金融商品取引法(昭和二十三年法律第二十五号)
Financial Instruments and Exchange Act(Act No. 25 of 1948)
最終更新:平成十八年法律第百九号
Last Version: Act No. 109 of 2006
TOC
History

  • July 25, 2023
    • Last Version: Act No. 68 of 2022
    • Translated Date: May 15, 2023
    • Dictionary Version: 15.0
  • March 3, 2021
    • Last Version: Act No. 28 of 2019
    • Translated Date: June 11, 2020
    • Dictionary Version: 14.0
  • December 12, 2019
    • Last Version: Act No. 46 of 2017
    • Translated Date: March 26, 2015
    • Dictionary Version: 9.0
  • January 23, 2015
    • Last Version: Act No. 32 of 2010
    • Translated Date: June 2, 2010
    • Dictionary Version: 5.0
  • July 13, 2010
    • Last Version: Act No. 109 of 2006
    • Translated Date: June 16, 2009
    • Dictionary Version: 3.0

金融商品取引法
Financial Instruments and Exchange Act
昭和二十三年四月十三日法律第二十五号
Act No. 25 of April 13, 1948
第一章 総則(第一条・第二条)
Chapter I General Provisions(Article 1 and Article 2)
第二章 企業内容等の開示(第二条の二―第二十七条)
Chapter II Disclosure of Corporate Affairs and Other Related Matters(Article 2-2 - Article 27)
第二章の二 公開買付けに関する開示
Chapter II-2 Disclosure Required for Tender Offer
第一節 発行者以外の者による株券等の公開買付け(第二十七条の二―第二十七条の二十二)
Section 1 Tender Offer for Share Certificates, etc. by Person Other Than Issuer(Article 27-2 - Article 27-22)
第二節 発行者による上場株券等の公開買付け(第二十七条の二十二の二―第二十七条の二十二の四)
Section 2 Tender Offer for Share Certificates, etc. by Issuer(Article 27-22-2 - Article 27-22-4)
第二章の三 株券等の大量保有の状況に関する開示(第二十七条の二十三―第二十七条の三十)
Chapter II-3 Disclosure of Status of Large Volume Holding of Share Certificates, etc.(Article 27-23 - Article 27-30)
第二章の四 開示用電子情報処理組織による手続の特例等(第二十七条の三十の二―第二十七条の三十の十一)
Chapter II-4 Special Provisions, etc. for Procedures by Use of Electronic Data Processing System for Disclosure(Article 27-30-2 - Article 27-30-11)
第三章 金融商品取引業者等
Chapter III Financial Instruments Business Operators, etc.
第一節 総則
Section 1 General Provisions
第一款 通則(第二十八条)
Subsection 1 General Rules(Article 28)
第二款 金融商品取引業者(第二十九条―第三十一条の五)
Subsection 2 Financial Instruments Business Operators(Article 29 - Article 31-5)
第三款 主要株主(第三十二条―第三十二条の四)
Subsection 3 Major Shareholders(Article 32 - Article 32-4)
第四款 登録金融機関(第三十三条―第三十三条の八)
Subsection 4 Registered Financial Institutions(Article 33 - Article 33-8)
第五款 特定投資家(第三十四条―第三十四条の五)
Subsection 5 Professional Investors(Article 34 - Article 34-5)
第二節 業務
Section 2 Businesses
第一款 通則(第三十五条―第四十条の三)
Subsection 1 General Rules(Article 35 - Article 40-3)
第二款 投資助言業務に関する特則(第四十一条―第四十一条の五)
Subsection 2 Special Provisions Concerning Investment Advisory Business(Article 41 - Article 41-5)
第三款 投資運用業に関する特則(第四十二条―第四十二条の八)
Subsection 3 Special Provisions Concerning Investment Management Business(Article 42 - Article 42-8)
第四款 有価証券等管理業務に関する特則(第四十三条―第四十三条の四)
Subsection 4 Special Provisions Concerning Securities, etc. Management Business(Article 43 - Article 43-4)
第五款 弊害防止措置等(第四十四条―第四十四条の四)
Subsection 5 Preventive Measures against Adverse Effects(Article 44 - Article 44-4)
第六款 雑則(第四十五条)
Subsection 6 Miscellaneous Provisions(Article 45)
第三節 経理
Section 3 Accounting
第一款 第一種金融商品取引業を行う金融商品取引業者(第四十六条―第四十六条の六)
Subsection 1 Financial Instruments Business Operator Engaged in Type I Financial Instruments Business(Article 46 - Article 46-6)
第二款 第一種金融商品取引業を行わない金融商品取引業者(第四十七条―第四十七条の三)
Subsection 2 Financial Instruments Business Operators not Engaged in Type I Financial Instruments Business(Article 47 - Article 47-3)
第三款 登録金融機関(第四十八条―第四十八条の三)
Subsection 3 Registered Financial Institutions(Article 48 - Article 48-3)
第四款 外国法人等に対する特例(第四十九条―第四十九条の五)
Subsection 4 Special Provisions for Foreign Juridical Persons, etc.(Article 49 - Article 49-5)
第四節 監督(第五十条―第五十七条)
Section 4 Supervision(Article 50 - Article 57)
第五節 外国業者に関する特例
Section 5 Special Provisions for Foreign Business Operators
第一款 外国証券業者(第五十八条・第五十八条の二)
Subsection 1 Foreign Securities Brokers(Article 58 - Article 58-2)
第二款 引受業務の一部の許可(第五十九条―第五十九条の六)
Subsection 2 Permission of Part of Underwriting Business(Article 59 - Article 59-6)
第三款 取引所取引業務の許可(第六十条―第六十条の十三)
Subsection 3 Permission of Transaction-at-Exchange Operation(Article 60 - Article 60-13)
第四款 外国において投資助言業務又は投資運用業を行う者(第六十一条)
Subsection 4 Person Who Conducts Investment Advisory Business or Investment Management Business in Foreign State(Article 61)
第五款 情報収集のための施設の設置(第六十二条)
Subsection 5 Establishment of an Institution for Collecting Information(Article 62)
第六節 適格機関投資家等特例業務に関する特例(第六十三条―第六十三条の四)
Section 6 Special Provisions Concerning Specially Permitted Businesses for Qualified Institutional Investor, etc.(Article 63 - Article 63-4)
第七節 外務員(第六十四条―第六十四条の九)
Section 7 Sales Representatives(Article 64 - Article 64-9)
第八節 雑則(第六十五条―第六十五条の六)
Section 8 Miscellaneous Provisions(Article 65 - Article 65-6)
第三章の二 金融商品仲介業者
Chapter III-2 Financial Instruments Intermediary Service Providers
第一節 総則(第六十六条―第六十六条の六)
Section 1 General Provisions(Article 66 - Article 66-6)
第二節 業務(第六十六条の七―第六十六条の十五)
Section 2 Business(Article 66-7 - Article 66-15)
第三節 経理(第六十六条の十六―第六十六条の十八)
Section 3 Accounting(Article 66-16 - Article 66-18)
第四節 監督(第六十六条の十九―第六十六条の二十三)
Section 4 Supervision(Article 66-19 - Article 66-23)
第五節 雑則(第六十六条の二十四―第六十六条の二十六)
Section 5 Miscellaneous Provisions(Article 66-21 - Article 66-26)
第四章 金融商品取引業協会
Chapter IV Financial Instruments Firms Association
第一節 認可金融商品取引業協会
Section 1 Authorized Financial Instruments Firms Association
第一款 設立及び業務(第六十七条―第六十七条の二十)
Subsection 1 Establishment and Business(Article 67 - Article 67-20)
第二款 協会員(第六十八条・第六十八条の二)
Subsection 2 Association Members(Article 68 and Article 68-2)
第三款 管理(第六十九条―第七十二条)
Subsection 3 Management(Article 69 - Article 72)
第四款 監督(第七十三条―第七十六条)
Subsection 4 Supervision(Article 73 - Article 76)
第五款 雑則(第七十七条―第七十七条の七)
Subsection 5 Miscellaneous Provisions(Article 77 - Article 77-7)
第二節 公益法人金融商品取引業協会
Section 2 Public Interest Corporation-Type Financial Instruments Firms Associations
第一款 認定及び業務(第七十八条―第七十九条)
Subsection 1 Recognition and Activities(Article 78 - Article 79)
第二款 監督(第七十九条の二―第七十九条の六)
Subsection 2 Supervision(Article 79-2 - Article 79-6)
第三節 認定投資者保護団体(第七十九条の七―第七十九条の十九)
Section 3 Certified Investor Protection Organization(Article 79-7 - Article 79-19)
第四章の二 投資者保護基金
Chapter IV-2 Investor Protection Fund
第一節 総則(第七十九条の二十―第七十九条の二十五)
Section 1 General Provisions(Article 79-20 - Article 79-25)
第二節 会員(第七十九条の二十六―第七十九条の二十八)
Section 2 Members(Article 79-26 - Article 79-28)
第三節 設立(第七十九条の二十九―第七十九条の三十三)
Section 3 Establishment(Article 79-29 - Article 79-33)
第四節 管理(第七十九条の三十四―第七十九条の四十八)
Section 4 Management(Article 79-34 - Article 79-48)
第五節 業務(第七十九条の四十九―第七十九条の六十二)
Section 5 Business(Article 79-49 - Article 79-62)
第六節 負担金(第七十九条の六十三―第七十九条の六十七)
Section 6 Burden Charge(Article 79-63 - Article 79-67)
第七節 財務及び会計(第七十九条の六十八―第七十九条の七十四)
Section 7 Finance and Accounting(Article 68 - Article 79-74)
第八節 監督(第七十九条の七十五―第七十九条の七十七)
Section 8 Supervision(Article 79-75 - Article 79-77)
第九節 解散(第七十九条の七十八―第七十九条の八十)
Section 9 Dissolution(Article 79-78 - Article 79-80)
第五章 金融商品取引所
Chapter V Financial Instruments Exchange
第一節 総則(第八十条―第八十七条の九)
Section 1 General Provisions(Article 80 - Article 89-9)
第二節 金融商品会員制法人及び自主規制法人並びに取引所金融商品市場を開設する株式会社
Section 2 Financial Instruments Membership Corporation and Self-Regulation Organization; and Stock Company Which Establishes Financial Instruments Exchange Market
第一款 金融商品会員制法人
Subsection 1 Financial Instruments Membership Corporation
第一目 設立(第八十八条―第八十八条の二十二)
Division 1 Establishment(Article 88 - Article 88-22)
第二目 登記(第八十九条―第九十条)
Division 2 Registration(Article 89 - Article 90)
第三目 会員(第九十一条―第九十六条)
Division 3 Members(Article 91 - Article 96)
第四目 管理(第九十七条―第九十九条)
Division 4 Administration(Article 97 - Article 99)
第五目 解散(第百条―第百条の二十五)
Division 5 Dissolution(Article 100 - Article 100-25)
第六目 組織変更(第百一条―第百二条)
Division 6 Entity Conversion(Article 101 - Article 102)
第一款の二 自主規制法人
Subsection 1-2 Self-Regulation Organization
第一目 設立(第百二条の二―第百二条の七)
Division 1 Establishment(Article 102-2 - Article 102-7)
第二目 登記(第百二条の八―第百二条の十一)
Division 2 Registration(Article 102-8 - Article 102-11)
第三目 会員(第百二条の十二・第百二条の十三)
Division 3 Membership(Article 102-12 - Article 102-13)
第四目 自主規制業務(第百二条の十四―第百二条の二十)
Division 4 Self-Regulation Related Services(Article 102-14 - Article 102-20)
第五目 管理(第百二条の二十一―第百二条の三十四)
Division 5 Administration(Article 102-21 - Article 102-34)
第六目 解散(第百二条の三十五―第百二条の三十九)
Division 6 Dissolution(Article 102-35 - Article 102-39)
第二款 取引所金融商品市場を開設する株式会社
Subsection 2 Stock Company which Establishes Financial Instruments Exchange Markets
第一目 総則(第百三条―第百五条の三)
Division 1 General Provisions(Article 103 - Article 105-3)
第二目 自主規制委員会(第百五条の四―第百六条の二)
Division 2 Self-Regulating Committee(Article 105-4 - Article 106-2)
第三目 主要株主(第百六条の三―第百六条の九)
Division 3 Major Shareholders(Article 106-3 - Article 106-9)
第四目 金融商品取引所持株会社(第百六条の十―第百九条)
Division 4 Financial Instruments Exchange Holding Company(Article 106-10 - Article 109)
第三節 取引所金融商品市場における有価証券の売買等(第百十条―第百三十三条)
Section 3 Sales and Purchase of Securities, etc. in Financial Instruments Exchange Market(Article 110 - Article 133)
第四節 金融商品取引所の解散等
Section 4 Dissolution, etc. of Financial Instruments Exchange
第一款 解散(第百三十四条・第百三十五条)
Subsection 1 Dissolution(Article 134 and Article 135)
第二款 合併
Subsection 2 Merger
第一目 通則(第百三十六条)
Division 1 General Rules(Article 136)
第二目 会員金融商品取引所と会員金融商品取引所との合併(第百三十七条・第百三十八条)
Division 2 Merger between Membership-Type Financial Instruments Exchange and Membership-Type Financial Instruments Exchange(Article 137, Article 138)
第三目 会員金融商品取引所と株式会社金融商品取引所との合併(第百三十九条・第百三十九条の二)
Division 3 Merger between Membership-Type Financial Instruments Exchange and Stock Company-Type Financial Instruments Exchange(Article 139, Article 139-2)
第四目 会員金融商品取引所の合併の手続(第百三十九条の三―第百三十九条の六)
Division 4 Merger Procedures of Membership-Type Financial Instruments Exchange(Article 139-3 - Article 139-6)
第五目 株式会社金融商品取引所の合併の手続(第百三十九条の七―第百三十九条の二十一)
Division 5 Merger Procedures of Stock Company-Type Financial Instruments Exchange(Article 139-7 - Article 139-21)
第六目 合併の効力の発生等(第百四十条―第百四十七条)
Division 6 Effectuation, etc. of Merger(Article 140 - Article 147)
第五節 監督(第百四十八条―第百五十三条の四)
Section 5 Supervision(Article 148 - Article 153-4)
第六節 雑則(第百五十四条・第百五十四条の二)
Section 6 Miscellaneous Provisions(Article 154 and Article 154-2)
第五章の二 外国金融商品取引所
Chapter V-2 Foreign Financial Instruments Exchange
第一節 総則(第百五十五条―第百五十五条の五)
Section 1 General Provisions(Article 155 - Article 155-5)
第二節 監督(第百五十五条の六―第百五十五条の十)
Section 2 Supervision(Article 155-6 - Article 155-10)
第三節 雑則(第百五十六条)
Section 3 Miscellaneous Provision(Article 156)
第五章の三 金融商品取引清算機関等
Chapter V-3 Financial Instruments Clearing Organization, etc.
第一節 金融商品取引清算機関(第百五十六条の二―第百五十六条の二十)
Section 1 Financial Instruments Clearing Organization(Article 156-2 - Article 156-20)
第二節 雑則(第百五十六条の二十一・第百五十六条の二十二)
Section 2 Miscellaneous Provisions(Article 156-21, Article 156-22)
第五章の四 証券金融会社(第百五十六条の二十三―第百五十六条の三十七)
Chapter V-4 Securities Finance Company(Article 156-23 - Article 156-37)
第六章 有価証券の取引等に関する規制(第百五十七条―第百七十一条)
Chapter VI Regulations on Transactions, etc. of Securities(Article 157 - Article 171)
第六章の二 課徴金
Chapter VI-2 Administrative Monetary Penalty
第一節 納付命令(第百七十二条―第百七十七条)
Section 1 Payment Order(Article 172 - Article 177)
第二節 審判手続(第百七十八条―第百八十五条の十七)
Section 2 Trial Procedures(Article 178 - Article 185-17)
第三節 訴訟(第百八十五条の十八)
Section 3 Lawsuit(Article 185-18)
第四節 雑則(第百八十五条の十九―第百八十五条の二十一)
Section 4 Miscellaneous Provisions(Article 185-19 - Article 185-21)
第七章 雑則(第百八十六条―第百九十六条の二)
Chapter VII Miscellaneous Provisions(Article 186 - Article 196-2)
第八章 罰則(第百九十七条―第二百九条)
Chapter VIII Penal Provisions(Article 197 - Article 209)
第九章 犯則事件の調査等(第二百十条―第二百二十七条)
Chapter IX Investigation into a Criminal Case, etc.(Article 210 - Article 227)
附 則
Supplementary Provisions
第一章 総則
Chapter I General Provisions
(目的)
(Purpose)
第一条この法律は、企業内容等の開示の制度を整備するとともに、金融商品取引業を行う者に関し必要な事項を定め、金融商品取引所の適切な運営を確保すること等により、有価証券の発行及び金融商品等の取引等を公正にし、有価証券の流通を円滑にするほか、資本市場の機能の十全な発揮による金融商品等の公正な価格形成等を図り、もつて国民経済の健全な発展及び投資者の保護に資することを目的とする。
Article 1The purpose of this Act is, inter alia, by developing systems for disclosure of corporate affairs and other related matters, providing for necessary matters relating to persons who engage in Financial Instruments Business and securing appropriate operation of Financial Instruments Exchanges, to ensure fairness in, inter alia, issuance of the Securities and transactions of Financial Instruments, etc. and to facilitate the smooth distribution of Securities, as well as to aim at fair price formation of Financial Instruments, etc. through the full utilization of functions of the capital market, thereby contributing to the sound development of the national economy and protection of investors.
(定義)
(Definitions)
第二条この法律において「有価証券」とは、次に掲げるものをいう。
Article 2(1)The term "Securities" as used in this Act means the following:
国債証券
(i)national government bonds;
地方債証券
(ii)municipal bonds;
特別の法律により法人の発行する債券(次号及び第十一号に掲げるものを除く。)
(iii)debentures issued by a juridical person under a special Act (excluding those listed in the following item and item (xi));
資産の流動化に関する法律(平成十年法律第百五号)に規定する特定社債券
(iv)specified bonds prescribed in the Act on the Securitization of Assets (Act No. 105 of 1998);
社債券(相互会社の社債券を含む。以下同じ。)
(v)bonds (including those issued by a mutual company; the same shall apply hereinafter);
特別の法律により設立された法人の発行する出資証券(次号、第八号及び第十一号に掲げるものを除く。)
(vi)investment securities issued by a juridical person established under a special Act (excluding those listed in the following item, item (viii) and item (xi));
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
(vii)preferred equity investment certificates prescribed in the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993; (hereinafter referred to as the "Act on Preferred Equity Investment");
資産の流動化に関する法律に規定する優先出資証券又は新優先出資引受権を表示する証券
(viii)preferred equity investment certificates and securities indicating preemptive rights for new preferred equity investment prescribed in the Act on the Securitization of Assets;
株券又は新株予約権証券
(ix)share certificates and share option certificates;
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)に規定する投資信託又は外国投資信託の受益証券
(x)beneficiary securities of investment trusts or foreign investment trusts prescribed in the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951);
十一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若しくは投資法人債券又は外国投資証券
(xi)investment securities or investment corporation debentures, or foreign investment securities prescribed in the Act on Investment Trusts and Investment Corporations;
十二貸付信託の受益証券
(xii)beneficiary securities of loan trusts;
十三資産の流動化に関する法律に規定する特定目的信託の受益証券
(xiii)beneficiary securities of specific purpose trusts prescribed in the Act on the Securitization of Assets;
十四信託法(平成十八年法律第百八号)に規定する受益証券発行信託の受益証券
(xiv)beneficiary securities of beneficiary securities issuing trusts prescribed in the Trust Act (Act No. 108 of 2006);
十五法人が事業に必要な資金を調達するために発行する約束手形のうち、内閣府令で定めるもの
(xv)promissory notes which have been issued by a juridical person in order to raise funds necessary to operate its business and are specified by a Cabinet Office Ordinance;
十六抵当証券法(昭和六年法律第十五号)に規定する抵当証券
(xvi)mortgage securities prescribed in the Mortgage Securities Act (Act No. 15 of 1931);
十七外国又は外国の者の発行する証券又は証書で第一号から第九号まで又は第十二号から前号までに掲げる証券又は証書の性質を有するもの(次号に掲げるものを除く。)
(xvii)securities or certificates which have been issued by a foreign state or foreign person and have the nature of securities or certificates listed in items (i) to (ix) or item (xvii) up to the preceding item (excluding those specified in the following item);
十八外国の者の発行する証券又は証書で銀行業を営む者その他の金銭の貸付けを業として行う者の貸付債権を信託する信託の受益権又はこれに類する権利を表示するもののうち、内閣府令で定めるもの
(xviii)securities or certificates which have been issued by a foreign person, indicate a beneficial interest of a trust in which loan claims held by persons engaging in banking business or persons otherwise conducting money loan in the course of trade are entrusted, or indicate any other similar rights, and are specified by a Cabinet Office Ordinance;
十九金融商品市場において金融商品市場を開設する者の定める基準及び方法に従い行う第二十一項第三号に掲げる取引に係る権利、外国金融商品市場(第八項第三号ロに規定する外国金融商品市場をいう。以下この号において同じ。)において行う取引であつて第二十一項第三号に掲げる取引と類似の取引に係る権利又は金融商品市場及び外国金融商品市場によらないで行う第二十二項第三号若しくは第四号に掲げる取引に係る権利(以下「オプション」という。)を表示する証券又は証書
(xix)securities or certificates which indicate rights pertaining to transactions specified in Article 2 (21)(iii) conducted in a Financial Instruments Market, in accordance with such requirements and by using such methods as prescribed by the operator of the Financial Instruments Market, rights pertaining to transactions which are conducted in a Foreign Financial Instruments Market (meaning the Foreign Financial Instruments Market defined in Article 2 (8)(iii)(b); hereinafter the same shall apply in this item) and are similar to the ones specified in Article 2 (21)(iii), or rights pertaining to transactions specified in Article 2 (22)(iii) or (iv) conducted in neither a Financial Instruments Market nor a Foreign Financial Instruments Market (those rights are hereinafter referred to as "Options");
二十前各号に掲げる証券又は証書の預託を受けた者が当該証券又は証書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又は証書に係る権利を表示するもの
(xx)securities or certificates which have been issued by a person to whom securities or certificates listed in any of the preceding items are deposited and in a state other than the state in which the deposited securities or certificates were issued and which indicate the rights pertaining to the deposited securities or certificates; and
二十一前各号に掲げるもののほか、流通性その他の事情を勘案し、公益又は投資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政令で定める証券又は証書
(xxi)in addition to what is listed in the preceding items, securities or certificates specified by a Cabinet Order as those for which it is found, when taking into consideration the liquidity thereof and other factors, necessary to secure the public interest or protection of investors.
