は事業の方針の決定に対して重要な影響を与えることができる他の会社等(子会社等を除く。)として内閣府令で定めるものをいう。
(3) The term "Affiliated Company, etc." referred to in paragraph (1), item (ii) means a Company, etc. (excluding Subsidiary Company, etc.) specified by Cabinet Office Order over whose financial, operational, or business policy decisions another Company, etc. (inclusive of its Subsidiary Companies, etc. (meaning Subsidiary Companies, etc. as prescribed in the preceding paragraph; hereinafter the same applies in this paragraph)) is capable of exerting a material influence through investment, assumption of office as a director or other position equivalent thereto by a person that is or has been an officer or employee of the other Company, etc., financing, guarantee of obligations, provision of collateral, provision of technology, or transactions, etc. in operations and business.
(短期社債に類する有価証券等)
(Securities Similar to Short-Term Corporate Bonds)
第十五条の十七 法第三十三条第二項第一号に規定する短期社債に類するものとして政令で定めるものは、次に掲げるものとする。
Article 15-17 (1) What is specified by Cabinet Order as being similar to short-term corporate bonds, as provided in Article 33, paragraph (2), item (i) of the Act, is as follows:
一 保険業法第六十一条の十第一項に規定する短期社債
(i) the short-term corporate bonds referred to in Article 61-10, paragraph (1) of the Insurance Business Act; and
二 法第二条第一項第四号に掲げる有価証券に準ずるものとして内閣府令で定めるもの
(ii) those specified by Cabinet Office Order as being equivalent to the Securities set forth in Article 2, paragraph (1), item (iv) of the Act.
2 法第三十三条第二項第一号に規定する短期投資法人債に類するものとして政令で定めるものは、外国投資法人が発行する投資法人債券に類する証券であつて、投資信託及び投資法人に関する法律第百三十九条の十二第一項に規定する短期投資法人債に相当するものとする。
(2) What is specified by Cabinet Order as being similar to short-term investment corporation bonds provided in Article 33, paragraph (2), item (i) of the Act is securities similar to investment corporation bond certificates which are issued by a Foreign Investment Corporation and which are equivalent to the short-term investment corporation bonds prescribed in Article 139-12, paragraph (1) of the Act on Investment Trusts and Investment Corporations.
3 法第三十三条第二項第一号に規定する法第二条第一項第十七号に掲げる有価証券のうち政令で定めるものは、同項第十五号に掲げる有価証券の性質を有するもののうち発行日から償還日までの期間が一年未満のもの又は社債等の振替に関する法律第六十六条第一号に規定する短期社債若しくは第一項第一号若しくは法第二条第一項第四号若しくは第八号に掲げる有価証券に準ずるものとして内閣府令で定めるものとする。
(3) Among the Securities set forth in Article 2, paragraph (1), item (xvii) of the Act, those specified by Cabinet Order that are provided for in Article 33, paragraph (2), item (i) of the Act are, among the Securities which have the nature of the Securities set forth in Article 2, paragraph (1), item (xv) of the Act, those for which the term between the day of issuance and the day of redemption is shorter than one year, or those specified by Cabinet Office Order as being equivalent to the short-term corporate bonds set forth in Article 66, item (i) of the Act on Transfer of Corporate Bonds, etc., the Securities set forth in paragraph (1), item (i) of this Order, or the provisions of Article 2, paragraph (1), item (iv) or (vii) of the Act.
4 法第三十三条第二項第一号に規定する法第二条第一項第二十一号に掲げる有価証券のうち政令で定めるものは、第一条第一号に掲げる有価証券のうち発行日から償還日までの期間が一年未満のものとする。
(4) Among the Securities set forth in Article 2, paragraph (1), item (xxi) of the Act, those specified by Cabinet Order that are provided for in Article 33, paragraph (2), item (i) of the Act are, among the Securities set forth in Article 1, item (i), those for which the term between the day of issuance and the day of redemption is shorter than one year.