前項第一号から第十五号までに掲げる有価証券、同項第十七号に掲げる有価証券(同項第十六号に掲げる有価証券の性質を有するものを除く。)及び同項第十八号に掲げる有価証券に表示されるべき権利並びに同項第十六号に掲げる有価証券、同項第十七号に掲げる有価証券(同項第十六号に掲げる有価証券の性質を有するものに限る。)及び同項第十九号から第二十一号までに掲げる有価証券であつて内閣府令で定めるものに表示されるべき権利(以下この項及び次項において「有価証券表示権利」と総称する。)は、有価証券表示権利について当該権利を表示する当該有価証券が発行されていない場合においても、当該権利を当該有価証券とみなし、次に掲げる権利は、証券又は証書に表示されるべき権利以外の権利であつても有価証券とみなして、この法律の規定を適用する。
(2)Rights to be indicated on Securities listed in items (i) to (xv) of the preceding paragraph, on Securities listed in item (xvii) of said paragraph (excluding those which have the nature of Securities listed in item (xvi) of said paragraph) and on Securities listed in item (xviii) of said paragraph, and rights to be indicated on Securities listed in item (xvi) of said paragraph, on Securities listed in (xvii) of said paragraph (limited to those which have the nature of Securities listed in item (xvi) of said paragraph) and on Securities listed in items (xix) to (xxi) of said paragraph which are specified by a Cabinet Office Ordinance (hereinafter collectively referred to as "Rights to Be Indicated on Securities" in this and following paragraphs) shall, even when Securities indicating these rights have not been issued, be deemed as Securities indicating these rights, and the rights listed in the following items shall, even when they are not indicated on securities or certificates, be deemed as Securities indicating these rights, and the provisions of this Act shall apply to all these rights:
信託の受益権(前項第十号に規定する投資信託の受益証券に表示されるべきもの及び同項第十二号から第十四号までに掲げる有価証券に表示されるべきものを除く。)
(i)beneficial interests of a trust (excluding those to be indicated on beneficiary securities of investment trusts specified in item (x) of the preceding paragraph and those to be indicated on Securities listed in any of items (xii) to (xiv) of said paragraph);
外国の者に対する権利で前号に掲げる権利の性質を有するもの(前項第十号に規定する外国投資信託の受益証券に表示されるべきもの並びに同項第十七号及び第十八号に掲げる有価証券に表示されるべきものに該当するものを除く。)
(ii)rights which are claimable against a foreign person and which have the nature of the rights specified in the preceding item (excluding those to be indicated on beneficiary securities of foreign investment trusts specified in item (x) of the preceding paragraph and those to be indicated on Securities listed in item (xvii) or (xviii) of the same paragraph);
合名会社若しくは合資会社の社員権(政令で定めるものに限る。)又は合同会社の社員権
(iii)membership rights of a general partnership company or limited partnership company (limited to those specified by a Cabinet Order) or membership rights of a limited liability company;
外国法人の社員権で前号に掲げる権利の性質を有するもの
(iv)membership rights of a foreign juridical person which has the nature of rights specified in the preceding item;
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、商法(明治三十二年法律第四十八号)第五百三十五条に規定する匿名組合契約、投資事業有限責任組合契約に関する法律(平成十年法律第九十号)第三条第一項に規定する投資事業有限責任組合契約又は有限責任事業組合契約に関する法律(平成十七年法律第四十号)第三条第一項に規定する有限責任事業組合契約に基づく権利、社団法人の社員権その他の権利(外国の法令に基づくものを除く。)のうち、当該権利を有する者(以下この号において「出資者」という。)が出資又は拠出をした金銭(これに類するものとして政令で定めるものを含む。)を充てて行う事業(以下この号において「出資対象事業」という。)から生ずる収益の配当又は当該出資対象事業に係る財産の分配を受けることができる権利であつて、次のいずれにも該当しないもの(前項各号に掲げる有価証券に表示される権利及びこの項(この号を除く。)の規定により有価証券とみなされる権利を除く。)
(v)among rights based on a partnership contract provided in Article 667 (1) of the Civil Code (Act No. 89 of 1896), an anonymous partnership agreement in Article 535 of the Commercial Code (Act No. 48 of 1899), an investment limited partnership agreement provided in Article 3 (1) of the Investment Limited Partnership Act (Act No. 90 of 1998) or a limited liability partnership agreement provided in Article 3 (1) of the Limited Liability Partnership Act (Act No. 40 of 2005), membership rights of an incorporated association or other rights (excluding those based on laws and regulations of a foreign state), rights for which the holders thereof (hereinafter referred to as an "Equity Investor" in this item) can receive dividend of profits arising from the business conducted by using money (including those specified by a Cabinet Order as being similar to money) invested or contributed by the Equity Investors (such business is hereinafter referred to as the "Invested Business" in this item) or distribution of the assets of the Invested Business and which does not fall under any category listed in the following items (excluding Rights to Be Indicated on Securities listed in the items of the preceding paragraph and rights which are regarded as Securities under this paragraph (excluding this item)):
出資者の全員が出資対象事業に関与する場合として政令で定める場合における当該出資者の権利
(a)rights of an Equity Investor in cases where all of the Equity Investors participate in the Invested Business as specified by a Cabinet Order;
出資者がその出資又は拠出の額を超えて収益の配当又は出資対象事業に係る財産の分配を受けることがないことを内容とする当該出資者の権利(イに掲げる権利を除く。)
(b)rights of an Equity Investor where it is provided that Equity Investors will not receive dividend of profits or distribution of the assets of the Invested Business in an amount exceeding the amount invested or contributed by them (excluding rights listed in (a));
保険業法(平成七年法律第百五号)第二条第一項に規定する保険業を行う者が保険者となる保険契約、農業協同組合法(昭和二十二年法律第百三十二号)第十条第一項第十号に規定する事業を行う同法第五条に規定する組合と締結した共済契約、中小企業等協同組合法(昭和二十四年法律第百八十一号)第九条の二第七項に規定する共済事業を行う同法第三条に規定する組合と締結した共済契約又は不動産特定共同事業法(平成六年法律第七十七号)第二条第三項に規定する不動産特定共同事業契約に基づく権利(イ及びロに掲げる権利を除く。)
(c)rights based on an insurance contract in which a person who engages in insurance business as defined in Article 2 (1) of the Insurance Business Act (Act No. 105 of 1995) is the insurer, a mutual aid contract concluded with a cooperative specified in Article 5 of the Agricultural Cooperatives Act (Act No. 132 of 1947) which engages in the service specified in Article 10 (1)(x) of said Act, a mutual aid contract concluded with a cooperative provided in Article 3 of the Small and Medium Sized Enterprise, etc., Cooperatives Act (Act No. 181 of 1949) which engages in the mutual aid service specified in Article 9-2 (7) of said Act or a real estate specified joint enterprise contract defined in Article 2 (3) of the Real Estate Specified Joint Enterprise Act (Act No. 77 of 1994) (excluding rights listed in (a) and (b)); or
イからハまでに掲げるもののほか、当該権利を有価証券とみなさなくても公益又は出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権利
(d)in addition to what are listed in (a) to (c), rights specified by a Cabinet Order as those for which it is found not to hinder the public interest or protection of Equity Investors even if they are not regarded as Securities.
外国の法令に基づく権利であつて、前号に掲げる権利に類するもの
(vi)rights based on laws and regulations of a foreign state which are similar to those specified in the preceding item; or
前各号に掲げるもののほか、前項に規定する有価証券及び前各号に掲げる権利と同様の経済的性質を有することその他の事情を勘案し、有価証券とみなすことにより公益又は投資者の保護を確保することが必要かつ適当と認められるものとして政令で定める権利
(vii)in addition to what are listed in the preceding items, rights specified by a Cabinet Order as those for which it is found, when taking into consideration the fact that they have an economic nature similar to Securities provided in the preceding paragraph and rights listed in the preceding items and other circumstances, necessary and appropriate to secure the public interest or protection of investors by deeming them as Securities.
この法律において、「有価証券の募集」とは、新たに発行される有価証券の取得の申込みの勧誘(これに類するものとして内閣府令で定めるものを含む。以下この項において「取得勧誘」という。)のうち、当該取得勧誘が第一項に掲げる有価証券又は前項の規定により有価証券とみなされる有価証券表示権利(次項第一号、次条第四項及び第五項並びに第二十三条の十三第三項において「第一項有価証券」という。)に係るものである場合にあつては第一号及び第二号に掲げる場合、当該取得勧誘が前項の規定により有価証券とみなされる同項各号に掲げる権利(次項第二号、次条第四項及び第五項並びに第二十三条の十三第三項において「第二項有価証券」という。)に係るものである場合にあつては第三号に掲げる場合に該当するものをいい、「有価証券の私募」とは、取得勧誘であつて有価証券の募集に該当しないものをいう。
(3)The term "Public Offering of Securities" as used in this Act means, among solicitations of an application to acquire newly issued Securities (including those specified by a Cabinet Office Ordinance as being similar to such solicitation, and hereinafter referred to as "Solicitation for Acquisition" in this paragraph), Solicitation for Acquisition specified in item (i) or (ii) below in the case of those conducted with regard to Securities listed in paragraph (1) or Rights to Be Indicated on Securities which are regarded as Securities under the preceding paragraph (such Securities or rights are referred to as "Paragraph (1) Securities" in item (i) of the following paragraph, paragraphs (4) and (5) of the following Article and Article 23-13 (3)), and Solicitation for Acquisition specified in item (iii) below in the case of those conducted with regard to rights which are regarded as Securities under the items of the preceding paragraph (such rights are referred to as "Paragraph (2) Securities" in item (ii) of the following paragraph, paragraph(4) and (5) of the following Article and Article 23-13 (3)), and the term "Private Placement of Securities" means a Solicitation for Acquisition which does not come within the purview of Public Offering of Securities:
多数の者(適格機関投資家(有価証券に対する投資に係る専門的知識及び経験を有する者として内閣府令で定める者をいう。以下同じ。)が含まれる場合であつて、当該有価証券がその取得者である適格機関投資家から適格機関投資家以外の者に譲渡されるおそれが少ないものとして政令で定める場合に該当するときは、当該適格機関投資家を除く。)を相手方として行う場合として政令で定める場合(適格機関投資家のみを相手方とする場合を除く。)
(i)Solicitation for Acquisition made to a large number of persons (other than Qualified Institutional Investors (meaning persons specified by a Cabinet Office Ordinance as those having expert knowledge of and experience with investment in Securities; the same shall apply hereinafter), if Qualified Institutional Investors are included in the persons to which the Solicitation for Acquisition is made and if the solicited Securities are, as specified by a Cabinet Order, not likely to be transferred from the Qualified Institutional Investor who acquired them to any other person other than Qualified Institutional Investors) as specified by a Cabinet Order (excluding those which are made only to Qualified Institutional Investors); and
前号に掲げる場合のほか、次に掲げる場合のいずれにも該当しない場合
(ii)in addition to the Solicitation for Acquisition specified in the preceding item, those which do not fall under any of the following items: and
適格機関投資家のみを相手方として行う場合であつて、当該有価証券がその取得者から適格機関投資家以外の者に譲渡されるおそれが少ないものとして政令で定める場合
(a)Solicitation for Acquisition which is made only to Qualified Institutional Investors, if the solicited Securities are, as specified by a Cabinet Order, not likely to be transferred from the person who acquired them to any other person other than Qualified Institutional Investors; and
前号に掲げる場合及びイに掲げる場合以外の場合(政令で定める要件に該当する場合を除く。)であつて、当該有価証券がその取得者から多数の者に譲渡されるおそれが少ないものとして政令で定める場合
(b)Solicitation for Acquisition which does not fall under the categories specified in the preceding item or (a) of this item (excluding those meeting the requirements specified by a Cabinet Order), if the offered Securities are, as specified by a Cabinet Order, not likely to be transferred from the person who acquired them to a large number of persons.
その取得勧誘に応じることにより相当程度多数の者が当該取得勧誘に係る有価証券を所有することとなる場合として政令で定める場合
(iii)Solicitation for Acquisition which, as specified by a Cabinet Order, will render the Securities pertaining thereto to be held by a considerably large number of persons who respond to the solicitation.
この法律において「有価証券の売出し」とは、既に発行された有価証券の売付けの申込み又はその買付けの申込みの勧誘(第二号において「売付け勧誘等」という。)のうち、次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当するもの(取引所金融商品市場における有価証券の売買及びこれに準ずる取引その他の政令で定める有価証券の取引に係るものを除く。)をいう。
(4)The term "Secondary Distribution of Securities" as used in this Act means, among solicitations of an application to sell or purchase already-issued Securities (referred to as "Solicitation for Selling, etc." in item (ii)), those falling under the categories specified for each kind of Securities in the following items (excluding those made relating to sales and purchase of Securities in a Financial Instruments Exchange Market and a transaction equivalent thereto and other transactions of Securities specified by a Cabinet Order):
第一項有価証券均一の条件で、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
(i)Paragraph (1) Securities:those to be made to a large number of persons on the same conditions specified by a Cabinet Order; and
第二項有価証券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相当程度多数の者が所有することとなる場合として政令で定める場合
(ii)Paragraph (2) Securities:those which, as specified by a Cabinet Order, will render the Securities pertaining thereto to be held by a considerably large number of persons who respond to the solicitation.
この法律において、「発行者」とは、有価証券を発行し、又は発行しようとする者(内閣府令で定める有価証券については、内閣府令で定める者)をいうものとし、証券又は証書に表示されるべき権利以外の権利で第二項の規定により有価証券とみなされるものについては、権利の種類ごとに内閣府令で定める者が内閣府令で定める時に当該権利を有価証券として発行するものとみなす。
(5)The term "Issuer" as used in this Act means a person who issues, or intends to issue, Securities (or a person specified by a Cabinet Office Ordinance for Securities specified by the Cabinet Office Ordinance), and rights which are not rights to be indicated on Securities or certificates but are regarded as Securities under paragraph (2) are deemed to be Securities issued by such person as specified for each kind of rights by a Cabinet Office Ordinance at such time as specified by a Cabinet Office Ordinance.
この法律(第五章を除く。)において「引受人」とは、有価証券の募集若しくは売出し又は私募に際し、次の各号のいずれかを行う者をいう。
(6)The term "Underwriter" as used in this Act (excluding Chapter V) means a person who, at the time of Public Offering, Secondary Distribution and Private Placement of Securities, conducts any of the acts set forth in the following items:
当該有価証券を取得させることを目的として当該有価証券の全部又は一部を取得すること。
(i)acquires all or part of the Securities for the purpose of having other persons acquire them; or
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取得することを内容とする契約をすること。
(ii)concludes a contract in which, with regard to all or part of the Securities, it promises to acquire all of the remaining Securities which are not acquired by any other person.
この法律において「有価証券届出書」とは、第五条第一項(同条第五項において準用する場合を含む。以下同じ。)の規定による届出書及び同条第六項の規定によりこれに添付する書類並びに第七条、第九条第一項又は第十条第一項の規定による訂正届出書をいう。
(7)The term "Securities Registration Statement" as used in this Act means statements referred to in Article 5 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 5 (5); the same shall apply hereinafter) and documents to be attached thereto under Article 5 (6) and Amendment referred to in Article 7, 9(1) or 10(1).
この法律において「金融商品取引業」とは、次に掲げる行為(その内容等を勘案し、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及び銀行、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。)その他政令で定める金融機関が行う第十二号、第十四号、第十五号又は第二十八条第八項各号に掲げるものを除く。)のいずれかを業として行うことをいう。
(8)The term "Financial Instruments Business" as used in this Act means the following acts (excluding acts specified by a Cabinet Order as those for which it is found not to hinder the protection of investors when taking into account its content and other related factors, and acts listed in item (xii), (xiv) or (xv) in this paragraph or the items of Article 28 (8) conducted by a bank, a Cooperative Structured Financial Institution defined by Article 2 (1) of the Act on Preferred Equity Investment (hereinafter referred to as the "Cooperative Structured Financial Institution") or other financial institution specified by a Cabinet Order) conducted in the course of trade:
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。)、市場デリバティブ取引又は外国市場デリバティブ取引(有価証券の売買にあつては、第十号に掲げるものを除く。)
(i)sales and purchase of Securities (excluding those falling under the category of Derivative Transactions; the same shall apply hereinafter), Market Transactions of Derivatives or Foreign Market Derivatives Transactions (excluding sales and purchase of Securities falling under the category of act specified in item (x));
有価証券の売買、市場デリバティブ取引又は外国市場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。)又は代理(有価証券の売買の媒介、取次ぎ又は代理にあつては、第十号に掲げるものを除く。)
(ii)intermediary, brokerage (excluding Brokerage for Clearing of Securities, etc.) or agency service for sales and purchase of Securities, Market Transactions of Derivatives or Foreign Market Derivatives Transactions (excluding intermediary, brokerage or agency service for sales and purchase of Securities falling under the category of act specified in item (x));
次に掲げる取引の委託の媒介、取次ぎ又は代理
(iii)intermediary, brokerage or agency service for entrustment of the following transactions;
取引所金融商品市場における有価証券の売買又は市場デリバティブ取引
(a)sales and purchase of Securities conducted in a Financial Instruments Exchange Market or Market Transactions of Derivatives; or
外国金融商品市場(取引所金融商品市場に類似する市場で外国に所在するものをいう。以下同じ。)における有価証券の売買又は外国市場デリバティブ取引
(b)sales and purchase of Securities conducted in a Foreign Financial Instruments Market (meaning a market in a foreign state similar to Financial Instruments Exchange Market; the same shall apply hereinafter) or Foreign Market Derivatives Transactions.
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(以下「店頭デリバティブ取引等」という。)
(iv)Over-the-Counter Transactions of Derivatives or intermediary, brokerage (excluding Brokerage for Clearing of Securities, etc.) or agency service therefor (hereinafter referred to as "Over-the-Counter Transactions of Derivatives, etc.");
有価証券等清算取次ぎ
(v)Brokerage for Clearing of Securities, etc.;
有価証券の引受け(有価証券の募集若しくは売出し又は私募に際し、第六項各号に掲げるもののいずれかを行うことをいう。)
(vi)Underwriting of Securities (meaning acts listed in any of the items of paragraph (6) conducted at the time of Public Offering, Secondary Distribution or Private Placement of Securities);
有価証券(次に掲げるものに限る。)の募集又は私募
(vii)Public Offering or Private Placement of Securities (limited to those listed in the following items);
第一項第十号に規定する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第二条第一項に規定する委託者指図型投資信託の受益権に係るもの
(a)among beneficiary securities of investment trusts specified in item (x) of paragraph (1), those pertaining to beneficial rights of trust for investment based on settlor's instruction defined in Article 2 (1) of the Act on Investment Trusts and Investment Corporations;
第一項第十号に規定する外国投資信託の受益証券
(b)beneficiary securities of foreign investment trusts specified in item (x) of paragraph (1);
第一項第十六号に掲げる有価証券
(c)Securities specified in item (xvi) of paragraph (1);
第一項第十七号に掲げる有価証券のうち、同項第十六号に掲げる有価証券の性質を有するもの
(d)among Securities specified in item (xvii) of paragraph (1), those which have the nature of Securities specified in item (xvi) of said paragraph;
イ若しくはロに掲げる有価証券に表示されるべき権利又はハ若しくはニに掲げる有価証券のうち内閣府令で定めるものに表示されるべき権利であつて、第二項の規定により有価証券とみなされるもの
(e)among rights to be indicated on Securities specified in (a) or (b) above, or rights which are to be indicated on Securities specified in (c) or (d) above and particularly specified by a Cabinet Office Ordinance, those which are regarded as Securities under paragraph (2);
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
(f)rights specified in item (v) or (vi) of paragraph (2) which are regarded as Securities under said paragraph; and
イからヘまでに掲げるもののほか、政令で定める有価証券
(g)in addition to those listed in (a) to (f) above, Securities particularly specified by a Cabinet Order.
有価証券の売出し
(viii)Secondary Distribution of Securities;
有価証券の募集若しくは売出しの取扱い又は私募の取扱い
(ix)dealing in Public Offering or Secondary Distribution of Securities or dealing in Private Placement of Securities;
有価証券の売買又はその媒介、取次ぎ若しくは代理であつて、電子情報処理組織を使用して、同時に多数の者を一方の当事者又は各当事者として次に掲げる売買価格の決定方法又はこれに類似する方法により行うもの
(x)sales and purchase of Securities or intermediary, brokerage or agency service therefor which is conducted through an electronic data processing system, by using any of the following price formation method or other similar method, and in which a large number of persons participate simultaneously as the one party in the transaction or the transaction is conducted between a large number of persons;
競売買の方法(有価証券の売買高が政令で定める基準を超えない場合に限る。)
(a)a method of auction (limited to cases where the trading volume of Securities does not exceed the criteria specified by a Cabinet Order);
金融商品取引所に上場されている有価証券について、当該金融商品取引所が開設する取引所金融商品市場における当該有価証券の売買価格を用いる方法
(b)with regard to Securities listed in a Financial Instruments Exchange, a method using the trading price of the Securities in the Financial Instruments Exchange Market operated by the Financial Instruments Exchange;
第六十七条の十一第一項の規定により登録を受けた有価証券(以下「店頭売買有価証券」という。)について、当該登録を行う認可金融商品取引業協会が公表する当該有価証券の売買価格を用いる方法
(c)with regard to Securities registered under Article 67-11 (1) (hereinafter referred to as "Over-the-Counter Traded Securities"), a method using the trading price of the Securities published by the Authorized Financial Instruments Firms Association to which the Securities are registered;
顧客の間の交渉に基づく価格を用いる方法
(d)a method using the price decided by negotiation between customers; and
イからニまでに掲げるもののほか、内閣府令で定める方法
(e)in addition to those listed in (a) to (d) above, other methods specified by a Cabinet Office Ordinance.
十一当事者の一方が相手方に対して次に掲げるものに関し、口頭、文書(新聞、雑誌、書籍その他不特定多数の者に販売することを目的として発行されるもので、不特定多数の者により随時に購入可能なものを除く。)その他の方法により助言を行うことを約し、相手方がそれに対し報酬を支払うことを約する契約(以下「投資顧問契約」という。)を締結し、当該投資顧問契約に基づき、助言を行うこと。
(xi)conclusion of a contract in which one of the parties promises to provide the other party with advice on the following matters, orally, in writing (excluding newspapers, magazines, books or others which are issued to be sold to many and unspecified persons and many and unspecified persons can buy as needed) or otherwise, and the other party promises to pay remuneration therefor (such a contract is hereinafter referred to as an "Investment Advisory Contract"), and provision of advice under the Investment Advisory Contract;
有価証券の価値等(有価証券の価値、有価証券関連オプション(金融商品市場において金融商品市場を開設する者の定める基準及び方法に従い行う第二十八条第八項第三号ハに掲げる取引に係る権利、外国金融商品市場において行う取引であつて同号ハに掲げる取引と類似の取引に係る権利又は金融商品市場及び外国金融商品市場によらないで行う同項第四号ハ若しくはニに掲げる取引に係る権利をいう。)の対価の額又は有価証券指標(有価証券の価格若しくは利率その他これに準ずるものとして内閣府令で定めるもの又はこれらに基づいて算出した数値をいう。)の動向をいう。)
(a)Values, etc. of Securities (meaning the value of Securities, amount receivable for Securities Related Options (meaning rights pertaining to transactions specified in Article 28 (8)(iii)(c) conducted in a Financial Instruments Market in accordance with the requirements and by using the methods prescribed by the operator of the Financial Instruments Market, rights pertaining to transactions similar to transactions specified in Article 28 (8)(iii)(c) conducted in a Foreign Financial Instruments Market, or rights pertaining to transactions specified in Article 28 (8)(iv)(c) or (d) conducted in neither a Financial Instruments Market nor a Foreign Financial Instruments Market) or movement of Securities Indicators (meaning price or interest rates of Securities, or others specified by a Cabinet Office Ordinance as being equivalent to them or figures calculated based on them)); or
金融商品の価値等(金融商品の価値、オプションの対価の額又は金融指標の動向をいう。以下同じ。)の分析に基づく投資判断(投資の対象となる有価証券の種類、銘柄、数及び価格並びに売買の別、方法及び時期についての判断又は行うべきデリバティブ取引の内容及び時期についての判断をいう。以下同じ。)
(b)Investment Decisions (meaning decisions on kinds, issues, amounts or prices of Securities to be invested as well as whether the Securities shall be purchased or sold, by what method and at what timing, or decision on contents and timing of Derivative Transactions to be conducted; the same shall apply hereinafter) based on analysis of Values, etc. of Financial Instruments (meaning the value of Financial Instruments, amount receivable for Options, or movement of Financial Indicators; the same shall apply hereinafter).
十二次に掲げる契約を締結し、当該契約に基づき、金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、金銭その他の財産の運用(その指図を含む。以下同じ。)を行うこと。
(xii)conclusion of the following contract, and investment (including instructions of investment; the same shall apply hereinafter) of money or other properties in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments under such a contract;
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と締結する同法第百八十八条第一項第四号に規定する資産の運用に係る委託契約
(a)a contract on entrustment of assets investment prescribed in 188(1)(iv) of the Act on Investment Trusts and Investment Corporations concluded with a registered investment corporation defined in Article 2 (13) of said Act; or
イに掲げるもののほか、当事者の一方が、相手方から、金融商品の価値等の分析に基づく投資判断の全部又は一部を一任されるとともに、当該投資判断に基づき当該相手方のため投資を行うのに必要な権限を委任されることを内容とする契約(以下「投資一任契約」という。)
(b)in addition to those listed in (a), a contract wherein one of the parties is fully or partly entrusted by the other party with the discretion in making Investment Decisions based on analysis of Values, etc. of Financial Instruments and is also entrusted with the authorities necessary for making investment on behalf of the other party based on such Investment Decisions (such a contract is hereinafter referred to as a "Discretionary Investment Contract").
十三投資顧問契約又は投資一任契約の締結の代理又は媒介
(xiii)agency or intermediary service for conclusion of an Investment Advisory Contract or a Discretionary Investment Contract;
十四金融商品の価値等の分析に基づく投資判断に基づいて有価証券又はデリバティブ取引に係る権利に対する投資として、第一項第十号に掲げる有価証券に表示される権利その他の政令で定める権利を有する者から拠出を受けた金銭その他の財産の運用を行うこと(第十二号に掲げる行為に該当するものを除く。)。
(xiv)investment of money or other properties contributed from a person who holds rights indicated on the Securities specified in item (x) of paragraph (1) or other rights specified by a Cabinet Order, as an investment in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the category specified in item (xii));
十五金融商品の価値等の分析に基づく投資判断に基づいて主として有価証券又はデリバティブ取引に係る権利に対する投資として、次に掲げる権利その他政令で定める権利を有する者から出資又は拠出を受けた金銭その他の財産の運用を行うこと(第十二号及び前号に掲げる行為に該当するものを除く。)。
(xv)investment of money or other properties invested or contributed from a person who holds the following rights or other rights specified by a Cabinet Order, as an investment mainly in Securities or rights pertaining to Derivative Transactions conducted based on analysis of Values, etc. of Financial Instruments (excluding acts falling under the categories specified in item (xii) and the preceding item);
第一項第十四号に掲げる有価証券又は同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)に表示される権利
(a)rights indicated on Securities specified in item (xiv) of paragraph (1) or Securities specified in item (xvii) of said paragraph (limited to those which have the nature of Securities specified in item (xiv) of said paragraph);
第二項第一号又は第二号に掲げる権利
(b)rights listed in item (i) or (ii) of paragraph (2); or
第二項第五号又は第六号に掲げる権利
(c)rights listed in item (v) or (vi) of paragraph (2).