(金融機関による私募の取扱いの対象から除外される有価証券)
(Securities Excluded as a Subject of Private Placement by a Financial Institution)
第十五条の十八 法第三十三条第二項第四号イに規定する政令で定める有価証券は、次に掲げる有価証券に係るオプションを表示する法第二条第一項第十九号に掲げる有価証券(当該有価証券に係るオプションを表示する同号に掲げる有価証券を含む。)とする。
Article 15-18 The Securities specified by Cabinet Order that are provided for in Article 33, paragraph (2), item (iv), (a) of the Act are Securities as set forth in Article 2, paragraph (1), item (xix) of the Act (including Securities as set forth in Article 2, paragraph (1), item (xix) of the Act that indicate Options on such Securities) that indicate the Options on the following Securities:
一 株券(優先出資証券を含む。)、新株予約権証券、新株予約権付社債券その他これらに準ずるものとして内閣府令で定める有価証券
(i) share certificates (including Preferred Equity Securities), share option certificates, corporate bond certificates with share options, and any other Securities specified by Cabinet Office Order as being equivalent thereto;
二 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
(ii) Securities as set forth in Article 2, paragraph (1), item (xvii) of the Act that have the nature of the Securities set forth in the preceding item; and
三 前二号に掲げる有価証券に係る権利を表示する法第二条第一項第二十号に掲げる有価証券
(iii) Securities as set forth in Article 2, paragraph (1), item (xx) of the Act that indicate rights associated with the Securities prescribed in the preceding two items.
(多数の者を相手方として行う場合)
(Cases in Which a Large Number of Persons Are the Other Parties to a Transaction)
第十五条の十九 法第三十三条第二項第五号に規定する政令で定める場合は、五十名以上の者を相手方として、同号ロに掲げる取引を行う場合とする。
Article 15-19 The cases specified by Cabinet Order that are provided for in Article 33, paragraph (2), item (v) of the Act are cases in which the transaction set forth in (b) of that item is conducted with not less than 50 persons as the other parties.
(金融機関による有価証券等清算取次ぎの対象取引)
(Subject Transaction of Brokerage for Clearing of Securities by a Financial Institution)
第十五条の二十 法第三十三条第二項第六号に規定する政令で定める取引は、次に掲げるものとする。
Article 15-20 The other transactions specified by Cabinet Order that are provided for in Article 33, paragraph (2), item (vi) of the Act are as follows:
一 有価証券等清算取次ぎ(信用取引又は金融商品取引業者が自己の計算において行う有価証券の売買若しくは有価証券関連市場デリバティブ取引に係るものに限る。次号において同じ。)の決済に必要な金銭の貸借(証券金融会社による貸付けに係るものに限る。)
(i) the lending and borrowing of the money needed to settle Brokerage for Clearing of Securities, etc. (limited to those related to a Margin Transaction, or the purchase and sale of Securities or Securities-Related Market Transaction of Derivatives made on a Financial Instruments Business Operator's own account; the same applies in the following item) (limited to an instance of lending and borrowing in which the lending is done by a Securities Finance Company);
二 有価証券の貸借(有価証券等清算取次ぎの決済に必要な有価証券を取引所金融商品市場又は店頭売買有価証券市場の決済機構を利用して証券金融会社以外の者が貸し付ける場合にあつては、取引所金融商品市場又は店頭売買有価証券市場によらないで行われる有価証券等清算取次ぎに係る貸付けに限る。)
(ii) the lending and borrowing of Securities (if persons other than a Securities Finance Company lend the Securities necessary for the settlement of Brokerage for Clearing of Securities, etc. by utilizing the clearing systems of a Financial Instruments Exchange Market or Over-the-Counter Securities Market, this is limited to lending associated with Brokerage for Clearing of Securities, etc. undertaken without recourse to a Financial Instruments Exchange Market or an Over-the-Counter Securities Market);
三 前二号に掲げる取引に係る担保の授受
(iii) the delivery and receipt of collateral in a transaction as set forth in the preceding two items;
四 証券投資信託の設定、証券投資信託の元本の一部の償還又は証券投資信託の受益証券と上場有価証券等との交換に係る受益証券又は金銭等の授受
(iv) the payment and receipt of beneficiary certificates or Money, etc. with regard to the establishment of a Securities Investment Trust, the redemption of a part of the principal of a Securities Investment Trust, or the exchange between beneficiary certificates of a Securities Investment Trust and Listed Securities, etc.; and
五 前各号に掲げるもののほか、有価証券の売買、有価証券関連デリバティブ取引又は前各号に掲げる取引に基づく債務を履行するために行う有価証券又は金銭の授受
(v) beyond what is set forth in the preceding items, delivery and receipt of Securities or money made for the performance of the obligations arisen from the purchase and sale of Securities, Transaction of Securities-Related Derivatives, or the transactions set forth in the preceding items.