十六その行う第一号から第十号までに掲げる行為に関して、顧客から金銭又は第一項各号に掲げる証券若しくは証書の預託を受けること。
(xvi)acceptance of deposits of money or securities or certificates listed in the items of paragraph (1) from the customers in relation to acts listed in items (i) to (x) of this paragraph;
十七社債等の振替に関する法律(平成十三年法律第七十五号)第二条第一項に規定する社債等の振替を行うために口座の開設を受けて社債等の振替を行うこと。
(xvii)transfer of bonds, etc. conducted in response to opening of an account for transfer of bonds, etc. defined in Article 2 (1) of the Act on Transfer of Bonds, etc. (Act No. 75 of 2001); or
十八前各号に掲げる行為に類するものとして政令で定める行為
(xviii)acts specified by a Cabinet Order as being similar to acts listed in the preceding items.
この法律において「金融商品取引業者」とは、第二十九条の規定により内閣総理大臣の登録を受けた者をいう。
(9)The term "Financial Instruments Business Operator" as used in this Act means a person registered by the Prime Minister under Article 29.
10この法律において「目論見書」とは、有価証券の募集若しくは売出し(第四条第一項第四号に掲げるものを除く。)又は同条第二項に規定する適格機関投資家取得有価証券一般勧誘(有価証券の売出しに該当するものを除く。)のために当該有価証券の発行者の事業その他の事項に関する説明を記載する文書であつて、相手方に交付し、又は相手方からの交付の請求があつた場合に交付するものをいう。
(10)The term "Prospectus" as used in this Act means a document which states the business operated by an Issuer of Securities or other mattes and prepared for a Public Offering or Secondary Distribution of Securities (excluding those specified in Article 4 (1)(iv)) or for a General Solicitation for Securities Acquired by Qualified Institutional Investor defined by Article 4 (2) (excluding those falling under the category of Secondary Distribution of Securities), and which are delivered, or are to be delivered on request, to the other party of the Public Offering or Secondary Distribution.
11この法律において「金融商品仲介業」とは、金融商品取引業者(第二十八条第一項に規定する第一種金融商品取引業又は同条第四項に規定する投資運用業を行う者に限る。)又は登録金融機関(第三十三条の二の登録を受けた銀行、協同組織金融機関その他政令で定める金融機関をいう。以下同じ。)の委託を受けて、次に掲げる行為(同項に規定する投資運用業を行う者が行う第四号に掲げる行為を除く。)のいずれかを当該金融商品取引業者又は登録金融機関のために行う業務をいう。
(11)The term "Financial Instruments Intermediary Service" as used in this Act means a service comprised any of the following acts conducted on behalf of a Financial Instruments Business Operator (limited to a person who conducts Type I Financial Instruments Business defined in Article 28 (1) or Investment Management Business defined in Article 28 (4)) or a Registered Financial Institution (meaning a bank, Cooperative Structured Financial Institution or other financial institution specified by a Cabinet Order which is registered under Article 33-2; the same shall apply hereinafter) under the entrustment from them (excluding the act specified in item (iv) below conducted by a person who conducts Investment Management Business as defined in Article 28 (4)):
有価証券の売買の媒介(第八項第十号に掲げるものを除く。)
(i)intermediary for sales and purchase of Securities (excluding those specified in item (x) of paragraph (8));
第八項第三号に規定する媒介
(ii)intermediary specified in item (iii) of paragraph (8);
第八項第九号に掲げる行為
(iii)act specified in item (ix) of paragraph (8); or
第八項第十三号に規定する媒介
(iv)intermediary specified in item (xiii) of paragraph (8).
12この法律において「金融商品仲介業者」とは、第六十六条の規定により内閣総理大臣の登録を受けた者をいう。
(12)The term "Financial Instruments Intermediary Service Provider" as used in this Act means a person who has been granted registration by the Prime Minister under Article 66.
13この法律において「認可金融商品取引業協会」とは、第四章第一節第一款の規定に基づいて設立された者をいう。
(13)The term "Authorized Financial Instruments Firms Association" as used in this Act means a person established under Subsection 1 of Section 1 of Chapter IV.
14この法律において「金融商品市場」とは、有価証券の売買又は市場デリバティブ取引を行う市場をいう。
(14)The term "Financial Instruments Market" as used in this Act means a market in which sales and purchase of Securities or Market Transactions of Derivatives are conducted.
15この法律において「金融商品会員制法人」とは、金融商品市場の開設を目的として第五章第二節第一款の規定に基づいて設立された会員組織の社団をいう。
(15)The term "Financial Instruments Membership Corporation" as used in this Act means a membership association established under Subsection 1 of Section 2 of Chapter V for the purpose of establishing a Financial Instruments Market.
16この法律において「金融商品取引所」とは、第八十条第一項の規定により内閣総理大臣の免許を受けて金融商品市場を開設する金融商品会員制法人又は株式会社をいう。
(16)The term "Financial Instruments Exchange" as used in this Act means a Financial Instruments Membership Corporation or the stock company which has established a Financial Instruments Market with license granted by the Prime Minister under Article 80 (1).
17この法律において「取引所金融商品市場」とは、金融商品取引所の開設する金融商品市場をいう。
(17)The term "Financial Instruments Exchange Market" as used in this Act means a Financial Instruments Market established by a Financial Instruments Exchange.
18この法律において「金融商品取引所持株会社」とは、第百六条の十第一項又は第三項ただし書の規定により内閣総理大臣の認可を受けた者をいう。
(18)The term "Financial Instruments Exchange Holding Company" as used in this Act means a person who has been granted the authorization by the Prime Minister under Article 106-10 (1) or the proviso to Article 106-10 (3).
19この法律において「取引参加者」とは、第百十二条第一項又は第百十三条第一項の規定による取引資格に基づき、取引所金融商品市場における有価証券の売買又は市場デリバティブ取引に参加できる者をいう。
(19)The term "Trading Participant" used in this Act means a person who is allowed to participate in the sales and purchase of Securities or Market Transactions of Derivatives in Financial Instruments Exchange Market based on the qualifications for trading granted under Article 112 (1) or 113(1).
20この法律において「デリバティブ取引」とは、市場デリバティブ取引、店頭デリバティブ取引又は外国市場デリバティブ取引をいう。
(20)The term "Derivative Transactions" used in this Act means Market Transactions of Derivatives, Over-the-Counter Transactions of Derivatives or Foreign Market Derivatives Transactions.
21この法律において「市場デリバティブ取引」とは、金融商品市場において、金融商品市場を開設する者の定める基準及び方法に従い行う次に掲げる取引をいう。
(21)The term "Market Transactions of Derivatives" as used in this Act means the following transactions conducted in a Financial Instruments Market, in accordance with requirements and by using methods prescribed by the operator of the Financial Instruments Market:
売買の当事者が将来の一定の時期において金融商品及びその対価の授受を約する売買であつて、当該売買の目的となつている金融商品の転売又は買戻しをしたときは差金の授受によつて決済することができる取引
(i)transactions wherein the parties thereto promise to deliver or receive Financial Instruments or consideration for them at a fixed time in the future, and, when the resale or repurchase of the underlying Financial Instruments are made, settlement thereof may be made by paying or receiving the difference;
当事者があらかじめ金融指標として約定する数値(以下「約定数値」という。)と将来の一定の時期における現実の当該金融指標の数値(以下「現実数値」という。)の差に基づいて算出される金銭の授受を約する取引
(ii)transactions wherein the parties thereto promise to pay or receive the amount of money calculated based on the difference between the figure of a Financial Indicator to which the parties agree in advance (hereinafter referred to as the "Agreed Figure") and the actual figure of the Financial Indicator at a fixed time in the future (hereinafter referred to as the "Actual Figure");
当事者の一方の意思表示により当事者間において次に掲げる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引
(iii)transactions wherein the parties thereto promise that one of the parties thereto grants the other party an option to effect a transaction listed in the following items between the parties only by unilateral manifestation of the other party's intention, and the other party pays the consideration for such option:
金融商品の売買(第一号に掲げる取引を除く。)
(a)sales and purchase of Financial Instruments (excluding those specified in item (i)); or
前二号及び次号から第六号までに掲げる取引(前号に掲げる取引に準ずる取引で金融商品取引所の定めるものを含む。)
(b)any transaction listed in the preceding two items or the following item to item (vi)(including those designated by the Financial Instruments Exchange and equivalent to a transaction specified in the preceding item).
当事者が元本として定めた金額について当事者の一方が相手方と取り決めた金融商品(第二十四項第三号に掲げるものを除く。)の利率等(利率その他これに準ずるものとして内閣府令で定めるものをいう。以下同じ。)又は金融指標(金融商品(同号に掲げるものを除く。)の利率等及びこれに基づいて算出した数値を除く。以下この号及び次項第五号において同じ。)の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた金融商品(第二十四項第三号に掲げるものを除く。)の利率等又は金融指標の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引(これらの金銭の支払とあわせて当該元本として定めた金額に相当する金銭又は金融商品を授受することを約するものを含む。)
(iv)transactions wherein the parties mutually promise that, using the amount the parties have agreed to as the principal, one of the parties will pay the amount of money calculated based on the rate of change in the agreed period of the interest rate, etc. (referred to the interest rate or any other rate specified by a Cabinet Office Ordinance as being equivalent to the interest rate; the same shall apply hereinafter) of the Financial Instruments (excluding those listed in Article 2 (24)(iii)) or of a Financial Indicator (excluding interest rates, etc. of Financial Instruments (excluding those listed in Article 2 (24)(iii)) and figures calculated based on them; hereinafter the same shall apply in this item and item (v) of the following paragraph) agreed with the other party, and the other party will pay the amount of money calculated based on the rate of change in the agreed period of the interest rate, etc. of the Financial Instruments (excluding those listed in Article 2 (24)(iii)) or of a Financial Indicator agreed with the former party (including transactions wherein the parties promise that, in addition to the payment of such amounts, they will also pay, deliver or receive the amount of money or financial instrument that amounts to the agreed principal);
当事者の一方が金銭を支払い、これに対して当事者があらかじめ定めた次に掲げるいずれかの事由が発生した場合において相手方が金銭を支払うことを約する取引(当該事由が発生した場合において、当事者の一方が金融商品、金融商品に係る権利又は金銭債権(金融商品であるもの及び金融商品に係る権利であるものを除く。)を移転することを約するものを含み、前三号に掲げるものを除く。)
(v)transactions wherein one of the parties pays money, and the other party, as the consideration therefor, promises to pay money in cases where a cause agreed by the parties in advance and listed in the following items occurs (including those wherein one of the parties promises to transfer Financial Instruments, a right pertaining to Financial Instruments or monetary claim (excluding claims that are Financial Instruments or rights pertaining to Financial Instruments), but excluding those listed in the preceding three paragraphs); or
法人の信用状態に係る事由その他これに類似するものとして政令で定めるもの
(a)a cause pertaining to credit status of a juridical person or other similar cause as specified by a Cabinet Order; or
当事者がその発生に影響を及ぼすことが不可能又は著しく困難な事由であつて、当該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として政令で定めるもの(イに掲げるものを除く。)
(b)a cause which it is impossible or extremely difficult for either party to exert his/her influence on the occurrence of and which may have serious influence on business activities of the parties or other business operators as specified by a Cabinet Order (excluding those specified in (a)).
前各号に掲げる取引に類似する取引であつて、政令で定めるもの
(vi)transactions similar to transactions listed in the preceding items and specified by a Cabinet Order.
22この法律において「店頭デリバティブ取引」とは、金融商品市場及び外国金融商品市場によらないで行う次に掲げる取引(その内容等を勘案し、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を除く。)をいう。
(22)The term "Over-the-Counter Transactions of Derivatives" as used in this Act means the following transactions which are conducted in neither a Financial Instruments Market nor a Foreign Financial Instruments Market (except those specified by a Cabinet Order as those for which it is found not to hinder the public interest or protection of investors when taking into account its content and other related factors).
売買の当事者が将来の一定の時期において金融商品(第二十四項第五号に掲げるものを除く。以下この項において同じ。)及びその対価の授受を約する売買であつて、当該売買の目的となつている金融商品の売戻し又は買戻しその他政令で定める行為をしたときは差金の授受によつて決済することができる取引
(i)transactions wherein the parties thereto promise to deliver or receive Financial Instruments (excluding those listed in Article 2 (24)(v); hereinafter the same shall apply in this paragraph) or consideration for them at a fixed time in the future, and, when the resale or repurchase of the underlying Financial Instruments or other acts specified by a Cabinet Order is made, settlement thereof may be made by paying or receiving the differences;
約定数値と現実数値の差に基づいて算出される金銭の授受を約する取引又はこれに類似する取引
(ii)transactions wherein the parties thereto promise to pay or receive the amount of money calculated based on the Agreed Figure and the Actual Figure or any other similar transactions; and
当事者の一方の意思表示により当事者間において次に掲げる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引又はこれに類似する取引
(iii)transactions wherein the parties thereto promise that one of the parties grants the other party an option to effect a transaction listed in the following items between the parties only by unilateral manifestation of the other party's intention, and the other party pays consideration for such option, or any other similar transactions:
金融商品の売買(第一号に掲げる取引を除く。)
(a)sales and purchase of Financial Instruments (excluding those specified in item (i)); or
前二号及び第五号から第七号までに掲げる取引
(b)any transaction listed in the preceding two items or items (v) to (vii).
当事者の一方の意思表示により当事者間において当該意思表示を行う場合の金融指標としてあらかじめ約定する数値と現に当該意思表示を行つた時期における現実の当該金融指標の数値の差に基づいて算出される金銭を授受することとなる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引又はこれに類似する取引
(iv)transactions wherein the parties thereto promise that one of the parties grants the other party an option to, only by unilateral manifestation of his/her intention, effect a transaction wherein the parties promise to pay or receive the amount of money calculated based on the difference between a figure which the parties have agreed in advance to use as the Agreed Figure of the Financial Indicator when such manifestation is made and the Actual Figure of the Financial Indicator at the time of such manifestation, and the other party pays the consideration for such option, or any other similar transactions;
当事者が元本として定めた金額について当事者の一方が相手方と取り決めた金融商品(第二十四項第三号に掲げるものを除く。)の利率等若しくは金融指標の約定した期間における変化率に基づいて金銭を支払い、相手方が当事者の一方と取り決めた金融商品(同号に掲げるものを除く。)の利率等若しくは金融指標の約定した期間における変化率に基づいて金銭を支払うことを相互に約する取引(これらの金銭の支払とあわせて当該元本として定めた金額に相当する金銭又は金融商品を授受することを約するものを含む。)又はこれに類似する取引
(v)transactions wherein the parties mutually promise that, using the amount the parties have agreed to as the principal, one of the parties will pay the amount of money calculated based on the rate of change in the agreed period of the interest rate, etc. of the Financial Instruments (excluding those listed in Article 2 (24)(iii)) or of a Financial Indicator agreed with the other party, and the other party will pay the amount of money calculated based on the rate of change in the agreed period of the interest rate, etc. of the Financial Instruments (excluding those listed in Article 2 (24)(iii)) or of a Financial Indicator agreed with the former party (including transactions wherein the parties promise that, in addition to the payment of such amounts, they will also pay, deliver or receive the amount of money or financial instruments that amounts to the agreed principal), or any other similar transactions;
当事者の一方が金銭を支払い、これに対して当事者があらかじめ定めた次に掲げるいずれかの事由が発生した場合において相手方が金銭を支払うことを約する取引(当該事由が発生した場合において、当事者の一方が金融商品、金融商品に係る権利又は金銭債権(金融商品であるもの及び金融商品に係る権利であるものを除く。)を移転することを約するものを含み、第二号から前号までに掲げるものを除く。)又はこれに類似する取引
(vi)transactions wherein one of the parties pays money, and the other party, as the consideration therefor, promises to pay money in cases where a cause agreed by the parties in advance and listed in the following items occurs (including those wherein one of the parties promises to transfer the Financial Instruments, rights pertaining to the Financial Instruments or monetary claim (excluding claims that are Financial Instruments or rights pertaining to the Financial Instruments), but excluding those listed in item (ii) to the preceding item), or any other similar transactions; or
法人の信用状態に係る事由その他これに類似するものとして政令で定めるもの
(a)a cause pertaining to credit status of a juridical person or other similar cause as specified by a Cabinet Order; or
当事者がその発生に影響を及ぼすことが不可能又は著しく困難な事由であつて、当該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として政令で定めるもの(イに掲げるものを除く。)
(b)a cause which it is impossible or extremely difficult for either party to exert his/her influence on the occurrence of and which may have serious influence on business activities of the parties or other business operators as specified by a Cabinet Order (excluding those specified in (a)).
前各号に掲げるもののほか、これらと同様の経済的性質を有する取引であつて、公益又は投資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政令で定める取引
(vii)in addition to transactions listed in the preceding items, transactions which have an economic nature similar to these transactions and are specified by a Cabinet Order as those for which it is found necessary to secure the public interest or protection of investors.
23この法律において「外国市場デリバティブ取引」とは、外国金融商品市場において行う取引であつて、市場デリバティブ取引と類似の取引をいう。
(23)The term "Foreign Market Derivatives Transactions" as used in this Act means transactions which are conducted in a Foreign Financial Instruments Market and are similar to Market Transactions of Derivatives.
24この法律において「金融商品」とは、次に掲げるものをいう。
(24)The term "Financial Instruments" as used in this Act means the following:
有価証券
(i)Securities;
預金契約に基づく債権その他の権利又は当該権利を表示する証券若しくは証書であつて政令で定めるもの(前号に掲げるものを除く。)
(ii)among claims based on a deposit contract or other rights, or securities or certificates indicating these claims or rights, those which are specified by a Cabinet Order (excluding those specified in the preceding item);
通貨
(iii)currencies;
前三号に掲げるもののほか、同一の種類のものが多数存在し、価格の変動が著しい資産であつて、当該資産に係るデリバティブ取引(デリバティブ取引に類似する取引を含む。)について投資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政令で定めるもの(商品取引所法(昭和二十五年法律第二百三十九号)第二条第四項に規定する商品を除く。)
(iv)in addition to what is listed in the preceding three items, assets for which there are many of the same kind, which have substantial price volatility, and which are specified by a Cabinet Order as those for which it is found necessary to secure the protection of investors with regard to Derivative Transactions (or other similar transactions) pertaining thereto (excluding commodities defined in Article 2 (4) of the Commodity Exchange Act (Act No. 239 of 1950)); and
第一号若しくは第二号に掲げるもの又は前号に掲げるもののうち内閣府令で定めるものについて、金融商品取引所が、市場デリバティブ取引を円滑化するため、利率、償還期限その他の条件を標準化して設定した標準物
(v)standardized instruments which are created by a Financial Instruments Exchange for the purpose of facilitating Market Transactions of Derivatives by standardizing interest rates, the maturity period and/or other conditions of Financial Instruments listed in item (i) or (ii) or the preceding item and specified by a Cabinet Office Ordinance.
25この法律において「金融指標」とは、次に掲げるものをいう。
(25)The term "Financial Indicator" as used in this Act means the following:
金融商品の価格又は金融商品(前項第三号に掲げるものを除く。)の利率等
(i)prices of Financial Instruments or interest rates, etc. of Financial Instruments (excluding those specified in item (iii) of the preceding paragraph);
気象庁その他の者が発表する気象の観測の成果に係る数値
(ii)figures pertaining to the results of meteorological observations published by the Meteorological Agency or others;
その変動に影響を及ぼすことが不可能若しくは著しく困難であつて、事業者の事業活動に重大な影響を与える指標(前号に掲げるものを除く。)又は社会経済の状況に関する統計の数値であつて、これらの指標又は数値に係るデリバティブ取引(デリバティブ取引に類似する取引を含む。)について投資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政令で定めるもの(商品取引所法第二条第五項に規定する商品指数を除く。)
(iii)among indicators which it is impossible or extremely difficult for a person to exert his/her influence on the fluctuation in and which may have serious influence on business activities of business operators (excluding those specified in the preceding item) or statistical figures pertaining to social or economic conditions, indicators or figures specified by a Cabinet Order as those for which it is found necessary to secure the protection of investors with regard to Derivative Transactions (or other similar transactions) pertaining thereto (excluding commodity indices defined by Article 2 (5) of the Commodity Exchange Act); and
前三号に掲げるものに基づいて算出した数値
(iv)figures calculated based on those listed in the preceding three items.
26この法律において「外国金融商品取引所」とは、第百五十五条第一項の規定により内閣総理大臣の認可を受けた者をいう。
(26)The term "Foreign Financial Instruments Exchange" as used in this Act means a person who has been granted the authorization by the Prime Minister under Article 155 (1).
27この法律において「有価証券等清算取次ぎ」とは、金融商品取引業者又は登録金融機関が金融商品取引清算機関の業務方法書の定めるところにより顧客の委託を受けてその計算において行う対象取引(次項に規定する「対象取引」をいう。以下この項において同じ。)であつて、対象取引に基づく債務を当該金融商品取引清算機関に引き受けさせることを条件とし、かつ、次に掲げる要件のいずれかに該当するものをいう。
(27)The term "Broking for Clearing of Securities, etc." as used in this Act means a Subject Transaction (meaning a "Subject Transaction" defined in the following paragraph; hereinafter the same shall apply in this paragraph) which is conducted by a Financial Instruments Business Operator or Registered Financial Institution under entrustment by a customer and for the account of the customer in accordance with the business rules of a Financial Instruments Clearing Organization, which is conducted on condition that the obligation arisen from the Subject Transactions will be assumed by the Financial Instruments Clearing Organization, and which satisfies any of the following requirements:
当該顧客が当該金融商品取引業者又は登録金融機関を代理して成立させるものであること。
(i)the Subject Transaction is effected by the customer on behalf of the Financial Instruments Business Operator or Registered Financial Institution; or
当該顧客がその委託に際しあらかじめ当該対象取引に係る相手方その他内閣府令で定める事項を特定するものであること。
(ii)the customers identify the other party in the Subject Transaction and other matters specified by a Cabinet Office Ordinance in advance at the time of the entrustment.
28この法律において「金融商品債務引受業」とは、金融商品取引業者、登録金融機関又は証券金融会社(以下この項において「金融商品債務引受業対象業者」という。)を相手方として、金融商品債務引受業対象業者が行う対象取引(有価証券の売買、デリバティブ取引その他政令で定める取引をいう。)に基づく債務の引受けを業として行うことをいう。
(28)The term "Financial Instruments Obligation Assumption Service" as used in this Act means provision of service, which is comprised of assumption of obligations arisen from a Subject Transaction (meaning sales and purchase of Securities, Derivative Transactions or other transactions specified by a Cabinet Order) conducted by a Financial Instruments Business Operator, Registered Financial Institution or Securities Finance Company (hereinafter referred to as "Business Operators Covered by Financial Instruments Obligation Assumption Service" in this paragraph), in the course of trade, to Business Operators Covered by Financial Instruments Obligation Assumption Service.
29この法律において「金融商品取引清算機関」とは、第百五十六条の二又は第百五十六条の十九の規定により内閣総理大臣の免許又は承認を受けた者をいう。
(29)The term "Financial Instruments Clearing Organization" as used in this Act means a person who has been granted the license or approval by the Prime Minister under Article 156-2 or 156-19.
30この法律において「証券金融会社」とは、第百五十六条の二十四の規定により内閣総理大臣の免許を受けた者をいう。
(30)The term "Securities Finance Company" as used in this Act means a person who has been granted the license by the Prime Minister under Article 156-24.
31この法律において「特定投資家」とは、次に掲げる者をいう。
(31)The term "Professional Investor" as used in this Act means the following:
適格機関投資家
(i)Qualified Institutional Investors;
(ii)the State;
日本銀行
(iii)the Bank of Japan; and
前三号に掲げるもののほか、第七十九条の二十一に規定する投資者保護基金その他の内閣府令で定める法人
(iv)in addition to what is listed in the preceding three items, Investor Protection Funds prescribed by Article 79-21 and other juridical persons specified by a Cabinet Office Ordinance.
第二章 企業内容等の開示
Chapter II Disclosure of Corporate Affairs and Other Related Matters
(組織再編成等)
(Reorganization and Other Terms Used in This Chapter)
第二条の二この章において「組織再編成」とは、合併、会社分割、株式交換その他会社の組織に関する行為で政令で定めるものをいう。
Article 2-2(1)The term "Reorganization" as used in this Chapter means merger, company split, share exchange or other acts specified by a Cabinet Order.
この章において「組織再編成発行手続」とは、組織再編成により新たに有価証券が発行される場合における当該組織再編成に係る書面等の備置き(会社法(平成十七年法律第八十六号)第七百八十二条第一項の規定による書面若しくは電磁的記録の備置き又は同法第八百三条第一項の規定による書面若しくは電磁的記録の備置きをいう。次項において同じ。)その他政令で定める行為をいう。
(2)The term "Procedures Relating to Securities Issuance for Reorganization" as used in this Chapter means keeping of documents, etc. (meaning keeping of documents or Electromagnetic Records required under Article 782 (1) of the Companies Act (Act No. 86 of 2005) or keeping of documents or Electromagnetic Records required under Article 803 (1) of said Act; the same shall apply in the following paragraph) required relating to a Reorganization for which new Securities are issued, or other acts specified by a Cabinet Order.
この章において「組織再編成交付手続」とは、組織再編成により既に発行された有価証券が交付される場合における当該組織再編成に係る書面等の備置きその他政令で定める行為をいう。
(3)The term "Procedures Relating to Securities Delivery for Reorganization" as used in this Chapter means keeping of documents, etc. required relating to a Reorganization for which delivery of existing Securities is made, or other acts specified by a Cabinet Order.
この章において「特定組織再編成発行手続」とは、組織再編成発行手続のうち、当該組織再編成発行手続が第一項有価証券に係るものである場合にあつては第一号及び第二号に掲げる場合、当該組織再編成発行手続が第二項有価証券に係るものである場合にあつては第三号に掲げる場合に該当するものをいう。
(4)The term "Specified Procedures Relating to Securities Issuance for Reorganization" as used in this Chapter means, among Procedures Relating to Securities Issuance for Reorganization, those pertaining to Paragraph (1) Securities in the case prescribed in item (i) or (ii) below, or those pertaining to Paragraph (2) Securities in the case prescribed in item (iii):
組織再編成により吸収合併消滅会社(会社法第七百四十九条第一項第一号に規定する吸収合併消滅会社をいう。)又は株式交換完全子会社(同法第七百六十八条第一項第一号に規定する株式交換完全子会社をいう。)となる会社その他政令で定める会社(第四条第一項第二号イにおいて「組織再編成対象会社」という。)が発行者である株券(新株予約権証券その他の政令で定める有価証券を含む。)の所有者(以下「組織再編成対象会社株主等」という。)が多数の者である場合として政令で定める場合(組織再編成対象会社株主等が適格機関投資家のみである場合を除く。)
(i)in cases where, as specified by a Cabinet Order, there are a number of holders of shares (including share option certificates and other Securities specified by a Cabinet Order) issued by a company that, through a Reorganization, becomes a Company Absorbed in an Absorption-Type Merger (meaning the Company Absorbed in an Absorption-Type Merger as defined in Article 749 (1)(i) of the Companies Act), or a Wholly Owned Subsidiary Company in a Share Exchange (meaning the Wholly Owned Subsidiary Company in a Share Exchange as defined in Article 768 (1)(i) of said Act), or by any other kind of company specified by a Cabinet Order (referred to as the "Reorganized Company" in Article 4 (1)(ii)(a)) (such holders are hereinafter referred to as "Shareholders, etc. of the Reorganized Company")(excluding the cases where the Shareholders, etc. of the Reorganized Company consist exclusively of Qualified Institutional Investors);
前号に掲げる場合のほか、次に掲げる場合のいずれにも該当しない場合
(ii)in addition to the case specified in the preceding item, cases other than the following:
組織再編成対象会社株主等が適格機関投資家のみである場合であつて、当該組織再編成発行手続に係る有価証券がその取得者から適格機関投資家以外の者に譲渡されるおそれが少ないものとして政令で定める場合
(a)in cases where the Shareholders, etc. of the Reorganized Company consist exclusively of Qualified Institutional Investors, if, as specified by a Cabinet Order, it is not likely that Securities pertaining to the Procedures Relating to Securities Issuance for Reorganization will be transferred from any person who acquired them to any other person other than Qualified Institutional Investors; or
前号に掲げる場合及びイに掲げる場合以外の場合(政令で定める要件に該当する場合を除く。)であつて、当該組織再編成発行手続に係る有価証券がその取得者から多数の者に譲渡されるおそれが少ないものとして政令で定める場合
(b)in cases other than the case specified in the preceding item (i) or in (a) above (excluding the cases where the requirements specified by a Cabinet Order are satisfied), if, as specified by a Cabinet Order, it is not likely that Securities pertaining to the Procedures Relating to Securities Issuance for Reorganization will be transferred from any person who acquired them to a large number of persons.
組織再編成対象会社株主等が相当程度多数の者である場合として政令で定める場合
(iii)in cases where, as specified by a Cabinet Order, there is a considerably large number of Shareholders, etc. of the Reorganized Company.
この章において「特定組織再編成交付手続」とは、次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当する組織再編成交付手続をいう。
(5)The term "Specified Procedures Relating to Securities Delivery for Reorganization" as used in this Chapter means Procedures Relating to Securities Delivery for Reorganization in the cases specified in the following items for each kind of Securities set forth in the respective items:
第一項有価証券組織再編成対象会社株主等が多数の者である場合として政令で定める場合
(i)Paragraph (1) Securities:in cases where, as specified by a Cabinet Order, there is a large number of Shareholders, etc. of the Reorganized Company; and
第二項有価証券組織再編成対象会社株主等が相当程度多数の者である場合として政令で定める場合
(ii)Paragraph (2) Securities:in cases where, as specified by a Cabinet Order, there is a considerably large number of Shareholders, etc. of the Reorganized Company.
(適用除外有価証券)
(Exempted Securities)
第三条この章の規定は、次に掲げる有価証券については、適用しない。
Article 3The provisions of this Chapter shall not apply to the following Securities:
第二条第一項第一号及び第二号に掲げる有価証券
(i)Securities set forth in Article 2 (1)(i) and (ii);
第二条第一項第三号、第六号及び第十二号に掲げる有価証券(企業内容等の開示を行わせることが公益又は投資者保護のため必要かつ適当なものとして政令で定めるものを除く。)
(ii)Securities set forth in Article 2 (1)(iii), (vi) and (xii) (except those specified by a Cabinet Order as Securities for which disclosure of corporate affairs and other related matters is necessary and appropriate for the public interest or protection of investors.); and
第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利(次に掲げるもの(第二十四条第一項において「有価証券投資事業権利等」という。)を除く。)
(iii)rights set forth in the items of Article 2 (2) as those which shall be deemed as Securities under the provisions of Article 2 (2) (excluding the following rights (hereinafter referred to as "Rights in Securities Investment Business, etc." in Article 24 (1)):
第二条第二項第五号に掲げる権利のうち、当該権利に係る出資対象事業(同号に規定する出資対象事業をいう。)が主として有価証券に対する投資を行う事業であるものとして政令で定めるもの
(a)among the rights set forth in Article 2 (2)(v), those specified by a Cabinet Order as a right to Invested Business (meaning the Invested Business as defined by Article 2 (2)(v)) mainly conducted through investment in Securities;
第二条第二項第一号から第四号まで、第六号又は第七号に掲げる権利のうち、イに掲げる権利に類する権利として政令で定めるもの
(b)among the rights set forth in Article 2 (2)(i) to (iv), (vi) or (vii), those specified by a Cabinet Order as being similar to the rights set forth in (a) above; and
その他政令で定めるもの
(c)other rights specified by a Cabinet Order.
政府が元本の償還及び利息の支払について保証している社債券
(iv)bonds for which the government guarantees the redemption of principals or the payment of interests; and
前各号に掲げる有価証券以外の有価証券で政令で定めるもの
(v)among Securities other than Securities set forth in the above items, those specified by a Cabinet Order.
(募集又は売出しの届出)
(Notification of Public Offering or Secondary Distribution)
第四条有価証券の募集(特定組織再編成発行手続を含む。第十三条及び第十五条第二項から第六項までを除き、以下この章及び次章において同じ。)又は有価証券の売出し(次項に規定する適格機関投資家取得有価証券一般勧誘に該当するものを除き、特定組織再編成交付手続を含む。以下この項において同じ。)は、発行者が当該有価証券の募集又は売出しに関し内閣総理大臣に届出をしているものでなければ、することができない。ただし、次の各号のいずれかに該当するものについては、この限りでない。
Article 4(1)A Public Offering of Securities (including Specified Procedures Relating to Securities Issuance for Reorganization; the same shall apply hereinafter in this Chapter and the following Chapter, except in Article 13 and Article 15 (2) to (6)) or Secondary Distribution of Securities (excluding those falling under the category of General Solicitation for Securities Acquired by Qualified Institutional Investor as defined in the following paragraph, but including Specified Procedures Relating to Securities Delivery for Reorganization; the same shall apply hereinafter in this paragraph) may not be made unless the Issuer thereof has made a notification of Public Offering or Secondary Distribution of the Securities to the Prime Minister; provided, however, that this shall not apply to cases that fall under any of the following items:
有価証券の募集又は売出しの相手方が当該有価証券に係る次条第一項各号に掲げる事項に関する情報を既に取得し、又は容易に取得することができる場合として政令で定める場合における当該有価証券の募集又は売出し
(i)a Public Offering or Secondary Distribution of Securities in the case that the other parties thereto have already obtained or can easily obtain information on matters listed in the items of paragraph (1) of the following Article pertaining to the Securities, as specified by a Cabinet Order;
有価証券の募集又は売出しに係る組織再編成発行手続又は組織再編成交付手続のうち、次に掲げる場合のいずれかに該当するものがある場合における当該有価証券の募集又は売出し(前号に掲げるものを除く。)
(ii)a Public Offering or Secondary Distribution of Securities, in cases where any of the Procedures Relating to Securities Issuance for Reorganization or Procedures Relating to Securities Delivery for Reorganization having been conducted relating thereto fall under either of the following cases (excluding those specified in the preceding item);
組織再編成対象会社が発行者である株券(新株予約権証券その他の政令で定める有価証券を含む。)に関して開示が行われている場合に該当しない場合
(a)in cases which do not fall under the Case Where Disclosures Have Been Made with regard to shares (including share option certificates and other Securities specified by a Cabinet Order) issued by the Reorganized Company; or
組織再編成発行手続に係る新たに発行される有価証券又は組織再編成交付手続に係る既に発行された有価証券に関して開示が行われている場合
(b)in the Case Where Disclosures Have Been Made with regard to the Securities newly issued in the case of Procedures Relating to Securities Issuance for Reorganization or existing Securities in the case of Procedures Relating to Securities Delivery for Reorganization.
その有価証券に関して開示が行われている場合における当該有価証券の売出し(前二号に掲げるものを除く。)
(iii)a Secondary Distribution of Securities in the Case Where Disclosures Have Been Made with regard to the Securities (excluding those specified in the preceding two items);
その有価証券発行勧誘等(新たに発行される有価証券の取得の申込みの勧誘及び組織再編成発行手続をいう。以下同じ。)が次に掲げる場合に該当するものであつた有価証券(イに掲げる場合にあつては、第二条第三項第一号の規定により当該有価証券発行勧誘等の相手方から除かれた適格機関投資家が取得した有価証券に限る。)の売出しで、適格機関投資家のみを相手方とするもの(前三号に掲げるものを除く。)
(iv)a Secondary Distribution of Securities which is made only to Qualified Institutional Investors, if a Solicitation for Newly Issued Securities, etc. (meaning a solicitation of an application to acquire newly issued Securities and Procedures Relating to Securities Issuance for Reorganization; the same shall apply hereinafter) having been made for the Securities falls under any of the following categories (in cases where the Solicitation for Newly Issued Securities, etc. having been made for the Securities falls under the category set forth in (a) below, limited to a Secondary Distribution of Securities acquired by Qualified Institutional Investors who are excluded under the provision of Article 2 (3)(i) from the number of persons to which the Solicitation for Newly Issued Securities, etc. was made) (excluding those specified in the preceding three items); or
第二条第三項第一号に掲げる場合
(a)Solicitation for Acquisition set forth in Article 2 (3)(i);
第二条第三項第二号イに掲げる場合
(b)Solicitation for Acquisition set forth in Article 2 (3)(ii)(a); or
第二条の二第四項第二号イに掲げる場合
(c)Procedures Relating to Securities Issuance for Reorganization set forth in Article 2-2 (4)(ii)(a).
発行価額又は売出価額の総額が一億円未満の有価証券の募集又は売出しで内閣府令で定めるもの(前各号に掲げるものを除く。)
(v)among Public Offerings or Secondary Distributions of Securities of which the total issue price or total distribution price is less than 100 million yen, those which are specified by a Cabinet Office Ordinance (excluding those specified in the preceding items).
その有価証券発行勧誘等が次に掲げる場合に該当するものであつた有価証券(第一号に掲げる場合にあつては、第二条第三項第一号の規定により当該有価証券発行勧誘等の相手方から除かれた適格機関投資家が取得した有価証券に限る。)の有価証券交付勧誘等(既に発行された有価証券の売付けの申込み又はその買付けの申込みの勧誘及び組織再編成交付手続をいう。以下同じ。)で、適格機関投資家が適格機関投資家以外の者に対して行うもの(以下「適格機関投資家取得有価証券一般勧誘」という。)は、発行者が当該適格機関投資家取得有価証券一般勧誘に関し内閣総理大臣に届出をしているものでなければ、することができない。ただし、当該有価証券に関して開示が行われている場合及び内閣府令で定めるやむを得ない理由により行われることその他の内閣府令で定める要件を満たす場合は、この限りでない。
(2)With regard to Securities for which a Solicitation for Newly Issued Securities, etc. falling under any of the following categories was made (in cases where the Solicitation for Newly Issued Securities, etc. having been made for these Securities falls under the category set forth in item (i) below, limited to Securities acquired by Qualified Institutional Investors who are excluded under the provision of Article 2 (3)(i) from the number of persons to which the Solicitation for Newly Issued Securities, etc. was made), a Solicitation for Delivery of Existing Securities, etc. (meaning a solicitation of an application to sell or purchase already-issued Securities and Procedures Relating to Securities Delivery for Reorganization; the same shall apply hereinafter) which are made by a Qualified Institutional Investor to persons other than Qualified Institutional Investors (hereinafter referred to as a "General Solicitation for Securities Acquired by Qualified Institutional Investor") may not be made unless the Issuer of the Securities has made a notification of the General Solicitation for Securities Acquired by Qualified Institutional Investor to the Prime Minister; provided, however, that this shall not apply to the cases where disclosures have been made with regard to the Securities and to the cases where the General Solicitation for Securities Acquired by Qualified Institutional Investor is to be made for a compelling reason as specified by a Cabinet Office Ordinance or otherwise satisfies the requirements specified by a Cabinet Office Ordinance:
第二条第三項第一号に掲げる場合
(i)Solicitation for Acquisition set forth in Article 2 (3)(i);
第二条第三項第二号イに掲げる場合
(ii)Solicitation for Acquisition set forth in Article 2 (3)(ii)(a); or
第二条の二第四項第二号イに掲げる場合
(iii)Procedures Relating to Securities Issuance for Reorganization set forth in Article 2-2 (4)(ii)(a).
有価証券の募集又は売出し(第一項第四号に掲げる有価証券の売出しを除くものとし、適格機関投資家取得有価証券一般勧誘(有価証券の売出しに該当するものを除く。)及び特定組織再編成交付手続を含む。次項及び第五項、第十三条並びに第十五条第二項から第六項までを除き、以下この章及び次章において同じ。)が一定の日において株主名簿(優先出資法に規定する優先出資者名簿を含む。)に記載され、又は記録されている株主(優先出資法に規定する優先出資者を含む。)に対し行われる場合には、当該募集又は売出しに関する前二項の規定による届出は、その日の二十五日前までにしなければならない。ただし、有価証券の発行価格又は売出価格その他の事情を勘案して内閣府令で定める場合は、この限りでない。
(3)With regard to a Public Offering or Secondary Distribution of Securities (excluding that falling under the category of Secondary Distribution of Securities set forth in item (iv) of paragraph (1), but including a General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding those falling under the category of Secondary Distribution of Securities) and Procedures Relating to Securities Delivery for Reorganization; the same shall apply hereinafter in this Chapter and the following Chapter, except in the following paragraph and paragraph (5) of this Article, Article 13 and Article 15 (2) to (6)) to be made to shareholders (including preferred equity investors provided in the Act on Preferred Equity Investment) who are stated or recorded in the shareholder registry (including the preferred equity investor registry provided in the Act on Preferred Equity Investment) on a certain date, the notification for the Public Offering or Secondary Distribution under the preceding two paragraphs shall be made twenty five days prior to the day on which the Public Offering or Secondary Distribution is to be made; provided, however, that this shall not apply to the cases specified by a Cabinet Office Ordinance by taking into consideration the Issue Price or distribution price of the Securities or other factors.
第一項第三号若しくは第五号に掲げる有価証券の募集若しくは売出し若しくは第二項ただし書の規定により同項本文の規定の適用を受けない適格機関投資家取得有価証券一般勧誘のうち、有価証券の売出しに該当するもの若しくは有価証券の売出しに該当せず、かつ、開示が行われている場合に該当しないもの(以下この項及び次項において「特定募集等」という。)をし、又は当該特定募集等に係る有価証券を取得させ若しくは売り付ける場合に使用する目論見書には、当該特定募集等が第一項本文又は第二項本文の規定の適用を受けないものである旨を記載しなければならない。
(4)A Prospectus used for, among Public Offerings or Secondary Distributions of Securities specified in item (iii) or (v) of paragraph (1) or general solicitations for Securities acquired by Qualified Institutional Investor excluded from the application of the main clause of paragraph (2) by the proviso to said paragraph, that which falls under the category of Secondary Distribution of Securities or that which does not fall under the category of Secondary Distribution of Securities and does not fall under the Case Where Disclosures Have Been Made (hereinafter referred to as the "Specified Public Offering, etc." in this and the following paragraph), or used for having Securities pertaining to a Specified Public Offering, etc. to be acquired or for selling such Securities, should include a statement to the effect that the main clause of paragraph (1) or the main clause of paragraph (2) does not apply to the Specified Public Offering, etc.
特定募集等が行われる場合においては、当該特定募集等に係る有価証券の発行者は、当該特定募集等が開始される日の前日までに、内閣府令で定めるところにより、当該特定募集等に関する通知書を内閣総理大臣に提出しなければならない。ただし、開示が行われている場合における第三項に規定する有価証券の売出しでその売出価額の総額が一億円未満のもの及び第一項第五号に掲げる有価証券の募集又は売出しでその発行価額又は売出価額の総額が内閣府令で定める金額以下のものについては、この限りでない。
(5)For a Specified Public Offering, etc., the Issuer of the Securities for which the Specified Public Offering, etc. is to be made shall, pursuant to the provisions of a Cabinet Office Ordinance, submit a written notice of the Specified Public Offering, etc. to the Prime Minister by the day preceding the day on which the Specified Public Offering, etc. is to begin; provided, however, that this shall not apply to the Secondary Distributions of Securities set forth in paragraph (3) which fall under the Case Where Disclosures Have Been Made and of which the total issue price is less than 100 million yen, and Public Offerings or Secondary Distributions of the Securities set forth in item (v) of paragraph (1) of which the total issue price or total distribution price is less than the amount specified by a Cabinet Office Ordinance.
第一項第二号イ及びロ並びに第三号、第二項、第四項並びに前項に規定する開示が行われている場合とは、次に掲げる場合をいう。
(6)The term "the Case Where Disclosures Have Been Made" as used in (a) and (b) of item (ii) and item (iii) of paragraph (1), paragraph (2), paragraph (4) and the preceding paragraph means the following cases:
当該有価証券について既に行われた募集若しくは売出し(適格機関投資家取得有価証券一般勧誘に該当するものを除く。)に関する第一項の規定による届出又は当該有価証券について既に行われた適格機関投資家取得有価証券一般勧誘に関する第二項の規定による届出がその効力を生じている場合(当該有価証券の発行者が第二十四条第一項ただし書(同条第五項において準用し、及びこれらの規定を第二十七条において準用する場合を含む。)の規定の適用を受けている者である場合を除く。)
(i)cases where a notification made under paragraph (1) has come into effect with regard to the Public Offering or Secondary Distribution (excluding that falling under the category of General Solicitation for Securities Acquired by Qualified Institutional Investor) that was already made for the Securities, or a notification made under paragraph (2) has come into effect with regard to the General Solicitation for Securities Acquired by Qualified Institutional Investor that was already made for the Securities (excluding the cases where the proviso to Article 24 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 24 (5) or where these provisions are applied mutatis mutandis pursuant to Article 27) applies to the Issuer of the Securities); or
前号に掲げる場合に準ずるものとして内閣府令で定める場合
(ii)the case specified by a Cabinet Office Ordinance as being equivalent to the case specified in the preceding item.
(有価証券届出書の提出)
(Submission of Securities Registration Statement)
第五条前条第一項又は第二項の規定による有価証券の募集又は売出し(特定有価証券(その投資者の投資判断に重要な影響を及ぼす情報がその発行者が行う資産の運用その他これに類似する事業に関する情報である有価証券として政令で定めるものをいう。以下この項及び第五項並びに第二十四条において同じ。)に係る有価証券の募集及び売出しを除く。以下この項及び次項において同じ。)に係る届出をしようとする発行者は、その者が会社(外国会社を含む。第五十条の二第九項及び第百五十六条の三第二項第三号を除き、以下同じ。)である場合(当該有価証券(特定有価証券を除く。以下この項から第四項までにおいて同じ。)の発行により会社を設立する場合を含む。)においては、内閣府令で定めるところにより、次に掲げる事項を記載した届出書を内閣総理大臣に提出しなければならない。ただし、当該有価証券の発行価格の決定前に募集をする必要がある場合その他の内閣府令で定める場合には、第一号のうち発行価格その他の内閣府令で定める事項を記載しないで提出することができる。
Article 5(1)The Issuer of Securities who intends to make a notification for Public Offering or Secondary Distribution of Securities (excluding a Public Offering or Secondary Distribution of Securities to be made with regard to Regulated Securities (meaning Securities specified by a Cabinet Order as those for which information that will have material influence on investors' Investment Decisions is information on assets investment or other similar business conducted by the Issuer of the Securities; hereinafter the same shall apply in this paragraph and paragraph (5) of this Article and Article 24); hereinafter the same shall apply in this paragraph and the following paragraph) under paragraph (1) or (2) of the preceding Article shall submit a statement containing descriptions on the following matters to the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance, if the Issuer is a company (including a foreign company; the same shall apply hereinafter, except in Article 50-2 (9) and Article 156-3 (2)(iii)) (including the cases where the company is to be established by issuance of said Securities (excluding Regulated Securities; hereinafter the same shall apply in this paragraph to paragraph (4))); provided, however, that, in cases where it is necessary to make the Public Offering of Securities before deciding their Issue Price or in other cases specified by a Cabinet Office Ordinance, the statement may be submitted without stating the Issue Price or other matters specified by a Cabinet Office Ordinance among the matters required to be stated under item (i) below:
当該募集又は売出しに関する事項
(i)matters pertaining to the Public Offering or Secondary Distribution; and
当該会社の商号、当該会社の属する企業集団(当該会社及び当該会社が他の会社の議決権の過半数を所有していることその他の当該会社と密接な関係を有する者として内閣府令で定める要件に該当する者(内閣府令で定める会社その他の団体に限る。)の集団をいう。以下同じ。)及び当該会社の経理の状況その他事業の内容に関する重要な事項その他の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事項
(ii)trade name of the company, financial conditions of the Corporate Group (meaning the group consisting of the company and other persons (limited to companies or other organizations specified by a Cabinet Office Ordinance) who satisfies the requirements specified by a Cabinet Office Ordinance as those for being regarded as having a close relationship with the company, including the requirement that the company holds the majority of voting rights of the person who is a company; the same shall apply hereinafter) to which the company belongs and of the company, other important matters concerning the company's business and other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors.