(特定金融商品取引業務を行う者)
(Persons Engaged in a Specified Financial Instruments Business)
第十五条の二十一 法第三十三条の八第二項に規定する特定金融商品取引業務を行う者は、当該業務を行う場合には、当該業務に係る登録金融機関の代理を行う者である旨を明示しなければならない。
Article 15-21 (1) When the person engaged in a Specified Financial Instruments Business as referred to in Article 33-8, paragraph (2) of the Act performs that business, it must clearly indicate that it is the person that performs the duties on behalf of the Registered Financial Institution related to that business.
2 法第三十三条の八第二項第一号に規定する政令で定める者は、次に掲げる者とする。
(2) The persons specified by Cabinet Order that are provided for in Article 33-8, paragraph (2), item (i) of the Act are the following persons:
一 個人である生命保険募集人(保険業法第二条第十九項に規定する生命保険募集人をいい、同条第三項に規定する生命保険会社及び同条第八項に規定する外国生命保険会社等の役員及び使用人を除く。)
(i) a Life Insurance Solicitor (meaning a life insurance solicitor as defined in Article 2, paragraph (19) of the Insurance Business Act and excluding the officers and employees of a Life Insurance Company defined in paragraph (3) of that Article or a Foreign Life Insurance Company as prescribed in paragraph (8) of that Article) that is an individual;
二 法人である生命保険募集人(保険業法第二条第十九項に規定する生命保険募集人をいう。)の代表権を有する役員
(ii) an officer that holds the authority of the representation of a Life Insurance Solicitor (meaning a life insurance solicitor as prescribed in Article 2, paragraph (19) of the Insurance Business Act) that is a corporation;
三 個人である損害保険代理店(保険業法第二条第二十一項に規定する損害保険代理店をいう。以下この項において同じ。)
(iii) a Non-Life Insurance Agent (meaning a non-life insurance agent as prescribed in Article 2, paragraph (21) of the Insurance Business Act; hereinafter the same applies in this paragraph) that is an individual;
四 個人である損害保険代理店の使用人のうち保険業法第三百二条の規定による届出が行われているもの
(iv) among the employees of the Non-Life Insurance Agent that is an individual, those that have been notified under Article 302 of the Insurance Business Act;
五 法人である損害保険代理店の役員又は使用人のうち保険業法第三百二条の規定による届出が行われているもの
(v) among the officers or employees of a Non-Life Insurance Agent that is a corporation, those that have been notified under Article 302 of the Insurance Business Act; and
六 法人である損害保険代理店の代表権を有する役員
(vi) officers that hold the authority of representation of a Non-Life Insurance Agent that is a corporation.
(情報通信の技術を利用した提供)
(Provision of Particulars Using Information and Communications Technology)
第十五条の二十二 金融商品取引業者等は、法第三十四条の二第四項(法第三十四条の三第十二項(法第三十四条の四第六項において準用する場合を含む。)、第三十四条の四第三項、第三十七条の三第二項、第三十七条の四第二項、第三十七条の五第二項、第四十条の二第六項、第四十条の五第三項及び第四十二条の七第二項において準用する場合を含む。以下この条において同じ。)の規定により法第三十四条の二第四項に規定する事項を提供しようとするときは、内閣府令で定めるところにより、あらかじめ、当該事項を提供する相手方に対し、その用いる同項に規定する方法(以下この条において「電磁的方法」という。)の種類及び内容を示し、書面又は電磁的方法による承諾を得なければならない。
Article 15-22 (1) Before seeking to provide a person with the particulars prescribed in Article 34-2, paragraph (4) of the Act pursuant to that paragraph (including as applied mutatis mutandis pursuant to the provisions of Article 34-3, paragraph (12) (including as applied mutatis mutandis pursuant to the provisions of Article 34-4, paragraph (6) of the Act), Article 34-4, paragraph (3), Article 37-3, paragraph (2), Article 37-4, paragraph (2), Article 37-5, paragraph (2), Article 40-2, paragraph (6), Article 40-5, paragraph (3), and Article 42-7, paragraph (2) of the Act; hereinafter the same applies in this Article), a Financial Instruments Business Operator, etc., in advance and pursuant to the provisions of Cabinet Office Order, must indicate to the person to which it will provide that information the type and substance of the means prescribed in that paragraph that it will use to provide it (hereinafter referred to as "electronic or magnetic means" in this Article) and obtain consent for this in written form or by electronic or magnetic means.