前条第一項本文又は第二項本文の規定の適用を受ける有価証券の募集又は売出しのうち発行価額又は売出価額の総額が五億円未満のもので内閣府令で定めるもの(第二十四条第二項において「少額募集等」という。)に関し、前項の届出書を提出しようとする者のうち次の各号のいずれにも該当しない者は、当該届出書に、同項第二号に掲げる事項のうち当該会社に係るものとして内閣府令で定めるものを記載することにより、同号に掲げる事項の記載に代えることができる。
(2)A person who intends to submit a statement set forth in the preceding paragraph for a Public Offering or Secondary Distribution of Securities to which the main clause of paragraph (1) or the main clause of paragraph (2) of the preceding Article applies, of which the total issue price or the total distribution price is less than 500 million yen and which is specified by a Cabinet Office Ordinance for this purpose (such a Public Offering or Secondary Distribution of Securities is referred to as "Small Amount Public Offering, etc." in Article 24 (2)), may state, among the matters set forth in item (ii) of the preceding paragraph, only those specified by a Cabinet Office Ordinance as the matters pertaining to the company, instead of descriptions on all of the matters listed in Article 24 (2)(ii), unless the person falls under any of the categories of persons specified in the following items:
第二十四条第一項第一号、第二号又は第四号に掲げる有価証券に該当する有価証券の発行者
(i)the Issuer of Securities falling under any of the categories specified in Article 24 (1)(i), (ii) or (iv);
前条第一項本文又は第二項本文の規定の適用を受けた有価証券の募集又は売出しにつき前項第二号に掲げる事項を記載した同項の届出書を提出した者(前号に掲げる者を除く。)
(ii)the person who has submitted the statement set forth in the preceding paragraph which contains descriptions on the matters listed in item (ii) of the preceding paragraph for Public Offering or Secondary Distribution of Securities to which the main clause of paragraph (1) or the main clause of paragraph (2) of the preceding Article applied (excluding those specified in the preceding item); or
既に、有価証券報告書(第二十四条第一項に規定する報告書をいう。以下この条において同じ。)のうち同項本文に規定する事項を記載したもの又は第二十四条の四の七第一項若しくは第二項の規定による四半期報告書(以下この条において「四半期報告書」という。)のうち第二十四条の四の七第一項に規定する事項を記載したもの若しくは半期報告書(第二十四条の五第一項に規定する報告書をいう。以下この条及び第二十四条第二項において同じ。)のうち第二十四条の五第一項に規定する事項を記載したものを提出している者(前二号に掲げる者を除く。)
(iii)the person who has already submitted an Annual Securities Report (meaning the report set forth in Article 24 (1); hereinafter the same shall apply in this Article) which contains descriptions on the matters set forth in the main clause of Article 24 (1), a Quarterly Securities Report set forth in Article 24-4-7 (1) or (2) (hereinafter referred to as a "Quarterly Securities Report" in this Article) which contains descriptions on the matters set forth in Article 24-4-7 (1), or a Semiannual Securities Report (meaning the report set forth in Article 24-5 (1); hereinafter the same shall apply in this Article and Article 24 (2)) which contains descriptions on the matters set forth in Article 24-5 (1) (excluding those specified in the preceding two items).
既に内閣府令で定める期間継続して有価証券報告書のうち内閣府令で定めるものを提出している者は、前条第一項又は第二項の規定による届出をしようとする場合には、第一項の届出書に、内閣府令で定めるところにより、その者に係る直近の有価証券報告書及びその添付書類並びにその提出以後に提出される四半期報告書又は半期報告書並びにこれらの訂正報告書の写しをとじ込み、かつ、当該有価証券報告書提出後に生じた事実で内閣府令で定めるものを記載することにより、同項第二号に掲げる事項の記載に代えることができる。
(3)When a person who has continuously filed Annual Securities Reports as specified by a Cabinet Office Ordinance during the period specified by a Cabinet Office Ordinance makes a notification under paragraph (1) or (2) of the preceding Article, such a person may, instead of descriptions of the matters listed in item (ii) of paragraph (1), insert a copy of the latest Annual Securities Report pertaining to the person and the documents attached thereto, a copy of the Quarterly Securities Report or Semiannual Securities Report submitted after the submission of the Annual Securities Report and a copy of amendment reports submitted with regard to the foregoing reports to the statement set forth in paragraph (1) pursuant to the provisions of a Cabinet Office Ordinance, and state facts that occurred after the submission of the Annual Securities Report and fall under the category of facts specified by a Cabinet Office Ordinance in the statement set forth in paragraph (1).
次に掲げるすべての要件を満たす者が前条第一項又は第二項の規定による届出をしようとする場合において、第一項の届出書に、内閣府令で定めるところにより、その者に係る直近の有価証券報告書及びその添付書類並びにその提出以後に提出される四半期報告書又は半期報告書及び臨時報告書(第二十四条の五第四項に規定する報告書をいう。)並びにこれらの訂正報告書(以下「参照書類」という。)を参照すべき旨を記載したときは、第一項第二号に掲げる事項の記載をしたものとみなす。
(4)When a person who satisfies all of the requirements listed below makes a notification under paragraph (1) or (2) of the preceding Article, if the person states in the statement set forth in paragraph (1) to the effect that reference should be made to the latest Annual Securities Report pertaining to the person and the documents attached thereto, the Quarterly Securities Report or Semiannual Securities Report and Extraordinary Report (meaning the report defined in Article 24-5 (4)) submitted after the submission of the Annual Securities Report and the amendment reports submitted with regard to the foregoing reports (hereinafter collectively referred to as "Reference Documents"), pursuant to the provisions of a Cabinet Office Ordinance, the person shall be deemed to give descriptions on the matters listed in item (ii) of paragraph (1) in the statement:
既に内閣府令で定める期間継続して有価証券報告書のうち内閣府令で定めるものを提出していること。
(i)the person must have continuously filed Annual Securities Reports as specified by a Cabinet Office Ordinance during the period specified by a Cabinet Office Ordinance; and
当該者に係る第一項第二号に掲げる事項に関する情報が既に公衆に広範に提供されているものとして、その者が発行者である有価証券で既に発行されたものの取引所金融商品市場における取引状況等に関し内閣府令で定める基準に該当すること。
(ii)the person must satisfy the criteria on the state of transactions of Securities already issued by the person in the relevant Financial Instruments Exchange Market and other matters for regarding information on the matters listed in item (ii) of paragraph (1) pertaining to the person as being widely available to the public specified by a Cabinet Office Ordinance.
第一項から前項までの規定は、当該有価証券が特定有価証券である場合について準用する。この場合において、第一項中「有価証券の募集及び売出しを除く」とあるのは「有価証券の募集又は売出しに限る」と、「当該有価証券(特定有価証券を除く。以下この項から第四項までにおいて同じ。)」とあるのは「当該特定有価証券」と、同項第二号中「当該会社の商号、当該会社の属する企業集団(当該会社及び当該会社が他の会社の議決権の過半数を所有していることその他の当該会社と密接な関係を有する者として内閣府令で定める要件に該当する者(内閣府令で定める会社その他の団体に限る。)の集団をいう。以下同じ。)及び当該会社の経理の状況その他事業」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産の経理の状況その他資産」と、第二項中「有価証券の募集又は売出しのうち」とあるのは「特定有価証券に係る有価証券の募集又は売出しのうち」と、同項第一号中「有価証券の」とあるのは「特定有価証券の」と、同項第二号中「有価証券の募集又は売出し」とあるのは「特定有価証券に係る有価証券の募集又は売出し」と、同項第三号中「同項本文」とあるのは「第二十四条第五項において準用する同条第一項本文」と、「第二十四条の四の七第一項若しくは第二項」とあるのは「第二十四条の四の七第三項において準用する同条第一項若しくは第二項」と、「第二十四条の四の七第一項に規定する事項」とあるのは「第二十四条の四の七第三項において準用する同条第一項に規定する事項」と、「第二十四条の五第一項に規定する事項」とあるのは「第二十四条の五第三項において準用する同条第一項に規定する事項」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(5)The provisions of paragraph (1) to the preceding paragraph shall apply mutatis mutandis to cases where the Securities for which the notification set forth in paragraph (1) is made are Regulated Securities.In this case, the terms "excluding a Public Offering or Secondary Distribution of Securities" and "said Securities (excluding Regulated Securities; hereinafter the same shall apply in this paragraph to paragraph (iv))" in paragraph (1) shall be deemed to be replaced with "limited to a Public Offering or Secondary Distribution of Securities" and "said Securities," respectively; the terms "Trade name of the company, financial conditions of the Corporate Group (meaning the group consisting of the company and other persons (limited to companies or other organizations specified by a Cabinet Office Ordinance) who satisfies the requirements specified by a Cabinet Office Ordinance as those for being regarded as having a close relationship with the company, including the requirement that the company holds the majority of voting rights of the person who is a company; the same shall apply hereinafter) to which the company belongs and of the company, other important matters concerning the company's business" in item (ii) of said paragraph shall be deemed to be replaced with "Financial conditions of asset investment or other similar businesses conducted by the company, other important matters concerning the company's assets"; the term "a Public Offering or Secondary Distribution of Securities" in paragraph (2) shall be deemed to be replaced with "a Public Offering or Secondary Distribution of Regulated Securities"; the term "Securities falling under any of the categories" in item (i) of said paragraph shall be deemed to be replaced with "Regulated Securities falling under any of the categories of Securities"; the term "Public Offering or Secondary Distribution of Securities" in item (ii) of said paragraph shall be deemed to be replaced with "Public Offering or Secondary Distribution of Regulated Securities"; the term "the main clause of Article 24 (1)," "Article 24-4-7 (1) or (2)," "the matters set forth in Article 24-4-7 (1)" and "the matters set forth in Article 24-5 (1)" in item (iii) of said paragraph shall be deemed to be replaced with "the main clause of Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5)," "Article 24-4-7 (1) or (2) as applied mutatis mutandis pursuant to Article 24-4-7 (3)," "the matters set forth in Article 24-4-7 (1) as applied mutatis mutandis pursuant to Article 24-4-7 (3)" and "the matters set forth in Article 24-5 (1) as applied mutatis mutandis pursuant to Article 24-5 (3) "; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第一項の届出書には、定款その他の書類で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを添付しなければならない。
(6)The articles of incorporation or other documents that are specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors shall be attached to a statement set forth in paragraph (1).
(届出書類の写しの金融商品取引所等への提出)
(Submission of Statement and Other Related Documents to Financial Instruments Exchange, etc.)
第六条次の各号に掲げる有価証券の発行者は、第四条第一項又は第二項の規定による届出をしたときは、遅滞なく、前条第一項及び第六項の規定による届出書類の写しを当該各号に掲げる者に提出しなければならない。
Article 6The Issuer of Securities set forth in the following items shall submit a copy of the statement set forth in paragraph (1) of the preceding Article and of other documents required under paragraph (6) of the preceding Article to the entity specified in the respective items without delay after the Issuer makes notification under Article 4 (1) or (2):
金融商品取引所に上場されている有価証券当該金融商品取引所
(i)Securities listed in a Financial Instruments Exchange:the Financial Instruments Exchange; and
流通状況が前号に掲げる有価証券に準ずるものとして政令で定める有価証券政令で定める認可金融商品取引業協会
(ii)Securities specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Securities referred to in the preceding item:the Authorized Financial Instruments Firms Association specified by the Cabinet Order.
(訂正届出書の自発的提出)
(Voluntary Submission of Amendment)
第七条第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類に記載すべき重要な事項の変更その他公益又は投資者保護のため当該書類の内容を訂正する必要があるものとして内閣府令で定める事情があるときは、届出者(会社の成立後は、その会社。以下同じ。)は、訂正届出書を内閣総理大臣に提出しなければならない。これらの事由がない場合において、届出者が当該届出書類のうちに訂正を必要とするものがあると認めたときも、同様とする。
Article 7When there occurs any change in the important matters to be stated in a statement set forth in Article 5 (1) or in other documents required under Article 5 (6), or there occurs any other circumstance specified by a Cabinet Office Ordinance as that which requires amendment of said statement or said other documents for the public interest or protection of investors, during the period on or after the day on which the notification was made under Article 4 (1) or (2) but before the day on which the notification is to take effect, the person making the notification (or after the company is established by issuance of the Securities for which the notification was made, the company; the same shall apply hereinafter) shall submit an amendment to the Prime Minister. This shall also apply to cases where despite the lack of said change or circumstance, the person making the notification finds that the statement or any of said other documents should be amended.
(届出の効力発生日)
(Effective Date of Notification)
第八条第四条第一項又は第二項の規定による届出は、内閣総理大臣が第五条第一項の規定による届出書(同項ただし書に規定する事項の記載がない場合には、当該事項に係る前条の規定による訂正届出書。次項において同じ。)を受理した日から十五日を経過した日に、その効力を生ずる。
Article 8(1)The notification made under Article 4 (1) or (2) shall come into effect on the day on which fifteen days have elapsed from the day on which the Prime Minister accepted the statement submitted under Article 5 (1) (or, if the matters referred to in the proviso to Article 5 (1) are not stated in the statement, the amendment submitted under the preceding Article in relation to said matters; hereinafter the same shall apply in the following paragraph).
前項の期間内に前条の規定による訂正届出書の提出があつた場合における同項の規定の適用については、内閣総理大臣がこれを受理した日に、第五条第一項の規定による届出書の受理があつたものとみなす。
(2)With regard to the application of the preceding paragraph in cases where the amendment is submitted under the preceding Article within the period set forth in the preceding paragraph, it shall be deemed that the statement set forth in Article 5 (1) has been accepted by the Prime Minister on the day on which the Prime Minister accepts the amendment.
内閣総理大臣は、第五条第一項及び第六項若しくは前条の規定による届出書類の内容が公衆に容易に理解されると認める場合又は当該届出書類の届出者に係る第五条第一項第二号に掲げる事項に関する情報が既に公衆に広範に提供されていると認める場合においては、当該届出者に対し、第一項に規定する期間に満たない期間を指定し、又は第四条第一項若しくは第二項の規定による届出が、直ちに若しくは第一項に規定する届出書を受理した日の翌日に、その効力を生ずる旨を通知することができる。この場合において、同条第一項又は第二項の規定による届出は、当該満たない期間を指定した場合にあつてはその期間を経過した日に、当該通知をした場合にあつては直ちに若しくは当該翌日に、その効力を生ずる。
(3)When the Prime Minister believes that the statement set forth in Article 5 (1) and other documents set forth in Article 5 (6) or the preceding Article are easily understandable to the public or finds that information on the matters listed in Article 5 (1)(ii) pertaining to the person who submitted the statement and the other documents has been widely available to the public, he/she may designate a period for the person shorter than that referred to in paragraph (1) or give the person a notice that the notification made under Article 4 (1) or (2) will come into effect immediately or on the day following the day on which he/she accepts the statement referred to in paragraph (1).In this case, the notification made under Article 4 (1) or (2) shall come into effect on the day on which the shorter period has elapsed in cases where the shorter period is designated, or shall come into effect immediately or on said following day in cases where said notice is given.
第二項の規定は、前項の規定による期間の指定があつた場合について準用する。
(4)The provision of paragraph (2) shall apply mutatis mutandis to cases where a shorter period is designated under the preceding paragraph.
(形式不備等による訂正届出書の提出命令)
(Order to Submit Amendment by Reason of Deficiencies in Formalities, etc.)
第九条内閣総理大臣は、第五条第一項及び第六項若しくは第七条の規定による届出書類に形式上の不備があり、又はその書類に記載すべき重要な事項の記載が不十分であると認めるときは、届出者に対し、訂正届出書の提出を命ずることができる。この場合においては、行政手続法(平成五年法律第八十八号)第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
Article 9(1)When the Prime Minister finds any deficiencies in formalities in the statement set forth in Article 5 (1) and other documents set forth in Article 5 (6) or Article 7, or finds insufficiency of the statements on important matters to be stated therein, he/she may order the person submitting them to submit an amendment.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act (Act No. 88 of 1993).
前項の規定による処分があつた場合においては、第四条第一項又は第二項の規定による届出は、前条の規定にかかわらず、内閣総理大臣が指定する期間を経過した日に、その効力を生ずる。
(2)In cases where the disposition under the preceding paragraph is given, the notification made under Article 4 (1) or (2) shall come into effect on the day on which the period designated by the Prime Minister has elapsed, notwithstanding the preceding Article.
前条第二項から第四項までの規定は、前項の場合について準用する。
(3)The provisions of paragraphs (2) to (4) of the preceding Article shall apply mutatis mutandis to the case referred to in the preceding paragraph.
第一項の規定による処分は、第四条第一項又は第二項の規定による届出がその効力を生ずることとなつた日以後は、することができない。ただし、その日以後に第七条の規定により提出される訂正届出書については、この限りでない。
(4)The disposition under paragraph (1) may not be given on or after the day on which the notification made under Article 4 (1) or (2) comes into effect; provided, however, that this shall not apply to the amendment submitted under Article 7 on or after that day.
(虚偽記載等による訂正届出書の提出命令及び効力の停止命令)
(Order to Submit Amendment by Reason of Fake Statement, etc. and Order for Suspension of the Effect of the Notification)
第十条内閣総理大臣は、有価証券届出書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていることを発見したときは、いつでも、届出者に対し、訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止を命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
Article 10(1)When the Prime Minister finds that a Securities Registration Statement contains any fake statement on important matters, or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, he/she may at any time order the person submitting the Securities Registration Statement to submit an amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2).In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
前条第二項及び第三項の規定は、第四条第一項又は第二項の規定による届出がその効力を生ずることとなる日前に前項の規定による訂正届出書の提出命令があつた場合について準用する。
(2)The provisions of paragraphs (2) and (3) of the preceding Article shall apply mutatis mutandis to cases where an order to submit the amendment is given under the preceding paragraph before the notification made under Article 4 (1) or (2) comes into effect.
第一項の規定による停止命令があつた場合において、同項の規定による訂正届出書が提出され、且つ、内閣総理大臣がこれを適当と認めたときは、内閣総理大臣は、同項の規定による停止命令を解除するものとする。
(3)In cases where an order for suspension is given under paragraph (1), when an amendment is submitted as required under said paragraph and the Prime Minister finds the amendment as being appropriate, he/she shall cancel the order for suspension under said paragraph.
(虚偽記載のある有価証券届出書の届出後一年内の届出の効力の停止等)
(Suspension of the Effect of the Notifications Made Within One Year from the Submission of Securities Registration Statement Containing Fake Statement)
第十一条内閣総理大臣は、有価証券届出書のうちに重要な事項について虚偽の記載がある場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、当該有価証券届出書又はその届出者がこれを提出した日から一年以内に提出する第五条第一項に規定する届出書若しくは第二十三条の三第一項に規定する発行登録書若しくは第二十三条の八第一項に規定する発行登録追補書類について、届出者に対し、公益又は投資者保護のため相当と認められる期間、その届出の効力若しくは当該発行登録書若しくは当該発行登録追補書類に係る発行登録の効力の停止を命じ、又は第八条第一項(第二十三条の五第一項において準用する場合を含む。)に規定する期間を延長することができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
Article 11(1)In cases where a Securities Registration Statement contains any fake statements on important matters, when the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may, with regard to said Securities Registration Statement, or other statements submitted under Article 5 (1), Shelf Registration Statements submitted under Article 23-3 (1) or Shelf Registration Supplements submitted under Article 23-8 (1) by the person who submitted said Securities Registration Statement during the period within one year from the day when the person submitted said Securities Registration Statement, order the suspension of effect of the notification or of the Shelf Registration pertaining to the Shelf Registration Statement or the Shelf Registration Supplements, or extend the period stipulated in Article 8 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 23-5 (1)), for the period that he/she considers appropriate for the public interest or protection of investors.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
前項の規定による処分があつた場合において、内閣総理大臣は、同項の記載につき第七条又は前条第一項の規定により提出された訂正届出書の内容が適当であり、かつ、当該届出者が発行者である有価証券を募集又は売出しにより取得させ又は売り付けても公益又は投資者保護のため支障がないと認めるときは、前項の規定による処分を解除することができる。
(2)In cases where a disposition is made under the preceding paragraph, the Prime Minister may cancel the disposition if he/she finds that the content of an amendment submitted under Article 7 or paragraph (1) of the preceding Article in relation to the fake statement referred to in the preceding paragraph is appropriate and that even if acquisition or sale of Securities issued by the person having submitted the Securities Registration Statement through Public Offering or Secondary Distribution is allowed, it would not hinder the public interest or protection of investors.
(訂正届出書の写しの金融商品取引所等への提出)
(Submission of Amendment to Financial Instruments Exchange, etc.)
第十二条第六条の規定は、第七条、第九条第一項又は第十条第一項の規定により訂正届出書が提出された場合について準用する。
Article 12The provision of Article 6 shall apply mutatis mutandis to cases where an amendment is submitted under Article 7, Article 9 (1) or Article 10 (1).
(目論見書の作成及び虚偽記載のある目論見書等の使用禁止)
(Preparation of Prospectus and Prohibition of Use of Prospectus, etc. Containing Fake Statement)
第十三条その募集又は売出し(第四条第一項第四号に掲げる有価証券の売出しを除くものとし、適格機関投資家取得有価証券一般勧誘(有価証券の売出しに該当するものを除く。)を含む。以下この条並びに第十五条第二項から第四項まで及び第六項において同じ。)につき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券の発行者は、当該募集又は売出しに際し、目論見書を作成しなければならない。開示が行われている場合(同条第一項第二号イに規定する開示が行われている場合をいう。以下この章において同じ。)における有価証券の売出し(その売出価額の総額が一億円未満であるものその他内閣府令で定めるものを除く。)に係る有価証券(以下この章において「既に開示された有価証券」という。)の発行者についても、同様とする。
Article 13(1)With regard to Securities of which Public Offering or Secondary Distribution (excluding Secondary Distribution of Securities specified in Article 4 (1)(iv), but including General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding those falling under the category of Secondary Distribution of Securities); hereinafter the same shall apply in this Article and paragraphs (2) to (4) and paragraph (6) of Article 15) shall be subject to the main clause of Article 4 (1) or the main clause of Article 4 (2), the Issuer of such Securities shall prepare a Prospectus for the Public Offering or Secondary Distribution. The same shall apply to an Issuer of Securities of which the Secondary Distribution (excluding that of which the total distribution price is less than 100 million yen or that falling under the categories specified by a Cabinet Office Ordinance) falls under the Case Where Disclosures Have Been Made (meaning the Case Where Disclosures Have Been Made as referred to in Article 4 (1)(ii)(a); the same shall apply hereinafter in this Chapter) (such Securities are hereinafter referred to as "Already Disclosed Securities" in this Chapter).
前項の目論見書は、次の各号に掲げる場合の区分に応じ、当該各号に定める事項に関する内容を記載しなければならない。ただし、第一号に掲げる場合の目論見書については、第五条第一項ただし書の規定により同項第一号のうち発行価格その他の内閣府令で定める事項(以下この項及び第十五条第五項において「発行価格等」という。)を記載しないで第五条第一項本文の規定による届出書を提出した場合には、当該発行価格等を記載することを要しない。
(2)In the Prospectus required under the preceding paragraph, according to the categories specified in the following items, the matters specified in the respective items shall be stated; provided, however, that in cases where the statement required under the main clause of Article 5 (1) has been submitted without stating the Issue Price or other matters so specified by a Cabinet Office Ordinance among the matters required to be stated under item Article 5 (1)(i) (hereinafter referred to as "Issue Price, etc." in this paragraph and Article 15 (5)) under the proviso to Article 5 (1), Issue Price, etc. shall not be required to be stated in the Prospectus, if it falls under the category specified in item (i) below:
第十五条第二項本文の規定により交付しなければならない場合 次のイ又はロに掲げる有価証券の区分に応じ、当該イ又はロに定める事項
(i)in cases where delivery of the Prospectus is required under the main clause of Article 15 (2): according to the categories of Securities specified in the following (a) and (b), the matters specified in the following (a) or (b):
その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券 次に掲げる事項
(a)Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4 (1) or the main clause of Article 4 (2): the following matters:
(1)第五条第一項各号に掲げる事項のうち、投資者の投資判断に極めて重要な影響を及ぼすものとして内閣府令で定めるもの
1.among the matters listed in the items of Article 5 (1), the matters specified by a Cabinet Office Ordinance as those that may have an extremely material influence on investors' Investment Decisions; and
(2)第五条第一項各号に掲げる事項以外の事項であつて内閣府令で定めるもの
2.among the matters listed in the items of Article 5 (1), the matters so specified by a Cabinet Office Ordinance.
既に開示された有価証券 次に掲げる事項
(b)Already Disclosed Securities: the following matters:
(1)イ(1)に掲げる事項
1.the matters listed in (a)(i) above; and
(2)第五条第一項各号に掲げる事項以外の事項であつて内閣府令で定めるもの
2.among the matters listed in the items of Article 5 (1), the matters so specified by a Cabinet Office Ordinance.
第十五条第三項の規定により交付しなければならない場合 次のイ又はロに掲げる有価証券の区分に応じ、当該イ又はロに定める事項
(ii)in cases where delivery of the Prospectus is required under Article 15 (3): according to the categories of Securities specified in the following (a) and (b), the matters specified in the following (a) or (b):
その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券 次に掲げる事項
(a)Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4 (1) or the main clause of Article 4 (2): the following matters:
(1)第五条第一項各号に掲げる事項のうち、投資者の投資判断に重要な影響を及ぼすものとして内閣府令で定めるもの
1.among the matters listed in the items of Article 5 (1), the matters specified by a Cabinet Office Ordinance as those that may have an extremely material influence on investors' Investment Decisions; and
(2)第五条第一項各号に掲げる事項以外の事項であつて内閣府令で定めるもの
2.among the matters not listed in the items of Article 5 (1), the matters so specified by a Cabinet Office Ordinance.
既に開示された有価証券 次に掲げる事項
(b)Already Disclosed Securities: the following matters:
(1)イ(1)に掲げる事項
1.the matters listed in (a)(i) above; and
(2)第五条第一項各号に掲げる事項以外の事項であつて内閣府令で定めるもの
2.among the matters not listed in the items of Article 5 (1), the matters so specified by a Cabinet Office Ordinance.
第十五条第四項本文の規定により交付しなければならない場合第七条の規定による訂正届出書に記載した事項
(iii)in cases where delivery of the Prospectus is required under the main clause of Article 15 (4):the matters stated in the amendment submitted under Article 7.
前項第一号及び第二号に掲げる場合の目論見書であつて、第五条第四項(同条第五項において準用する場合を含む。以下同じ。)の規定の適用を受けた届出書を提出した者が作成すべきもの又は同条第四項各号に掲げるすべての要件を満たす者が作成すべき既に開示された有価証券に係るものについては、参照書類を参照すべき旨を記載した場合には、同条第一項第二号に掲げる事項の記載をしたものとみなす。
(3)With regard to a Prospectus that falls under the category specified in item (i) or (ii) of the preceding paragraph, when the person required to prepare it has submitted a notification to which Article 5 (4) (including the cases where it is applied mutatis mutandis pursuant to Article 5 (5); the same shall apply hereinafter) is applied or if the person required to prepare it for Already Disclosed Securities satisfies all of the requirements specified in the items of Article 5 (4), if the person states in the Prospectus to the effect that reference should be made to the Reference Documents, the Prospectus shall be deemed to contain descriptions on the matters listed in Article 5 (1)(ii).
何人も、第四条第一項本文若しくは第二項本文の規定の適用を受ける有価証券又は既に開示された有価証券の募集又は売出しのために、虚偽の記載があり、又は記載すべき内容の記載が欠けている第一項の目論見書を使用してはならない。
(4)No person shall use a Prospectus referred to in paragraph (1) which contains any fake statement or lacks any statement that should be stated, for the purpose of Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4 (1) or the main clause of Article 4 (2) or Already Disclosed Securities.
何人も、第四条第一項本文若しくは第二項本文の規定の適用を受ける有価証券又は既に開示された有価証券の募集又は売出しのために第一項の目論見書以外の文書、図画、音声その他の資料(電磁的記録(電子的方式、磁気的方式その他人の知覚によつては認識することができない方式で作られる記録であつて、電子計算機による情報処理の用に供されるものをいう。以下同じ。)をもつて作成された場合においては、その電磁的記録に記録された情報の内容を表示したものを含む。第十七条において同じ。)を使用する場合には、虚偽の表示又は誤解を生じさせる表示をしてはならない。
(5)When documents other than the Prospectus referred to in paragraph (1), drawings, sound or other materials (in cases where they are prepared as Electromagnetic Record (a record made by an electronic form, a magnetic form, or any other form not recognizable to human perception, which is used in information processing by computers; the same shall apply hereinafter), including anything which indicates the information contained in the Electromagnetic Records; the same shall apply in Article 17) are used for the purpose of Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4 (1) or the main clause of Article 4 (2) or Already Disclosed Securities, no false indication or misleading indication shall be made.
第十四条削除
Article 14Deleted
(届出の効力発生前の有価証券の取引禁止及び目論見書の交付)
(Prohibition of Transaction of Securities for Which Notification has Not Yet Come into Effect, and Delivery of Prospectus)
第十五条発行者、有価証券の売出しをする者、引受人(適格機関投資家取得有価証券一般勧誘(開示が行われている場合における有価証券に係るものを除く。)に際し、第二条第六項各号のいずれかを行う者を含む。以下この章において同じ。)、金融商品取引業者、登録金融機関又は金融商品仲介業者は、その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券については、これらの規定による届出がその効力を生じているのでなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。
Article 15(1)With regard to Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4 (1) or the main clause of Article 4 (2), its Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter (including a person who, with regard to a General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding in the Case Where Disclosures Have Been Made with regard to the Securities for which the general solicitation is made), carries out any of the acts specified in the items of Article 2 (6); hereinafter the same shall apply in this Chapter), a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider shall not have another person acquire such Securities or sell such Securities to another person through Public Offering or Secondary Distribution unless the notification made under Article 4 (1) or (2) comes into effect.
発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、前項の有価証券又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合には、第十三条第二項第一号に定める事項に関する内容を記載した目論見書をあらかじめ又は同時に交付しなければならない。ただし、次に掲げる場合は、この限りでない。
(2)In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in the preceding paragraph or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, they shall deliver the Prospectus containing the matters specified in Article 13 (2)(i) to the other person in advance of, or at the same time as, having the Securities acquired or selling the Securities; provided, however, that this shall not apply to the following cases:
適格機関投資家に取得させ、又は売り付ける場合(当該有価証券を募集又は売出しにより取得させ、又は売り付ける時までに当該適格機関投資家から当該目論見書の交付の請求があつた場合を除く。)
(i)cases where such Securities are acquired by or sold to a Qualified Institutional Investor (excluding cases where the Qualified Institutional Investor requests the Prospectus by the time when such Securities are acquired or sold through Public Offering or Secondary Distribution); or
当該目論見書の交付を受けないことについて同意した次に掲げる者に当該有価証券を取得させ、又は売り付ける場合(当該有価証券を募集又は売出しにより取得させ、又は売り付ける時までに当該同意した者から当該目論見書の交付の請求があつた場合を除く。)
(ii)cases where such Securities are acquired by or sold to a person who has consented not to receive the Prospectus (excluding cases where the consenting person requests the Prospectus by the time when such Securities are acquired or sold through Public Offering or Secondary Distribution), if:
当該有価証券と同一の銘柄を所有する者
(a)the consenting person already holds the same Securities; or
その同居者が既に当該目論見書の交付を受け、又は確実に交付を受けると見込まれる者
(b)a person living together with the consenting person has already received the Prospectus or is certainly expected to receive the Prospectus.
発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、第一項の有価証券(政令で定めるものに限る。以下この項において同じ。)又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合において、その取得させ、又は売り付ける時までに、相手方から第十三条第二項第二号に定める事項に関する内容を記載した目論見書の交付の請求があつたときには、直ちに、当該目論見書を交付しなければならない。
(3)In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in paragraph (1) (limited to those so specified by a Cabinet Order; hereinafter the same shall apply in this paragraph) or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, if the other person requests the Prospectus stating the matters specified in Article 13 (2)(ii) by the time when such Securities are acquired or sold through Public Offering or Secondary Distribution, they shall deliver the Prospectus to the other person immediately.
発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、第一項の有価証券を募集又は売出しにより取得させ、又は売り付ける場合において、当該有価証券に係る第五条第一項本文の届出書について第七条の規定による訂正届出書が提出されたときには、第十三条第二項第三号に定める事項に関する内容を記載した目論見書をあらかじめ又は同時に交付しなければならない。ただし、第二項各号に掲げる場合は、この限りでない。
(4)In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in paragraph (1) or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, if an amendment has been submitted with regard to the statement submitted for the Securities under the main clause of Article 5 (1), they shall deliver the Prospectus stating the matters specified in Article 13 (2)(iii) to the other person in advance of, or at the same time as, having the Securities acquired or selling the Securities; provided, however, that this shall not apply in the cases specified in the items of paragraph (2).
第十三条第二項ただし書の規定により発行価格等を記載しないで交付した第二項の目論見書に発行価格等を公表する旨及び公表の方法(内閣府令で定めるものに限る。)が記載され、かつ、当該公表の方法により当該発行価格等が公表された場合には、前項本文の規定は、適用しない。
(5)The main clause of the preceding paragraph shall not apply to cases where a Prospectus delivered under paragraph (2) states no Issue Price, etc. as permitted by the proviso to Article 13 (2) but states to the effect that the Issue Price, etc. will be announced separately and specifies the method of announcement of the Issue Price, etc. (limited to those specified by a Cabinet Office Ordinance), and the Issue Price, etc. is actually announced by said method.
第二項から前項までの規定は、第一項に規定する有価証券の募集又は売出しに際してその全部を取得させることができなかつた場合におけるその残部(第二十四条第一項第一号及び第二号に掲げるものに該当するものを除く。)を、当該募集又は売出しに係る第四条第一項又は第二項の規定による届出がその効力を生じた日から三月(第十条第一項又は第十一条第一項の規定による停止命令があつた場合には、当該停止命令があつた日からその解除があつた日までの期間は、算入しない。)を経過する日までの間において、募集又は売出しによらないで取得させ、又は売り付ける場合について準用する。
(6)The provisions of paragraph (2) to the preceding paragraph shall apply mutatis mutandis to cases where the remainder of the Securities referred to in paragraph (1) that is not acquired by any person through Public Offering or Secondary Distribution (excluding Securities that fall under any of the categories specified in Article 24 (1)(i) and (ii)) is acquired by, or sold to, someone not through Public Offering or Secondary Distribution within three months (excluding, where an order for suspension has been given under Article 10 (1) or Article 11 (1), the period from the day when the order was given to the day when the order was canceled) from the day when the notification made under Article 4 (1) or (2) for the Public Offering or Secondary Distribution came into effect.
(違反行為者の賠償責任)
(Liability for Damages for Violating Article 15)
第十六条前条の規定に違反して有価証券を取得させた者は、これを取得した者に対し当該違反行為に因り生じた損害を賠償する責に任ずる。
Article 16A person who has another person acquire Securities in violation of the preceding Article shall be held liable to compensate damage arisen from the violation and sustained by the person who acquires the Securities.
(虚偽記載のある目論見書等を使用した者の賠償責任)
(Liability for Damages of Person Who Uses Prospectus Containing Fake Statement, etc.)
第十七条第四条第一項本文若しくは第二項本文の規定の適用を受ける有価証券又は既に開示された有価証券の募集又は売出しについて、重要な事項について虚偽の記載があり、若しくは記載すべき重要な事項若しくは誤解を生じさせないために必要な事実の記載が欠けている第十三条第一項の目論見書又は重要な事項について虚偽の表示若しくは誤解を生ずるような表示があり、若しくは誤解を生じさせないために必要な事実の表示が欠けている資料を使用して有価証券を取得させた者は、記載が虚偽であり、若しくは欠けていること又は表示が虚偽であり、若しくは誤解を生ずるような表示であり、若しくは表示が欠けていることを知らないで当該有価証券を取得した者が受けた損害を賠償する責めに任ずる。ただし、賠償の責めに任ずべき者が、記載が虚偽であり、若しくは欠けていること又は表示が虚偽であり、若しくは誤解を生ずるような表示であることを知らず、かつ、相当な注意を用いたにもかかわらず知ることができなかつたことを証明したときは、この限りでない。
Article 17With regard to a Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4 (1) or the main clause of Article 4 (2) or Already Disclosed Securities, a person who has another person acquire the Securities using a Prospectus referred to in Article 13 (1) that contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, or a material that contains any false indication or misleading indication on important matters or lacks indication on a material fact that is necessary for avoiding misunderstanding, shall be held liable to compensate damage sustained by the other person who acquires the Securities without knowing of the existence of such fake statement, lack of such statement, the existence of such false indication or misleading indication or lack of such indication; provided, however, that this shall not apply to the cases where the person liable for such damage proves that he/she did not know of, and was not able to know of even with reasonable care, the existence of such fake statement, lack of such statement, the existence of such false indication or misleading indication or lack of such indication.
(虚偽記載のある届出書の届出者等の賠償責任)
(Liability for Damages of Person Who Submits Securities Registration Statement Containing Fake Statement, etc.)
第十八条有価証券届出書のうちに、重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けているときは、当該有価証券届出書の届出者は、当該有価証券を当該募集又は売出しに応じて取得した者に対し、損害賠償の責めに任ずる。ただし、当該有価証券を取得した者がその取得の申込みの際記載が虚偽であり、又は欠けていることを知つていたときは、この限りでない。
Article 18(1)If a Securities Registration Statement contains any fake statement on important matters or lacks a statement on important matters that should be stated or is on a material fact that is necessary for avoiding misunderstanding, the person who submitted the Securities Registration Statement shall be held liable to compensate damage sustained by a person who acquires the Securities through Public Offering or Secondary Distribution; provided, however, that this shall not apply to cases where the person who acquired the Securities knew of the existence of such fake statement or lack of such statement at the time of making an offer to acquire the Securities.
前項の規定は、第十三条第一項の目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、前項中「有価証券届出書の届出者」とあるのは「目論見書を作成した発行者」と、「募集又は売出しに応じて」とあるのは「募集又は売出しに応じ当該目論見書の交付を受けて」と読み替えるものとする。
(2)The preceding paragraph shall apply mutatis mutandis to cases where a Prospectus referred to in Article 13 (1) contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding.In this case, the terms "the person who submitted the Securities Registration Statement" and "through the Public Offering or Secondary Distribution" in the preceding paragraph shall be deemed to be replaced with "the Issuer who prepared the Prospectus" and "through the Public Offering or Secondary Distribution after receiving the Prospectus," respectively.
(虚偽記載のある届出書の届出者等の賠償責任額)
(Amount of Damages Payable by Person Who Submits Securities Registration Statement Containing Fake Statement, etc.)
第十九条前条の規定により賠償の責めに任ずべき額は、請求権者が当該有価証券の取得について支払つた額から次の各号の一に掲げる額を控除した額とする。
Article 19(1)The amount of damages to be paid under the preceding Article shall be the amount calculated by deducting the amount specified by either of the following items from the amount paid for acquisition of the Securities by the person who is entitled to claim damages:
前条の規定により損害賠償を請求する時における市場価額(市場価額がないときは、その時における処分推定価額)
(i)market value of the Securities at the time when claiming damages under the preceding Article (or, where no market value exists, their estimated disposal value); or
前号の時前に当該有価証券を処分した場合においては、その処分価額
(ii)disposal value of the Securities, if the Securities have been disposed of before the time referred to in the preceding item.
前条の規定により賠償の責めに任ずべき者は、当該請求権者が受けた損害の額の全部又は一部が、有価証券届出書又は目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていたことによつて生ずべき当該有価証券の値下り以外の事情により生じたことを証明した場合においては、その全部又は一部については、賠償の責めに任じない。
(2)The person liable for damages under the preceding Article, when he/she proves that all or part of the damage sustained by the person who entitled to claim damages was caused by any reason other than the decline in value of the Securities that should arise from the fact that the Securities Registration Statement or the Prospectus contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, shall not be liable for that all or part of the damages.
(虚偽記載のある届出書の届出者等に対する賠償請求権の時効)
(Prescription for Right to Claim Damages from the Person Who Submits Securities Registration Statement Containing Fake Statement, etc.)
第二十条第十八条の規定による賠償の請求権は、請求権者が有価証券届出書若しくは目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていたことを知つた時又は相当な注意をもつて知ることができる時から三年間、これを行わないときは、消滅する。当該有価証券の募集若しくは売出しに係る第四条第一項若しくは第二項の規定による届出がその効力を生じた時又は当該目論見書の交付があつた時から七年間(第十条第一項又は第十一条第一項の規定による停止命令があつた場合には、当該停止命令があつた日からその解除があつた日までの期間は、算入しない。)、これを行わないときも、また、同様とする。
Article 20The right to claim damages under Article 18 shall be extinguished by prescription when the right is not exercised within three years from the time when the person who is entitled to claim the damages comes to know, or is able to know, that the Securities Registration Statement or the Prospectus contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. The same shall also apply when the right is not exercised within seven years (excluding, where an order for suspension has been given under Article 10 (1) or Article 11 (1), the period from the day when the order was given to the day when the order was canceled) from the time when the notification made under Article 4 (1) or (2) for Public Offering or Secondary Distribution of the Securities comes into effect or the delivery of the Prospectus is made.
(虚偽記載のある届出書の提出会社の役員等の賠償責任)
(Liability for Damages of Officers of the Company Which Submits Securities Registration Statement Containing Fake Statement and Other Persons)
第二十一条有価証券届出書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けているときは、次に掲げる者は、当該有価証券を募集又は売出しに応じて取得した者に対し、記載が虚偽であり又は欠けていることにより生じた損害を賠償する責めに任ずる。ただし、当該有価証券を取得した者がその取得の申込みの際記載が虚偽であり、又は欠けていることを知っていたときは、この限りでない。
Article 21(1)When a Securities Registration Statement contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, persons specified in the following items shall be liable to compensate persons who acquire the Securities through Public Offering or Secondary Distribution for damage arising from the fake statement or lack of the required statement; provided, however, that this shall not apply to cases where the person who acquired the Securities knew of the existence of the fake statement or the lack of the required statement at the time of acquiring the Securities:
当該有価証券届出書を提出した会社のその提出の時における役員(取締役、会計参与、監査役若しくは執行役又はこれらに準ずる者をいう。第百六十三条から第百六十七条までを除き、以下同じ。)又は当該会社の発起人(その提出が会社の成立前にされたときに限る。)
(i)a person who, at the time of submission of the Securities Registration Statement, is an Officer (meaning a director, accounting advisor, company auditor or executive officer, or a person who can be regarded as equivalent thereto; the same shall apply hereinafter, except in Article 163 to Article 167) of the company having submitted the Securities Registration Statement, or an incorporator of the company (limited to cases where the Securities Registration Statement was submitted before the establishment of the company);
当該売出しに係る有価証券の所有者(その者が当該有価証券を所有している者からその売出しをすることを内容とする契約によりこれを取得した場合には、当該契約の相手方)
(ii)the holder of the Securities for which the Secondary Distribution was made (or, in cases where the holder had acquired the Securities from their previous holder by entering into a contract specifying that the Securities would be sold through Secondary Distribution, the previous holder);
当該有価証券届出書に係る第百九十三条の二第一項に規定する監査証明において、当該監査証明に係る書類について記載が虚偽であり又は欠けているものを虚偽でなく又は欠けていないものとして証明した公認会計士又は監査法人
(iii)the certified public accountant or the auditing firm who certified in the audit certification provided for the Securities Registration Statement under Article 193-2 (1) that the documents for which the audit certification was provided do not contain any fake statement or do not lack a required statement despite the existence of the fake statement or the lack of a required statement; and
当該募集に係る有価証券の発行者又は第二号に掲げる者のいずれかと元引受契約を締結した金融商品取引業者又は登録金融機関
(iv)the Financial Instruments Business Operator or Registered Financial Institution that has concluded a Wholesale Underwriting Contract with the Issuer of the Securities for which the Public Offering was made or either the person specified in item (ii).
前項の場合において、次の各号に掲げる者は、当該各号に掲げる事項を証明したときは、同項に規定する賠償の責めに任じない。
(2)In the case referred to in the preceding paragraph, a person falling under any of the categories specified in the following items shall not be required to assume the liability prescribed in said paragraph, if he/she proves the facts listed in the respective items:
前項第一号又は第二号に掲げる者記載が虚偽であり又は欠けていることを知らず、かつ、相当な注意を用いたにもかかわらず知ることができなかつたこと。
(i)a person specified in item (i) or (ii) of the preceding paragraph:the fact that he/she did not know of, or was not able to know of even with reasonable care, the existence of the fake statement or the lack of the required statement;
前項第三号に掲げる者同号の証明をしたことについて故意又は過失がなかつたこと。
(ii)a person or firm specified in item (iii) of the preceding paragraph:the fact that he/she did not provide such inappropriate certification intentionally or negligently; and
前項第四号に掲げる者記載が虚偽であり又は欠けていることを知らず、かつ、第百九十三条の二第一項に規定する財務計算に関する書類に係る部分以外の部分については、相当な注意を用いたにもかかわらず知ることができなかつたこと。
(iii)the business operator or institution specified in item (iv) of the preceding paragraph:the fact that it did not know of the existence of the fake statement or the lack of the required statement and was not able to know of the existence of the fake statement or the lack of the required statement despite the reasonable care that the operator or institution exercised with respect to the part other than the part pertaining to statements on finance and accounting provided for in Article 193-2 (1).
第一項第一号及び第二号並びに前項第一号の規定は、第十三条第一項の目論見書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、第一項中「募集又は売出しに応じて」とあるのは「募集又は売出しに応じ当該目論見書の交付を受けて」と、「当該有価証券届出書を提出した会社」とあるのは「当該目論見書を作成した会社」と、「その提出」とあるのは「その作成」と読み替えるものとする。
(3)The provisions of items (i) and (ii) of paragraph (1) and item (i) of the preceding paragraph shall apply mutatis mutandis to cases where a Prospectus referred to in Article 13 (1) contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding.In this case, the terms "through the Public Offering or Secondary Distribution," "the company having submitted the Securities Registration Statement," "at the time of submission" and "was submitted" in paragraph (1) shall be deemed to be replaced with "through the Public Offering or Secondary Distribution after receiving the Prospectus," "the company having submitted the Prospectus," "at the time of preparation" and "was prepared," respectively.
第一項第四号において「元引受契約」とは、有価証券の募集又は売出しに際して締結する次の各号のいずれかの契約をいう。
(4)The term "Wholesale Underwriting Contract" as used in item (iv) of paragraph (1) means a contract concluded for a Public Offering or Secondary Distribution of Securities and falling under either of the categories specified in the following items:
当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者(金融商品取引業者及び登録金融機関を除く。次号において同じ。)から取得することを内容とする契約
(i)a contract in which it is agreed that a party will acquire all or part of the Securities from their Issuer or holder (excluding cases where the holder is a Financial Instruments Business Operator or Registered Financial Institution; the same shall apply in the following item) for the purpose of having other persons acquire them; or
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 in which it is agreed that, with regard to all or part of the Securities, a party will acquire all of the remaining Securities which are not acquired by any other person.
(虚偽記載等のある書類の提出者の賠償責任)
(Liability for Damages of Person Who Submits Document Containing Fake Statement, etc.)
第二十一条の二第二十五条第一項各号(第五号及び第九号を除く。)に掲げる書類(以下この条において「書類」という。)のうちに、重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けているときは、当該書類の提出者は、当該書類が同項の規定により公衆の縦覧に供されている間に当該書類(同項第十二号に掲げる書類を除く。)の提出者又は当該書類(同号に掲げる書類に限る。)の提出者を親会社等(第二十四条の七第一項に規定する親会社等をいう。)とする者が発行者である有価証券を募集又は売出しによらないで取得した者に対し、第十九条第一項の規定の例により算出した額を超えない限度において、記載が虚偽であり、又は欠けていること(以下この条において「虚偽記載等」という。)により生じた損害を賠償する責めに任ずる。ただし、当該有価証券を取得した者がその取得の際虚偽記載等を知つていたときは、この限りでない。
Article 21-2(1)If any of the documents specified in the items of Article 25 (1) (excluding Article 25 (1)(v) and (ix)) (hereinafter referred to as the "Documents" in this Article) contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, the person who submitted the document shall be held liable to compensate a person who, during the period when the document was made available for public inspection as required by Article 25 (1), acquires the Securities issued by the person who submitted the document (excluding the documents specified in Article 25 (1)(xii)) or by the person whose Parent Company, etc. (meaning Parent Company, etc. as defined by Article 24-7 (1)) is the person having submitted the document (limited to the documents specified in Article 25 (1)(xii)) not through Public Offering or Secondary Distribution for damage arising from the fake statement or lack of a required statement (hereinafter collectively referred to as a "Fake Statement, etc." in this Article), to the extent not exceeding the amount calculated according to the same rule as provided in Article 19 (1); provided, however, that this shall not apply when the person who acquires the Securities had known of the existence of a Fake Statement, etc. at the time of the acquisition.
前項本文の場合において、当該書類の虚偽記載等の事実の公表がされたときは、当該虚偽記載等の事実の公表がされた日(以下この項において「公表日」という。)前一年以内に当該有価証券を取得し、当該公表日において引き続き当該有価証券を所有する者は、当該公表日前一月間の当該有価証券の市場価額(市場価額がないときは、処分推定価額。以下この項において同じ。)の平均額から当該公表日後一月間の当該有価証券の市場価額の平均額を控除した額を、当該書類の虚偽記載等により生じた損害の額とすることができる。
(2)In the case referred to in the main clause of the preceding paragraph, when Public Announcement of the Fake Statement, etc. is made, with regard to a person who acquired the Securities within one year prior to the day when the Fake Statement, etc. is announced (hereinafter referred to as the "Day of Announcement" in this paragraph) and continues to hold the Securities at the Day of Announcement, the amount calculated by deducting the average market value (or, where no market value exists, their estimated disposal value; hereinafter the same shall apply in this paragraph) during one month after the Day of Announcement from the average market value during one month prior to the Day of Announcement may be presumed as the amount of damage.