2 前項の規定による承諾を得た金融商品取引業者等は、当該相手方から書面又は電磁的方法により電磁的方法による提供を受けない旨の申出があつたときは、当該相手方に対し、法第三十四条の二第四項に規定する事項の提供を電磁的方法によつてしてはならない。ただし、当該相手方が再び前項の規定による承諾をした場合は、この限りでない。
(2) If a Financial Instruments Business Operator, etc. that has obtained consent under the preceding paragraph receives a notice from the relevant person, either in written form or by electronic or magnetic means, indicating that the person is not willing to be provided with particulars by electronic or magnetic means, the Financial Instruments Business Operator, etc. must not use electronic or magnetic means to provide the person with the particulars prescribed in Article 34-2, paragraph (4) of the Act; provided, however, that this does not apply if the person has once again given consent under the preceding paragraph.
(情報通信の技術を利用した同意の取得)
(Gaining Agreement Using Information and Communications Technology)
第十五条の二十三 金融商品取引業者等は、法第三十四条の二第十二項(法第三十四条の三第三項(法第三十四条の四第六項において準用する場合を含む。)及び第四十三条の四第三項において準用する場合を含む。以下この条において同じ。)の規定により、法第三十四条の二第十一項の規定による書面による同意に代えて同条第十二項に規定する内閣府令で定める方法(以下この条において「電磁的方法」という。)により同意を得ようとするときは、内閣府令で定めるところにより、あらかじめ、当該同意を得ようとする相手方に対し、その用いる電磁的方法の種類及び内容を示し、書面又は電磁的方法による承諾を得なければならない。
Article 15-23 (1) Before seeking to obtain a person's agreement by the means specified by Cabinet Office Order as prescribed in Article 34-2, paragraph (12) of the Act (including as applied mutatis mutandis pursuant to Article 34-3, paragraph (3) (including as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act) and Article 43-4, paragraph (3) of the Act; hereinafter the same applies in this Article) (hereinafter referred to as "electronic or magnetic means" in this Article) in lieu of agreement in written form under Article 34-2, paragraph (11) of the Act pursuant to Article 34-2, paragraph (12) of the Act, a Financial Instruments Business Operator, etc., in advance and pursuant to the provisions of Cabinet Office Order, must indicate to the person whose agreement it is seeking the type and substance of the electronic or magnetic means it will use and obtain consent for this in written form or by electronic or magnetic means.
2 前項の規定による承諾を得た金融商品取引業者等は、当該相手方から書面又は電磁的方法により電磁的方法による同意を行わない旨の申出があつたときは、当該相手方に対し、法第三十四条の二第十二項に規定する同意の取得を電磁的方法によつてしてはならない。ただし、当該相手方が再び前項の規定による承諾をした場合は、この限りでない。
(2) If a Financial Instruments Business Operator that has gained a person's agreement under the preceding paragraph receives a notice from that person, either in written form or by electronic or magnetic means, indicating that the person is not willing to agree to the matter in question by electronic or magnetic means, the Financial Instruments Business Operator must not use electronic or magnetic means to gain the person's agreement as prescribed in Article 34-2, paragraph (12) of the Act; provided, however, that this does not apply if the person has once again given consent under the preceding paragraph.