前項の「虚偽記載等の事実の公表」とは、当該書類の提出者又は当該提出者の業務若しくは財産に関し法令に基づく権限を有する者により、当該書類の虚偽記載等に係る記載すべき重要な事項又は誤解を生じさせないために必要な重要な事実について、第二十五条第一項の規定による公衆の縦覧その他の手段により、多数の者の知り得る状態に置く措置がとられたことをいう。
(3)The term "Public Announcement of the Fake Statement, etc." as used in the preceding paragraph means the fact that the person who submitted the document or a person who has statutory authority over the person submitting the document takes measures for making available to a large number of persons important matters pertaining to the Fake Statement, etc. that should be stated or material fact pertaining to the Fake Statement, etc. that is necessary for avoiding misunderstanding by means of making such matters or fact available for public inspection provided in Article 25 (1) or by other means.
第二項の場合において、その賠償の責めに任ずべき者は、その請求権者が受けた損害の額の全部又は一部が、当該書類の虚偽記載等によつて生ずべき当該有価証券の値下り以外の事情により生じたことを証明したときは、その全部又は一部については、賠償の責めに任じない。
(4)In the case referred to in paragraph (2), when the person liable for damages proves that all or part of the damages sustained by the person who is entitled to claim damages was caused by any reason other than the decline in value of the Securities that should arise from the Fake Statement, etc. in the document, he/she shall not be liable for that all or part of the damages.
前項の場合を除くほか、第二項の場合において、その請求権者が受けた損害の全部又は一部が、当該書類の虚偽記載等によつて生ずべき当該有価証券の値下り以外の事情により生じたことが認められ、かつ、当該事情により生じた損害の性質上その額を証明することが極めて困難であるときは、裁判所は、口頭弁論の全趣旨及び証拠調べの結果に基づき、賠償の責めに任じない損害の額として相当な額の認定をすることができる。
(5)In addition to the cases referred to in the preceding paragraph, in the case referred to in paragraph (2), when the court finds that all or part of the damage sustained by the person who is entitled to claim damages was caused by any reason other than the decline in value of the Securities that should arise from the Fake Statement, etc. in the document, but it is extremely difficult to prove the amount of the damages arising from such other reason due to its nature, the court may, based on the entire import of oral argument and the result of examination of evidence, determine a reasonable amount of the damages for which the person liable for damages is not liable.
(虚偽記載等のある書類の提出者に対する賠償請求権の時効)
(Prescription for Liability for Damages of Person Who Submits Document Containing Fake Statement, etc.)
第二十一条の三第二十条の規定は、前条の規定による賠償の請求権について準用する。この場合において、第二十条中「第十八条」とあるのは「第二十一条の二」と、「有価証券届出書若しくは目論見書」とあるのは「第二十五条第一項各号(第五号及び第九号を除く。)に掲げる書類」と、「三年間」とあるのは「二年間」と、「当該有価証券の募集若しくは売出しに係る第四条第一項若しくは第二項の規定による届出がその効力を生じた時又は当該目論見書の交付があつた時から七年間(第十条第一項又は第十一条第一項の規定による停止命令があつた場合には、当該停止命令があつた日からその解除があつた日までの期間は、算入しない。)」とあるのは「当該書類が提出された時から五年間」と読み替えるものとする。
Article 21-3Article 20 shall apply mutatis mutandis to the right to claim damages under the preceding Article.In this case, the terms "Article 18," "the Securities Registration Statement or the Prospectus" and "three years" in Article 20 shall be deemed to be replaced with "Article 21-2," "any of the documents specified in the items of Article 25 (1) (excluding Article 25 (1)(v) and (ix))" and "two years," respectively; and the part "seven years (excluding, where an order for suspension has been given under Article 10 (1) or Article 11 (1), the period from the day when the order was given to the day when the order was canceled) from the time when the notification made under Article 4 (1) or (2) for Public Offering or Secondary Distribution of the Securities comes into effect or the delivery of the Prospectus is made" in Article 20 also shall be deemed to be replaced with "five years from the time when the document is submitted."
(虚偽記載等のある届出書の提出会社の役員等の賠償責任)
(Liability for Damages of Officers of the Company Which Submits Securities Registration Statement Containing Fake Statement, etc. and Other Persons)
第二十二条有価証券届出書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けているときは、第二十一条第一項第一号及び第三号に掲げる者は、当該記載が虚偽であり、又は欠けていることを知らないで、当該有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者に対し、記載が虚偽であり、又は欠けていることにより生じた損害を賠償する責めに任ずる。
Article 22(1)When a Securities Registration Statement contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, persons specified in Article 21 (1)(i) and (iii) shall be held liable to compensate damage sustained by persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution without knowing of the existence of the fake statement or lack of such statement.
第二十一条第二項第一号及び第二号の規定は、前項に規定する賠償の責めに任ずべき者について準用する。
(2)Article 21 (2)(i) and (ii) shall apply mutatis mutandis to the persons liable for damages under the preceding paragraph.
(届出書の真実性の認定等の禁止)
(Prohibition of Presuming Veracity of Securities Registration Statement, etc.)
第二十三条何人も、有価証券の募集又は売出しに関し、第四条第一項若しくは第二項の規定による届出があり、かつ、その効力が生じたこと、又は第十条第一項若しくは第十一条第一項の規定による停止命令が解除されたことをもつて、内閣総理大臣が当該届出に係る有価証券届出書の記載が真実かつ正確であり若しくはそのうちに重要な事項の記載が欠けていないことを認定し、又は当該有価証券の価値を保証若しくは承認したものであるとみなすことができない。
Article 23(1)No person may presume, from the fact that a notification made under Article 4 (1) or (2) for Public Offering or Secondary Distribution of Securities was made and has come into effect or from the fact that an order for suspension given under Article 10 (1) or Article 11 (1) was canceled, that the Prime Minister finds that any and every statement contained in the Securities Registration Statement submitted for the notification is true and accurate and the Securities Registration Statement does not lack any statement on any important matters, or that the Prime Minister guarantees or approves the value of the Securities.
何人も、前項の規定に違反する表示をすることができない。
(2)No person may make any indication which violates the preceding paragraph.
(参照方式による場合の適用規定の読替え)
(Replacement of Terms for Application of Relevant Provisions to Statements, Amendments or Prospectus Which Makes Reference to the Reference Documents)
第二十三条の二第五条第四項の規定の適用を受ける届出書若しくは当該届出書に係る訂正届出書が提出され、又は第十三条第三項の規定の適用を受ける目論見書が作成された場合における第七条、第九条から第十一条まで、第十七条から第二十一条まで、第二十二条及び前条の規定の適用については、第七条中「規定による届出書類」とあるのは「規定による届出書類(同条第四項(同条第五項において準用する場合を含む。第九条から第十一条までにおいて同じ。)の規定の適用を受ける届出書にあつては、当該届出書に係る参照書類を含む。以下この条において同じ。)」と、第九条第一項中「届出書類」とあるのは「届出書類(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条の規定による訂正届出書にあつては、これらの届出書又は訂正届出書に係る参照書類を含む。)」と、第十条第一項中「有価証券届出書」とあるのは「有価証券届出書(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条、前条第一項若しくはこの項の規定による訂正届出書にあつては、これらの届出書又は訂正届出書に係る参照書類を含む。)」と、同条第三項中「訂正届出書」とあるのは「訂正届出書(第五条第四項の規定の適用を受ける届出書に係る訂正届出書にあつては、当該訂正届出書に係る参照書類を含む。)」と、第十一条第一項中「有価証券届出書のうちに」とあるのは「有価証券届出書(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条、第九条第一項若しくは前条第一項の規定による訂正届出書にあつては、有価証券届出書及び当該有価証券届出書に係る参照書類)のうちに」と、同条第二項中「訂正届出書」とあるのは「訂正届出書(第五条第四項の規定の適用を受ける届出書に係る訂正届出書にあつては、当該訂正届出書に係る参照書類を含む。)」と、第十七条中「目論見書」とあるのは「目論見書(同条第三項の規定の適用を受ける目論見書にあつては、当該目論見書に係る参照書類を含む。)」と、第十八条第一項中「有価証券届出書のうちに」とあるのは「有価証券届出書(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条、第九条第一項若しくは第十条第一項の規定による訂正届出書にあつては、有価証券届出書及び当該有価証券届出書に係る参照書類)のうちに」と、同条第二項中「目論見書のうちに」とあるのは「目論見書(同条第三項の規定の適用を受ける目論見書にあつては、目論見書及び当該目論見書に係る参照書類)のうちに」と、第十九条第二項及び第二十条前段中「有価証券届出書」とあるのは「有価証券届出書(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条、第九条第一項若しくは第十条第一項の規定による訂正届出書にあつては、これらの届出書又は訂正届出書に係る参照書類を含む。)」と、「目論見書」とあるのは「目論見書(第十三条第三項の規定の適用を受ける目論見書にあつては、目論見書及び当該目論見書に係る参照書類)」と、第二十一条第一項中「有価証券届出書のうちに」とあるのは「有価証券届出書(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条、第九条第一項若しくは第十条第一項の規定による訂正届出書にあつては、有価証券届出書及び当該有価証券届出書に係る参照書類)のうちに」と、同条第三項中「目論見書のうちに」とあるのは「目論見書(同条第三項の規定の適用を受ける目論見書にあつては、目論見書及び当該目論見書に係る参照書類)のうちに」と、第二十二条第一項中「有価証券届出書のうちに」とあるのは「有価証券届出書(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条、第九条第一項若しくは第十条第一項の規定による訂正届出書にあつては、有価証券届出書及び当該有価証券届出書に係る参照書類)のうちに」と、前条第一項中「有価証券届出書」とあるのは「有価証券届出書(第五条第四項の規定の適用を受ける届出書又は当該届出書に係る第七条、第九条第一項若しくは第十条第一項の規定による訂正届出書にあつては、これらの届出書又は訂正届出書に係る参照書類を含む。)」とする。
Article 23-2With regard to application of Article 7, Articles 9 to 11, Articles 17 to 21, Article 22 and the preceding Article in cases where a statement to which Article 5 (4) is applicable or an amendment to such a statement is submitted or a Prospectus to which Article 13 (3) is applicable is prepared, the term "the statement set forth in Article 5 (1) or in other documents required under Article 5 (6)" in Article 7 shall be deemed to be replaced with "the statement set forth in Article 5 (1) or in other documents required under Article 5 (6) (including, in the case of a statement to which Article 5 (4) (including cases where it is applied mutatis mutandis pursuant to Article 5 (5); the same shall apply in Articles 9 to 11) is applicable, Reference Documents referenced therein; the same shall apply in this Article)"; the term "the statement set forth in Article 5 (1) and other documents set forth in Article 5 (6) or the Article 7" in Article 9 (1) shall be deemed to be replaced with "the statement set forth in Article 5 (1) and other documents set forth in Article 5 (6) or Article 7 (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, Reference Documents referenced therein)"; the term "Securities Registration Statement" in Article 10 (1) shall be deemed to be replaced with "Securities Registration Statement (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, paragraph (1) of the preceding Article 9 or this paragraph, Reference Documents referenced therein)"; the term "amendment" in Article 10 (3) shall be deemed to be replaced with "amendment (including, in the case of an amendment submitted under Article 7 in relation to a statement to which Article 5 (4) is applicable, Reference Documents referenced therein)"; the term "a Securities Registration Statement contains" in Article 11 (1) shall be deemed to be replaced with "a Securities Registration Statement (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, Article 9 (1) or paragraph (1) of the preceding Article, Reference Documents referenced therein) contains"; the term "amendment" in Article 11 (2) shall be deemed to be replaced with "amendment (including, in the case of an amendment submitted in relation to a statement to which Article 5 (4) is applicable, Reference Documents referenced therein)"; the term "Prospectus" in Article 17 shall be deemed to be replaced with "Prospectus (including, in the case of a Prospectus to which Article 13 (3) is applicable, Reference Documents referenced therein)"; the term "a Securities Registration Statement contains" in Article 18 (1) shall be deemed to be replaced with "a Securities Registration Statement (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, Article 9 (1) or Article 10 (1), Reference Documents referenced therein) contains"; the term "a Prospectus referred to in Article 13 (1) contains" in Article 18 (2) shall be deemed to be replaced with "a Prospectus referred to in Article 13 (1) (including, in the case of a Prospectus to which Article 13 (3) is applicable, the Prospectus or Reference Documents referenced therein) contains"; the terms "Securities Registration Statement" and "Prospectus" in Article 19 (2) and the first sentence of Article 20 shall be deemed to be replaced with "Securities Registration Statement (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, Article 9 (1) or Article 10 (1), the statement, the amendment or Reference Documents referenced in the statement or the amendment)" and "Prospectus (including, in the case of a Prospectus to which Article 13 (3) is applicable, the Prospectus or Reference Documents referenced therein)," respectively; the term "a Securities Registration Statement contains" in Article 21 (1) shall be deemed to be replaced with "a Securities Registration Statement (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, Article 9 (1) or Article 10 (1), the statement or Reference Documents referenced therein) contains"; the term "a Prospectus referred to in Article 13 (1) contains" in Article 21 (3) shall be deemed to be replaced with "a Prospectus referred to in Article 13 (1) (including, in the case of a Prospectus to which Article 13 (3) is applicable, the Prospectus or Reference Documents referenced therein) contains"; the term "a Securities Registration Statement contains" in Article 22 (1) shall be deemed to be replaced with "a Securities Registration Statement (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, Article 9 (1) or Article 10 (1), the statement or Reference Documents referenced therein) contains"; and the term "Securities Registration Statement" in paragraph (1) of the preceding Article shall be deemed to be replaced with "Securities Registration Statement (including, in the case of a statement to which Article 5 (4) is applicable or an amendment submitted in relation to such a statement under Article 7, Article 9 (1) or Article 10 (1), the statement, the amendment or Reference Documents referenced in the statement or the amendment)."
(発行登録書の提出)
(Submission of Shelf Registration Statements)
第二十三条の三有価証券の募集又は売出しを予定している当該有価証券の発行者で、第五条第四項に規定する者に該当するものは、当該募集又は売出しを予定している有価証券の発行価額又は売出価額の総額(以下「発行予定額」という。)が一億円以上の場合においては、内閣府令で定めるところにより、当該募集又は売出しを予定している期間(以下「発行予定期間」という。)、当該有価証券の種類及び発行予定額又は発行若しくは売出しの限度額、当該有価証券について引受けを予定する金融商品取引業者又は登録金融機関のうち主たるものの名称その他の事項で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類(以下「発行登録書」という。)を内閣総理大臣に提出して、当該有価証券の募集又は売出しを登録することができる。ただし、その有価証券発行勧誘等が第二十三条の十三第一項に規定する適格機関投資家向け勧誘(同項本文の規定の適用を受けるものに限る。)に該当するものであつた有価証券の売出し(当該有価証券に関して開示が行われている場合を除く。)及びその有価証券発行勧誘等が同条第三項に規定する少人数向け勧誘(同項本文の規定の適用を受けるものに限る。)に該当するものであつた有価証券の売出し(当該有価証券に関して開示が行われている場合を除く。)を予定している場合は、この限りでない。
Article 23-3(1)The Issuer of Securities of which Public Offerings or Secondary Distributions are planned may, if he/she satisfies requirements specified in Article 5 (4) and the total issue price or the total distribution amount of the Securities of which Public Offerings or Secondary Distributions are planned (hereinafter referred to as the "Planned Amount of Issue") is 100 million yen or more, register Public Offerings or Secondary Distributions of the Securities by submitting a document which, pursuant to the provisions of a Cabinet Office Ordinance, state the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors, including the period in which Public Offerings or Secondary Distributions of the Securities are planned (hereinafter referred to as the "Planned Issue Period"), the kind of the Securities, the Planned Amount of Issue or the maximum amount of issue or distribution, and names of principal Financial Instruments Business Operators and/or Registered Financial Institutions which plan to underwrite the Securities (such document is hereinafter referred to as a "Shelf Registration Statement") to the Prime Minister; provided, however, that this shall not apply to cases where a second distribution is planned for the Securities of which Solicitation for Newly Issued Securities, etc. was conducted in a manner falling under the category of Solicitation Only for Qualified Institutional Investors defined in Article 23-13 (1) (limited to Solicitation Only for Qualified Institutional Investors to which the main clause of Article 23-13 (1) is applicable) (excluding the Case Where Disclosures Have Been Made with regard to the Securities) or where a second distribution is planned for the Securities of which Solicitation for Newly Issued Securities, etc. was conducted in a manner falling under the category of Solicitation for Small Number of Investors defined in Article 23-13 (3) (limited to Solicitation for Small Number of Investors to which the main clause of Article 23-13 (3) is applicable) (excluding the Case Where Disclosures Have Been Made with regard to the Securities).
前項の規定は、同項の発行登録書に、同項の内閣府令で定める事項のほか、内閣府令で定めるところにより第五条第一項第二号に掲げる事項につき当該発行者に係る直近の参照書類を参照すべき旨の記載があり、かつ、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書類の添付がある場合に限り、適用する。
(2)The preceding paragraph shall apply only in cases where the Shelf Registration Statement submitted under the preceding paragraph states, in addition to statements on the matters specified by a Cabinet Office Ordinance set forth in the preceding paragraph, to the effect that reference should be made to the latest Reference Documents pertaining to the Issuer for the matters listed in Article 5 (1)(ii) pursuant to the provisions of a Cabinet Office Ordinance, and are accompanied by documents that are specified by a Cabinet Order as necessary and appropriate for the public interest or protection of investors.
第一項の規定による登録(以下「発行登録」という。)を行つた有価証券の募集又は売出しについては、第四条第一項及び第二項の規定は、適用しない。
(3)Article 4 (1) and (2) shall not apply to Public Offerings or Secondary Distributions of the Securities for which registration set forth in paragraph (1) (hereinafter referred to as a "Shelf Registration") has been made.
発行登録を行つた有価証券の発行者である会社は、第五条第四項に規定する要件を満たすため必要があるときは、第二十四条第一項(同条第五項において準用する場合を含む。以下この項において同じ。)の規定による有価証券報告書を提出する義務が消滅した後においても、引き続き同条第一項に規定する有価証券報告書及びその添付書類を提出することができる。
(4)A company which is the Issuer of the Securities for which a Shelf Registration has been made may continue the submission of Annual Securities Reports required under Article 24 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 24 (5); hereinafter the same shall apply in this paragraph) and documents to be attached thereto even after the obligation to submit Annual Securities Reports under Article 24 (1) extinguishes, if their submission is necessary to satisfy the requirements of Article 5 (4).
(訂正発行登録書の提出)
(Submission of Amended Shelf Registration Statement)
第二十三条の四発行登録を行つた日以後当該発行登録がその効力を失うこととなる日前において、発行登録書において前条第二項の規定により参照すべき旨記載されている参照書類と同種の書類が新たに提出されたときその他当該発行登録に係る発行登録書及びその添付書類(以下この条において「発行登録書類」という。)に記載された事項につき公益又は投資者保護のためその内容を訂正する必要があるものとして内閣府令で定める事情があるときは、当該発行登録をした者(以下「発行登録者」という。)は、内閣府令で定めるところにより訂正発行登録書を内閣総理大臣に提出しなければならない。当該事情がない場合において、発行登録者が当該発行登録書類のうちに訂正を必要とするものがあると認めたときも、同様とする。この場合においては、発行予定額の増額、発行予定期間の変更その他の内閣府令で定める事項を変更するための訂正を行うことはできない。
Article 23-4When, during the period on or after the day on which a Shelf Registration was made but before the day on which the Shelf Registration ceases to be effective, documents of the same kind as the Reference Documents referenced in the Shelf Registration Statement under paragraph (2) of the preceding Article are newly submitted, or there occurs any other circumstance which, as specified by a Cabinet Office Ordinance, requires amendment of descriptions in the Shelf Registration Statement and documents attached thereto (hereinafter collectively referred to as "Shelf Registration Documents" in this Article) for the public interest or protection of investors, the person having made the Shelf Registration (hereinafter referred to as the "Shelf Registration Holder") shall submit an Amended Shelf Registration Statement to the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance. This shall also apply to cases where despite the lack of new submission of such documents or such circumstance, the Shelf Registration Holder finds that any description in the Shelf Registration Documents should be amended. In this case, however, the Shelf Registration Holder may not make any amendment to increase the Planned Amount of Issue, change the Planned Issue Period or change other matters specified by a Cabinet Office Ordinance.
(発行登録書の効力発生日)
(Effective Date of Shelf Registration Statement)
第二十三条の五第八条の規定は、発行登録の効力の発生について準用する。この場合において、同条第一項中「第五条第一項の規定による届出書(同項ただし書に規定する事項の記載がない場合には、当該事項に係る前条の規定による訂正届出書。次項において同じ。)」とあるのは「第二十三条の三第一項に規定する発行登録書(以下第二十三条までにおいて「発行登録書」という。)」と、同条第二項中「前条の規定による訂正届出書」とあるのは「第二十三条の四の規定による訂正発行登録書」と、「第五条第一項の規定による届出書」とあるのは「発行登録書」と、同条第三項中「第五条第一項及び第六項若しくは前条の規定による届出書類」とあるのは「発行登録書及びその添付書類又は第二十三条の三第三項に規定する発行登録(以下第二十三条までにおいて「発行登録」という。)が効力を生ずることとなる日前において提出される第二十三条の四の規定による訂正発行登録書」と、「当該届出書類の届出者」とあるのは「これらの書類の提出者」と読み替えるものとする。
Article 23-5(1)Article 8 shall apply mutatis mutandis to effectuation of a Shelf Registration Statement.In this case, the term "the statement submitted under Article 5 (1) (or, if the matters referred to in the proviso to Article 5 (1) are not stated in the statement, the amendment submitted under the preceding Article in relation to said matters; hereinafter the same shall apply in the following paragraph)" in Article 8 (1) shall be deemed to be replaced with "Shelf Registration Statement as provided for in Article 23-3 (1) (hereinafter referred to as a "Shelf Registration Statement" in this Article to Article 23)"; the terms "the amendment is submitted under the preceding Article" and "the statement set forth Article 5 (1)" in Article 8 (2) shall be deemed to be replaced with "the Amended Shelf Registration Statement submitted under Article 23-4" and "the Shelf Registration Statement," respectively; and, the terms "the statement set forth in Article 5 (1) and other documents set forth in Article 5 (6) or the preceding Article" and "the person who submitted the statement and the other documents" in Article 8 (3) shall be deemed to be replaced with "the Amended Shelf Registration Statement submitted under Article 23-4 before the day when the Shelf Registration Statement, documents attached thereto and the Shelf Registration as defined in Article 23-3 (3) (hereinafter referred to as a "Shelf Registration" in this Article to Article 23) come into effect" and "the person who submitted these documents," respectively.
発行登録が効力を生じた日以後に、前条の規定により訂正発行登録書が提出された場合には、内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、当該訂正発行登録書が提出された日から十五日を超えない範囲内において内閣総理大臣が指定する期間、当該発行登録の効力の停止を命ずることができる。
(2)When an Amended Shelf Registration Statement is submitted under the preceding Article on or after the day when the Shelf Registration Statement comes into effect, the Prime Minister may order the suspension of the effect of the Shelf Registration for the period designated by him/her, which may not exceed 15 days, if he/she finds it is necessary and appropriate for the public interest or protection of investors.
(発行登録に係る有価証券の発行予定期間)
(Planned Issue Period of Securities for Which Shelf Registration has been Made)
第二十三条の六発行登録に係る有価証券の発行予定期間は、発行登録の効力が生じた日から起算して二年を超えない範囲内において内閣府令で定める期間とする。
Article 23-6(1)The Planned Issue Period of Securities for which a Shelf Registration has been made shall be a period specified by a Cabinet Office Ordinance which may not exceed two years from the day when the Shelf Registration comes into effect.
発行登録は、前項の発行予定期間を経過した日に、その効力を失う。
(2)A Shelf Registration shall cease to be effective on the day when the Planned Issue Period under the preceding paragraph has elapsed.
(発行登録取下届出書の提出)
(Submission of Written Withdrawal of Shelf Registration)
第二十三条の七前条第一項に定める発行予定期間を経過する日前において発行予定額全額の有価証券の募集又は売出しが終了したときは、発行登録者は、内閣府令で定めるところによりその旨を記載した発行登録取下届出書を内閣総理大臣に提出して、発行登録を取り下げなければならない。
Article 23-7(1)When the Public Offering or Secondary Distribution is completed for all of the Planned Amount of Issue of the Securities before the day when the Planned Issue Period set forth in paragraph (1) of the preceding Article is to elapse, the Shelf Registration Holder shall withdraw the Shelf Registration by submitting a written withdrawal of Shelf Registration stating to that effect pursuant to the provisions of a Cabinet Office Ordinance to the Prime Minister.