(対象契約が継続的契約である場合における技術的読替え)
(Deemed Replacement of Terms When a Subject Contract Is a Continuous Contract)
第十五条の二十四 法第三十四条の三第四項第二号の対象契約が投資顧問契約(法第二条第八項第十一号に規定する投資顧問契約をいう。以下同じ。)又は投資一任契約である場合における法第三十四条の三第四項の規定の適用については、同項中「この法律(第二十九条の五第三項及びこの款を除く。)の規定の適用については、当該申出者は、特定投資家とみなす」とあるのは、「この法律(第二十九条の五第三項、この款及び第四十五条(第三号及び第四号に係る部分に限る。)を除く。)の規定の適用については、当該申出者は、特定投資家とみなし、第四十五条(第三号及び第四号に係る部分に限る。)の規定の適用については、当該申出者は、期限日(当該申出者が期限日以前に行う第七項に規定する更新申出について、金融商品取引業者等が第二項の規定による承諾をし、かつ、当該申出者が同項の規定による書面による同意をした場合には、当該更新申出に係る期限日)までの間に限り、特定投資家とみなす」とする。
Article 15-24 (1) With regard to the application of the provisions of Article 34-3, paragraph (4) of the Act if the Subject Contract set forth in Article 34-3, paragraph (4), item (ii) of the Act is an Investment Advisory Contract (meaning an Investment Advisory Contract as prescribed in Article 2, paragraph (8), item (xi) of the Act; the same applies hereinafter) or Discretionary Investment Contract, the phrase "the Applicant is deemed to be a Professional Investor for the purpose of application of this Act (excluding Article 29-5, paragraph (3) and this Subsection)" in Article 34-3, paragraph (4) of the Act is deemed to be replaced with "the Applicant is deemed to be a Professional Investor for the purpose of application of this Act (excluding Article 29-5, paragraph (3) and, this Subsection and Article 45 (limited to the part that involves item (iii) and item (iv))), and the Applicant is deemed to be a Professional Investor only during the period up to the Expiration Date (if the Financial Instruments Business Operator, etc. has given consent under paragraph (2) and the Applicant has given written consent under that paragraph for the Request for Renewal prescribed in paragraph (7) which the Applicant has made prior to the Expiration Date, the Expiration Date related to the Request for Renewal) for the purpose of the application of Article 45 (limited to the part that involves item (iii) and item (iv))".
2 法第三十四条の四第六項において準用する法第三十四条の三第四項第二号の対象契約が投資顧問契約又は投資一任契約である場合における同項の規定の適用については、同項中「この法律(第二十九条の五第三項及びこの款を除く。)の規定の適用については、当該申出者は、特定投資家とみなす」とあるのは、「この法律(第二十九条の五第三項、この款及び第四十五条(第三号及び第四号に係る部分に限る。)を除く。)の規定の適用については、当該申出者は、特定投資家とみなし、第四十五条(第三号及び第四号に係る部分に限る。)の規定の適用については、当該申出者は、期限日(当該申出者が期限日以前に行う第七項に規定する更新申出について、金融商品取引業者等が次条第二項の規定による書面の交付及び確認並びに同条第六項において準用する第二項の規定による承諾をし、かつ、当該申出者が同項の規定による書面による同意をした場合には、当該更新申出に係る期限日)までの間に限り、特定投資家とみなす」とする。
(2) With regard to the application of the provisions of Article 34-3, paragraph (4) of the Act if the Subject Contract set forth in Article 34-3, paragraph (4), item (ii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is an Investment Advisory Contract or Discretionary Investment Contract, the phrase "the Applicant is deemed to be a Professional Investor for the purpose of application of this Act (excluding Article 29-5, paragraph (3) and this Subsection)" in Article 34-4, paragraph (4) of the Act is deemed to be replaced with "the Applicant is deemed to be a Professional Investor for the purpose of application of this Act (excluding Article 29-5, paragraph (3) and this Subsection and Article 45 (limited to the part that involves item (iii) and item (iv))), and the Applicant is deemed to be a Professional Investor only during the period up to the Expiration Date (if the Financial Instruments Business Operator, etc. has delivered the documents or made confirmation under paragraph (2) of the following Article and has given consent under paragraph (2) as applied mutatis mutandis pursuant to paragraph (6) of the following Article, and the Applicant has given written consent under paragraph (2) with regard to the Request for Renewal prescribed in paragraph (7) which the Applicant has made prior to the Expiration Date, the Expiration Date related to the Request for Renewal) for the purpose of the application of Article 45 (limited to the part that involves item (iii) and item (iv))".
(運用の対象となる特定資産から除かれるもの)
(Assets Excluded from Consideration as Specified Assets Subject to Investment)
第十五条の二十五 法第三十五条第一項第十五号イに規定する政令で定める資産は、次に掲げるものとする。
Article 15-25 The assets specified by Cabinet Order that are provided for in Article 35, paragraph (1), item (xv), (a) of the Act are as follows:
一 宅地(宅地建物取引業法(昭和二十七年法律第百七十六号)第二条第一号に掲げる宅地をいう。)及び建物
(i) Building Lots (meaning the building lots set forth in Article 2, item (i) of the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952)) and buildings;
二 商品先物取引法第二条第一項に規定する商品
(ii) the commodities prescribed in Article 2, paragraph (1) of the Commodity Futures Act; and
三 投資信託及び投資法人に関する法律施行令第三条第十号に規定する商品投資等取引に係る権利
(iii) rights associated with commodities investment, etc. transactions as set forth in Article 3, item (x) of the Order for the Enforcement of the Act on Investment Trusts and Investment Corporations.
(届出業務となる投資運用の対象となる物品)
(Goods Which Are the Subject of Investment Constituting a Notification Business)
第十五条の二十六 法第三十五条第二項第五号の二に規定する政令で定めるものは、商品先物取引法第二条第一項に規定する商品とする。
Article 15-26 The goods specified by Cabinet Order that are provided for in Article 35, paragraph (2), item (v)-2 of the Act are the commodities prescribed in Article 2, paragraph (1) of the Commodity Futures Act.
(顧客の判断に影響を及ぼす重要事項)
(Material Particulars That May Impact Customers' Judgment)
第十六条 法第三十七条第一項第三号に規定する政令で定めるものは、次に掲げるものとする。
Article 16 (1) The particulars specified by Cabinet Order that are provided for in Article 37, paragraph (1), item (iii) of the Act are as follows:
一 金融商品取引契約(法第三十四条に規定する金融商品取引契約をいう。以下同じ。)に関して顧客が支払うべき手数料、報酬その他の対価に関する事項であつて内閣府令で定めるもの
(i) the particulars of fees, remuneration, or any other consideration payable by the customer with regard to a Financial Instruments Transaction Contract (meaning a Financial Instruments Transaction Contract as defined in Article 34 of the Act; the same applies hereinafter) which are specified by Cabinet Office Order;
二 金融商品取引契約に関して顧客が預託すべき委託証拠金その他の保証金その他内閣府令で定めるものがある場合にあつては、その額又は計算方法
(ii) if there is customer margin or some other security deposit or any other thing specified by Cabinet Office Order payable by the customer with regard to the Financial Instruments Transaction Contract, the amount thereof or the calculation method therefor;
三 顧客が行うデリバティブ取引(法第二条第二十一項第三号に掲げる取引にあつては同号に規定する権利を行使することにより成立する同号イ及びロに掲げる取引をいい、同条第二十二項第三号に掲げる取引にあつては同号に規定する権利を行使することにより成立する同号イ及びロに掲げる取引をいい、同項第四号に掲げる取引にあつては同号に規定する権利を行使することにより成立する同号に規定する金銭を授受することとなる取引をいう。)、信用取引その他内閣府令で定める取引(以下この号及び第十八条第一項第三号において「デリバティブ取引等」という。)の額(取引の対価の額又は約定数値(法第二条第二十一項第二号に規定する約定数値をいう。以下同じ。)に、その取引の件数又は数量を乗じて得た額をいう。以下この号及び第十八条第一項第三号において同じ。)が、当該デリバティブ取引等について顧客が預託すべき委託証拠金その他の保証金その他内閣府令で定めるものの額(以下この条及び第十八条において「保証金等の額」という。)を上回る可能性がある場合にあつては、次に掲げる事項
(iii) if the Amount (meaning the amount obtained by multiplying the number or volume of the transactions to the amount of consideration offered for the transactions or the Agreed Figure (meaning the Agreed Figure prescribed in Article 2, paragraph (21), item (ii) of the Act; the same applies hereinafter); hereinafter the same applies in this item and Article 18, paragraph (1), item (iii)) of Derivative Transactions (in the case of the transactions set forth in Article 2, paragraph (21), item (iii) of the Act, they are the transactions set forth in (a) and (b) of that item which are closed by the exercise of the rights under that item, in the case of the transactions set forth in Article 2, paragraph (22), item (iii) of the Act, they are the transactions set forth in (a) and (b) of that item which are closed by the exercise of the rights under that item, and in the case of the transactions set forth in Article 2, paragraph (22), item (iv) of the Act, they are the transactions wherein money is paid or received as prescribed in that item and which are closed by the exercise of the rights under that item), Margin Transactions, and any other transaction specified by Cabinet Office Order conducted by a customer (hereinafter collectively referred to as the "Derivatives Transaction, etc." in this item and Article 18, paragraph (1), item (iii)) could exceed the amount of the customer margin or other security deposit, or any other amount specified by Cabinet Office Order payable by the customer with regard to the Derivatives Transaction, etc. (hereinafter collectively referred to as the "Amount of Security Deposit, etc." in this Article and Article 18), the following particulars:
イ 当該デリバティブ取引等の額が当該保証金等の額を上回る可能性がある旨
(a) to the effect that the Amount of the Derivatives Transaction, etc. may exceed the Amount of Security Deposit, etc.; and
ロ 当該デリバティブ取引等の額の当該保証金等の額に対する比率(当該比率を算出することができない場合にあつては、その旨及びその理由)
(b) the ratio of the Amount of the Derivatives Transaction, etc. to the Amount of Security Deposit, etc. (if that ratio cannot be calculated, an indication of this and the reason therefor);
四 顧客が行う金融商品取引行為(法第三十四条に規定する金融商品取引行為をいう。以下同じ。)について金利、通貨の価格、金融商品市場における相場その他の指標に係る変動を直接の原因として損失が生ずることとなるおそれがある場合にあつては、次に掲げる事項
(iv) the following particulars, if there is a risk for a loss to arise that has as its direct cause fluctuations in money rates, the value of currencies, quotations on a Financial Instruments Market, or any other indicator, as regards an act that constitutes a Financial Instruments transaction (meaning an act that constitutes a Financial Instruments transaction as prescribed in Article 34 of the Act; the same applies hereinafter) conducted by a customer:
イ 当該指標
(a) the indicator in question; and
ロ 当該指標に係る変動により損失が生ずるおそれがある旨及びその理由
(b) an indication of the risk that fluctuations in that indicator could give rise to a loss and the reasons for this;
五 前号の損失の額が保証金等の額を上回ることとなるおそれ(以下この号において「元本超過損が生ずるおそれ」という。)がある場合にあつては、次に掲げる事項
(v) if there is a risk that the amount of loss referred to in the preceding item could exceed the Amount of Security Deposit, etc. (hereinafter referred to as the "Risk of Loss in Excess of Principal" in this item), the following particulars:
イ 前号の指標のうち元本超過損が生ずるおそれを生じさせる直接の原因となるもの
(a) among the indicators under the preceding item, those which are the direct cause for the Risk of Loss in Excess of Principal; and
ロ イに掲げるものに係る変動により元本超過損が生ずるおそれがある旨及びその理由
(b) an indication that there is a Risk of Loss in Excess of Principal due to fluctuations in the indicator set forth in (a) and the reason therefor;
六 店頭デリバティブ取引について、金融商品取引業者等が表示する金融商品の売付けの価格と買付けの価格(法第二条第二十二項第二号から第六号までに掲げる取引にあつては、売付けの価格と買付けの価格に相当するものとして内閣府令で定める事項)とに差がある場合にあつては、その旨
(vi) if there is a difference between the sale price and purchase price of the Financial Instruments indicated by the Financial Instruments Business Operator, etc. with regard to the Over-the-Counter Derivatives Transactions (in cases of the transactions set forth in Article 2, paragraph (22), items (ii) to (vi) of the Act, the particulars specified by Cabinet Office Order as being equivalent to the sale price and purchase price), an indication of this; and
七 前各号に掲げる事項に準ずるものとして内閣府令で定める事項
(vii) the particulars specified by Cabinet Office Order as being equivalent to the particulars set forth in the preceding items.
2 法第三十七条第一項に規定する行為を一般放送事業者の放送設備により放送をさせる方法その他これに準ずるものとして内閣府令で定める方法によりする場合における同項第三号に規定する政令で定めるものは、前項の規定にかかわらず、次に掲げるものとする。
(2) Notwithstanding the provisions of the preceding paragraph, the particulars specified by Cabinet Order that are provided for in Article 37, paragraph (1), item (iii) of the Act, if the acts set forth in Article 37, paragraph (1) of the Act are to be carried out by way of broadcasting, using the broadcast equipment of a Private Broadcaster or any other means specified by Cabinet Office Order as being equivalent thereto, are as follows:
一 顧客が行う金融商品取引行為について金利、通貨の価格、金融商品市場における相場その他の指標に係る変動を直接の原因として損失が生ずることとなるおそれがある場合にあつては、当該おそれがある旨(当該損失の額が保証金等の額を上回ることとなるおそれがある場合にあつては、当該おそれがある旨を含む。)
(i) if there is a risk for a loss to arise that has as its direct cause fluctuations in money rates, the value of currencies, quotations on a Financial Instruments Market, or any other indicator, as regards an act that constitutes a Financial Instruments transaction conducted by a customer, an indication of this risk (if there is a risk that the amount of the loss may exceed the Amount of Security Deposit, etc., this includes an indication of that risk); and
二 前号に掲げる事項に準ずるものとして内閣府令で定める事項