前項の場合においては、発行登録は、前条第二項の規定にかかわらず、内閣総理大臣が当該発行登録取下届出書を受理した日に、その効力を失う。
(2)In the case referred to in the preceding paragraph, the Shelf Registration shall cease to be effective on the day when the Prime Minister accepts the written withdrawal of Shelf Registration, notwithstanding the provision of paragraph (2) of the preceding Article.
(発行登録追補書類の提出)
(Submission of Shelf Registration Supplements)
第二十三条の八発行登録者、有価証券の売出しをする者、引受人、金融商品取引業者又は登録金融機関は、発行登録によりあらかじめその募集又は売出しが登録されている有価証券については、当該発行登録がその効力を生じており、かつ、当該有価証券の募集又は売出しごとにその発行価額又は売出価額の総額、発行条件又は売出条件その他の事項で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類(以下「発行登録追補書類」という。)が内閣府令で定めるところにより内閣総理大臣に提出されていなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。ただし、有価証券の募集又は売出しごとの発行価額又は売出価額の総額が一億円未満の有価証券の募集又は売出しで内閣府令で定めるものについては、この限りでない。
Article 23-8(1)The Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator or a Registered Financial Institution shall not have another person acquire Securities for which the Shelf Registration has been made for their Public Offerings or Secondary Distributions, or sell such Securities to another person, through Public Offerings or Secondary Distributions, unless the Shelf Registration has already come into effect and, for each Public Offering or Secondary Distribution, a document which states the total issue price or total distribution amount, conditions of issuance or distribution of the Securities or other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (hereinafter referred to as "Shelf Registration Supplements") has been submitted to the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance; provided however, that this shall not apply to Public Offerings or Secondary Distributions specified by a Cabinet Office Ordinance if the total issue price or total distribution amount of each Public Offering or Secondary Distribution is less than 100 million.
前項の規定にかかわらず、発行登録によりあらかじめその募集又は売出しが登録されている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のうち同法第六十六条第一号に規定する短期社債その他政令で定めるもの(その取扱いを行う振替機関(同法第二条第二項に規定する振替機関をいう。)により、その発行残高が公衆の縦覧に供されるものに限る。)については、当該発行登録がその効力を生じている場合には、これを募集又は売出しにより取得させ、又は売り付けることができる。
(2)Notwithstanding the preceding paragraph, with regard to, among book-entry bonds, etc. as defined in Article 129 (1) of Act on Book-entry Transfer of Bonds, etc., short-term bonds as defined in Article 66 (i) of said Act or other book-entry bonds, etc. specified by a Cabinet Order (limited to those of which the outstanding balance is made available for public inspection by the Institution for Book-entry Transfer (meaning the Institution for Book-entry Transfer as defined by Article 2 (2) of said Act) which deals in these book-entry bonds, etc.), the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator or a Registered Financial Institution may have another person acquire them or sell them to another person through Public Offerings or Secondary Distributions, only if the Shelf Registration has already come into effect.
有価証券の募集又は売出しが一定の日において株主名簿に記載され、又は記録されている株主に対し行われる場合には、当該募集又は売出しに関する発行登録追補書類の提出は、その日の十日前までにしなければならない。ただし、有価証券の発行価格又は売出価格その他の事情を勘案して内閣府令で定める場合は、この限りでない。
(3)With regard to a Public Offering or Secondary Distribution of Securities to be made only to shareholders who are stated or recorded in the shareholder registry on a certain date, Shelf Registration Supplements for that Public Offering or Secondary Distribution shall be submitted by ten days prior to that certain date; provided, however, that this shall not apply to cases so specified by a Cabinet Office Ordinance in consideration of the issue price or distribution price or other circumstances.
第四条第四項及び第五項の規定は、第一項ただし書の規定の適用を受ける有価証券の募集又は売出しが行われる場合について準用する。この場合において、同条第四項中「当該特定募集等に係る」とあるのは「当該募集若しくは売出しに係る」と、「当該特定募集等が」とあるのは「当該募集又は売出しが」と、同条第五項中「当該特定募集等に係る」とあるのは「当該」と、「当該特定募集等が」とあるのは「当該募集又は売出しが」と、「当該特定募集等に関する」とあるのは「当該募集又は売出しに関する」と、「開示が行われている場合における第三項に規定する有価証券の売出しでその売出価額の総額が一億円未満のもの及び第一項第五号に掲げる有価証券の募集又は売出しでその発行価額」とあるのは「発行価額」と、「以下のもの」とあるのは「以下の有価証券の募集又は売出し」と読み替えるものとする。
(4)Article 4 (4) and (5) shall apply mutatis mutandis to Public Offering or Secondary Distribution of Securities to which the proviso to paragraph (1) is applicable.In this case, the terms "pertaining to a Specified Public Offering, etc." and "apply to the Specified Public Offering, etc." in Article 4 (4) shall be deemed to be replaced with "pertaining to such a Public Offering or Secondary Distribution" and "apply to the Public Offering or Secondary Distribution," respectively; and the parts "the Securities for which the Specified Public Offering, etc. is to be made," "of the Specified Public Offering, etc.," "the Specified Public Offering, etc. is to begin" and "the Secondary Distributions of Securities set forth in paragraph (3) which fall under the Case Where Disclosures Have Been Made and of which the total issue price is less than 100 million yen, and Public Offerings or Secondary Distributions of the Securities set forth in item (v) of paragraph (1) of which the total issue price" in Article 4 (5) shall be deemed to be replaced with "the Securities," "of the Public Offering or Secondary Distribution," "the Public Offering or Secondary Distribution is to begin," "a Public Offering or Secondary Distribution of which the total issue price," respectively.
第一項の発行登録追補書類には、同項の内閣府令で定める事項のほか、内閣府令で定めるところにより、第五条第一項第二号に掲げる事項につき当該発行者に係る直近の参照書類を参照すべき旨を記載するとともに、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書類を添付しなければならない。
(5)Shelf Registration Supplements required under paragraph (1) shall state, in addition to statements on the matters specified by a Cabinet Office Ordinance set forth in said paragraph, to the effect that reference should be made to the latest Reference Documents pertaining to the Issuer for the matters listed in Article 5 (1)(ii) pursuant to the provisions of a Cabinet Office Ordinance, and shall be accompanied by documents specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors.
(形式不備等による訂正発行登録書の提出命令)
(Order to Submit Amended Shelf Registration Statement by Reason of Deficiencies in Formalities, etc.)
第二十三条の九内閣総理大臣は、発行登録書(当該発行登録書に係る参照書類を含む。)及びその添付書類若しくは第二十三条の四の規定による訂正発行登録書(当該訂正発行登録書に係る参照書類を含む。)に形式上の不備があり、又はこれらの書類に記載すべき重要な事項の記載が不十分であると認めるときは、これらの書類の提出者に対し、訂正発行登録書の提出を命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
Article 23-9(1)When the Prime Minister finds any deficiencies in formalities in a Shelf Registration Statement (including Reference Documents referenced therein) or the documents attached thereto, or an Amended Shelf Registration Statement submitted under Article 23-4 (including Reference Documents referenced therein), or finds insufficiency of a statement on important matters to be stated in these documents, he/she may order the person submitting these documents to submit an Amended Shelf Registration Statement.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
発行登録が効力を生ずる日前に前項の規定による処分があつた場合においては、当該発行登録は、第二十三条の五第一項において準用する第八条の規定にかかわらず、内閣総理大臣が当該発行登録に係る発行登録書を受理した日から内閣総理大臣が指定する期間を経過した日に、その効力を生ずる。
(2)In cases where a disposition is made under the preceding paragraph, the Shelf Registration shall come into effect on the day when the period designated by the Prime Minister has elapsed from the day when the Prime Minister accepts the Shelf Registration Statement submitted for the Shelf Registration, notwithstanding Article 8 as applied mutatis mutandis pursuant to Article 23-5 (1).
前項の場合において、内閣総理大臣が指定する期間内に第二十三条の四の規定による訂正発行登録書の提出があつた場合には、内閣総理大臣が当該訂正発行登録書を受理した日に、発行登録書の受理があつたものとみなす。
(3)In the case referred to in the preceding paragraph, when an Amended Shelf Registration Statement is submitted under Article 23-4 during the period designated by the Prime Minister, it shall be deemed that the Shelf Registration Statement has been accepted by the Prime Minister on the day when the Prime Minister accepts the Amended Shelf Registration Statement.
前項の場合において、内閣総理大臣は、第二十三条の四の規定による訂正発行登録書の内容が公衆に容易に理解されると認める場合又は当該訂正発行登録書の提出者に係る第五条第一項第二号に掲げる事項に関する情報が既に公衆に広範に提供されていると認める場合においては、第二項において内閣総理大臣が指定した期間に満たない期間を指定することができる。この場合においては、発行登録は、その期間を経過した日に、その効力を生ずる。
(4)In the case referred to in the preceding paragraph, when the Prime Minister believes that the Amended Shelf Registration Statement submitted under Article 23-4 is easily understandable to the public or finds that information on the matters listed in Article 5 (1)(ii) pertaining to the person who submitted the Amended Shelf Registration Statement has already been widely available to the public, he/she may designate a period shorter than that designated by him/her under paragraph (2).In this case, the Shelf Registration shall come into effect on the day when the shorter period has elapsed.
第三項の規定は、前項の規定による期間の指定があつた場合において、当該指定された期間内に第二十三条の四の規定による訂正発行登録書の提出があつたときに準用する。
(5)The provision of paragraph (3) shall apply mutatis mutandis to cases where the shorter period is designated under the preceding paragraph and an Amended Shelf Registration Statement is submitted under Article 23-4 during that shorter period.
(虚偽記載等による訂正発行登録書の提出命令)
(Order to Submit Amended Shelf Registration Statement by Reason of Fake Statement, etc.)
第二十三条の十内閣総理大臣は、発行登録書(当該発行登録書に係る参照書類を含む。)及びその添付書類、第二十三条の四若しくは前条第一項の規定による訂正発行登録書(当該訂正発行登録書に係る参照書類を含む。)又は発行登録追補書類(当該発行登録追補書類に係る参照書類を含む。)及びその添付書類のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていることを発見したときは、いつでも、当該書類の提出者に対し、訂正発行登録書の提出を命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
Article 23-10(1)When the Prime Minister finds that a Shelf Registration Statement (including Reference Documents referenced therein) or the documents attached thereto, an Amended Shelf Registration Statement submitted under Article 23-4 or paragraph (1) of the preceding Article (including Reference Documents referenced therein) or Shelf Registration Supplements (including Reference Documents referenced therein) or the documents attached thereto contains any fake statement on important matters, or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding, he/she may at any time order the person submitting these documents to submit an Amended Shelf Registration Statement.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
前条第二項から第五項までの規定は、発行登録が効力を生ずる日前に前項の規定による訂正発行登録書の提出命令があつた場合について準用する。
(2)Paragraphs (2) to (5) of the preceding Article shall apply mutatis mutandis to the case where an order to submit the Amended Shelf Registration Statement is given under the preceding paragraph before the day when the Shelf Registration comes into effect.
内閣総理大臣は、発行登録が効力を生じた日以後に第一項の規定による処分を行つた場合において必要があると認めるときは、当該発行登録の効力の停止を命ずることができる。
(3)In cases where a disposition is made under paragraph (1) on or after the day when the Shelf Registration has come into effect, the Prime Minister may, when he/she finds it necessary, order the suspension of the effect of the Shelf Registration.
前項の規定による停止命令があつた場合において、第一項の規定による訂正発行登録書が提出され、かつ、内閣総理大臣がこれを適当と認めたときは、内閣総理大臣は、前項の規定による停止命令を解除するものとする。
(4)In cases where an order for suspension is given under the preceding paragraph, when an Amended Shelf Registration Statement is submitted as required under paragraph (1) and the Prime Minister finds the Amended Shelf Registration Statement as being appropriate, he/she shall cancel the order for suspension given under the preceding paragraph.
前各項の規定は、内閣総理大臣が、第一項の規定により提出される訂正発行登録書(当該訂正発行登録書に係る参照書類を含む。)のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けていることを発見した場合について準用する。
(5)The provisions of the preceding paragraphs shall apply mutatis mutandis to the case where the Prime Minister finds that an Amended Shelf Registration Statement submitted under paragraph (1) (including Reference Documents referenced therein) contains any fake statement on important matters, or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding.
(虚偽記載による発行登録の効力の停止等)
(Suspension of the Effect of the Shelf Registration by Reason of Fake Statement)
第二十三条の十一内閣総理大臣は、発行登録書及びその添付書類、第二十三条の四、第二十三条の九第一項若しくは前条第一項(同条第五項において準用する場合を含む。)の規定による訂正発行登録書又は発行登録追補書類及びその添付書類並びにこれらの書類に係る参照書類のうちに重要な事項について虚偽の記載がある場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、当該発行登録書及びその添付書類、当該訂正発行登録書若しくは当該発行登録追補書類及びその添付書類(以下この条において「発行登録書類等」という。)又は当該発行登録書類等の提出者がこれを提出した日から一年以内に提出する第五条第一項に規定する届出書若しくは発行登録書若しくは発行登録追補書類について、これらの書類の提出者に対し、公益又は投資者保護のため相当と認められる期間、当該発行登録書類等に係る発行登録の効力、当該届出書に係る届出の効力若しくは当該発行登録書若しくは当該発行登録追補書類に係る発行登録の効力の停止を命じ、又は第八条第一項(第二十三条の五第一項において準用する場合を含む。)に規定する期間を延長することができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
Article 23-11(1)In cases where a Shelf Registration Statement or the documents attached thereto, an Amended Shelf Registration Statement submitted under Article 23-4, Article 23-9 (1) or paragraph (1) of the preceding Article (including the cases where it is applied mutatis mutandis pursuant to Article 23-10 (5)), or Shelf Registration Supplements or the documents attached thereto, or Reference Documents referenced in any of the foregoing, contains any fake statements on important matters, if the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may, with regard to the Shelf Registration Statement or the documents attached thereto, or the Amended Shelf Registration Statement, or the Shelf Registration Supplements or the documents attached thereto (hereinafter collectively referred to as "Shelf Registration Documents" in this Article) or statements submitted under Article 5 (1), other Shelf Registration Statements or other Shelf Registration Supplements submitted by the person who submitted the Shelf Registration Documents during the period within one year from the day when the person submitted the Shelf Registration Documents, order the suspension of effect of the Shelf Registration pertaining to the Shelf Registration Documents, the suspension of effect of the notification pertaining to the statements under Article 5 (1) or the suspension of effect of the Shelf Registration pertaining to the other Shelf Registration Statements, or other Shelf Registration Supplements, or extend the period stipulated in Article 8 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 23-5 (1)), for the period that he/she considers appropriate for the public interest or protection of investors.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
前項の規定による処分があつた場合において、内閣総理大臣は、同項の記載につき第二十三条の四又は前条第一項(同条第五項において準用する場合を含む。)の規定により提出された訂正発行登録書(当該訂正発行登録書に係る参照書類を含む。)の内容が適当であり、かつ、当該提出者の発行する有価証券を募集又は売出しにより取得させ、又は売り付けても公益又は投資者保護のため支障がないと認めるときは、前項の規定による処分を解除することができる。
(2)In cases where a disposition is made under the preceding paragraph, the Prime Minister may cancel the disposition, if he/she finds that the content of an Amended Shelf Registration Statement submitted under Article 23-4 or paragraph (1) of the preceding Article (including the cases where it is applied mutatis mutandis pursuant to Article 23-10 (5)) in relation to the fake statement referred to in the preceding paragraph is appropriate and that even if acquisition or sale of Securities issued by the person having submitted the Shelf Registration Documents through Public Offering or Secondary Distribution is allowed, it would not hinder the public interest or protection of investors.
(発行登録書等に関する準用規定)
(Application Mutatis Mutandis of Relevant Provisions for Shelf Registration Statement, etc.)
第二十三条の十二第六条の規定は、発行登録書及びその添付書類、第二十三条の四、第二十三条の九第一項若しくは第二十三条の十第一項(同条第五項において準用する場合を含む。)の規定による訂正発行登録書又は発行登録追補書類及びその添付書類が提出された場合について準用する。
Article 23-12(1)Article 6 shall apply mutatis mutandis to the case where a Shelf Registration Statement and the documents attached thereto, an Amended Shelf Registration Statement under Article 23-4, Article 23-9 (1) or Article 23-10 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 23-10 (5)), or Shelf Registration Supplements and the documents attached thereto are submitted.
第十三条第一項の規定は発行登録を行つた有価証券の発行者について、同条第二項本文の規定は発行登録を行つた有価証券の発行者が作成する目論見書について、同条第四項及び第五項の規定は発行登録を行つた有価証券の募集又は売出しについて、それぞれ準用する。この場合において、同条第二項本文中「次の各号に掲げる場合の区分に応じ、当該各号に定める事項に関する内容」とあるのは、「発行登録書、第二十三条の四の規定による訂正発行登録書又は発行登録追補書類に記載すべき内容及び内閣府令で定める内容」と読み替えるものとする。
(2)Article 13 (1) shall apply mutatis mutandis to the Issuer of Securities for which a Shelf Registration has been made, the main clause of Article 13 (2) shall apply mutatis mutandis to a Prospectus to be prepared by the Issuer of Securities for which a Shelf Registration has been made, and Article 13 (4) and (5) shall apply mutatis mutandis to a Public Offering or Secondary Distribution of Securities for which a Shelf Registration has been made.In this case, the term "according to the categories specified in the following items, the matters specified in the respective items" in the main clause of Article 13 (2) shall be deemed to be replaced with "the matters to be stated in a Shelf Registration Statement, an Amended Shelf Registration Statement submitted under Article 23-4 or Shelf Registration Supplements and the matters so specified by a Cabinet Office Ordinance."
第十五条第二項及び第六項の規定は、発行登録を行つた有価証券の募集又は売出しについて準用する。この場合において、同条第二項中「第十三条第二項第一号に定める事項に関する内容を記載した」とあるのは「第二十三条の十二第二項において準用する第十三条第一項の」と、同条第六項中「第二項から前項まで」とあるのは「第二項」と、「第四条第一項又は第二項の規定による届出がその効力を生じた日」とあるのは「発行登録の効力が生じており、かつ、それに係る発行登録追補書類が提出された日」と、「第十条第一項又は第十一条第一項」とあるのは「第二十三条の十第三項又は第二十三条の十一第一項」と読み替えるものとする。
(3)Article 15 (2) and (6) shall apply mutatis mutandis to a Public Offering or Secondary Distribution of Securities for which a Shelf Registration has been made.In this case, the term "containing the matters specified in Article 13 (2)(i)" in Article 15 (2) shall be deemed to be replaced with "referred to in Article 13 (1) as applied mutatis mutandis pursuant to Article 23-12 (2)"; and the terms "paragraph (2) to the preceding paragraph," "Article 10 (1) or Article 11 (1)" and "the notification made under Article 4 (1) or (2) for the Public Offering or Secondary Distribution came into effect" in Article 15 (6) shall be deemed to be replaced with "paragraph (2)," "Article 23-10 (3) or Article 23-11 (1)" and "the Shelf Registration Supplements relating to the Shelf Registration which was made for the Public Offering or Secondary Distribution and already came into effect are submitted," respectively.
第十六条の規定は、第二十三条の八第一項若しくは第二項の規定又は前項において準用する第十五条第二項若しくは第六項の規定に違反して有価証券を取得させた者について準用する。
(4)Article 16 shall apply mutatis mutandis to a person who has another person acquire Securities in violation of Article 23-8 (1) or (2), or Article 15 (2) or (6) as applied mutatis mutandis pursuant to the preceding paragraph.
第十七条から第二十一条まで、第二十二条及び第二十三条の規定は、発行登録を行つた有価証券の募集又は売出しについて準用する。この場合において、第十七条中「第十三条第一項の目論見書」とあるのは「第二十三条の十二第二項において準用する第十三条第一項の目論見書(当該目論見書に係る参照書類を含む。)」と、第十八条第一項中「有価証券届出書のうちに」とあるのは「発行登録書類、第二十三条の四、第二十三条の九第一項若しくは第二十三条の十第一項(同条第五項において準用する場合を含む。)の規定による訂正発行登録書(以下「訂正発行登録書」という。)又は発行登録追補書類及びその添付書類並びにこれらの書類に係る参照書類(以下「発行登録書類等」という。)のうちに」と、「当該有価証券届出書」とあるのは「発行登録書類、訂正発行登録書又は発行登録追補書類及びこれらの添付書類」と、同条第二項中「目論見書のうちに」とあるのは「目論見書(当該目論見書に係る参照書類を含む。)のうちに」と、第十九条第二項中「有価証券届出書」とあるのは「発行登録書類等」と、「目論見書」とあるのは「目論見書(当該目論見書に係る参照書類を含む。)」と、第二十条中「有価証券届出書」とあるのは「発行登録書類等」と、「目論見書のうちに」とあるのは「目論見書(当該目論見書に係る参照書類を含む。)のうちに」と、「第四条第一項若しくは第二項の規定による届出がその効力を生じた時」とあるのは「発行登録の効力が生じており、かつ、それに係る発行登録追補書類が提出された時」と、「第十条第一項又は第十一条第一項」とあるのは「第二十三条の十第三項又は第二十三条の十一第一項」と、第二十一条第一項各号列記以外の部分中「有価証券届出書のうちに」とあるのは「発行登録書類等のうちに」と、同項第一号及び第三号中「当該有価証券届出書」とあるのは「発行登録書類、訂正発行登録書又は発行登録追補書類及びこれらの添付書類」と、同条第三項中「目論見書のうちに」とあるのは「目論見書(当該目論見書に係る参照書類を含む。)のうちに」と、第二十二条第一項中「有価証券届出書のうちに」とあるのは「発行登録書類等のうちに」と、「当該有価証券届出書」とあるのは「発行登録書類、訂正発行登録書又は発行登録追補書類及びこれらの添付書類」と、第二十三条中「第四条第一項若しくは第二項の規定による届出があり、かつ、その効力が生じたこと」とあるのは「発行登録の効力が生じており、かつ、それに係る発行登録追補書類が提出されたこと(第二十三条の八第二項の有価証券の募集又は売出しにあつては、発行登録の効力が生じていること。)」と、「第十条第一項若しくは第十一条第一項」とあるのは「第二十三条の十第三項若しくは第二十三条の十一第一項」と、「当該届出」とあるのは「当該発行登録」と、「有価証券届出書」とあるのは「発行登録書類等」と読み替えるものとする。
(5)Articles 17 to 21, Article 22 and Article 23 shall apply mutatis mutandis to Public Offering or Secondary Distribution of Securities for which Shelf Registration has been made.In this case, the term "Prospectus referred to in Article 13 (1)" in Article 17 shall be deemed to be replaced with "Prospectus referred to in Article 13 (1) as applied mutatis mutandis pursuant to Article 23-12 (2) (including Reference Documents referenced therein)"; the terms "a Securities Registration Statement contains" and "the Securities Registration Statement" in Article 18 (1) shall be deemed to be replaced with "Shelf Registration Documents, an Amended Shelf Registration Statement submitted under Article 23-4, Article 23-9 (1) or Article 23-10 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 23-10 (5)) (hereinafter referred to as an "Amended Shelf Registration Statement"), or Shelf Registration Supplements or the documents attached thereto or Reference Documents referenced in any of the foregoing (hereinafter referred to as "Shelf Registration Documents, etc.") contain" and "the Shelf Registration Documents, the Amended Shelf Registration Statement or Shelf Registration Supplements or the documents attached to the foregoing," respectively; the term "a Prospectus referred to in Article 13 (1) contains" in Article 18 (2) shall be deemed to be replaced with "a Prospectus referred to in Article 13 (1) (including Reference Documents referenced therein) contains"; the terms "the Securities Registration Statement" and "the Prospectus" in Article 19 (2) shall be deemed to be replaced with "the Shelf Registration Documents" and "the Prospectus (including Reference Documents referenced therein)," respectively; the terms "the Securities Registration Statement," "the Prospectus contains" and "Article 10 (1) or Article 11 (1)" and the part "from the time when the notification made under Article 4 (1) or (2) for Public Offering or Secondary Distribution of the Securities comes into effect" in Article 20 shall be deemed to be replaced with "the Shelf Registration Documents," "the Prospectus (including Reference Documents referenced therein) contains," "Article 23-10 (3) or Article 23-11 (1)" and "from the time when the Shelf Registration Supplements relating to the Shelf Registration which was made for the Public Offering or Secondary Distribution and already came into effect are submitted," respectively; the term "a Securities Registration Statement contains" in the non-itemized part of Article 21 (1) shall be deemed to be replaced with "Shelf Registration Documents contain"; the term "the Securities Registration Statement" in item (i) and (iii) of Article 21 (1) shall be deemed to be replaced with "the Shelf Registration Documents, the Amended Shelf Registration Statement or Shelf Registration Supplements or the documents attached to the foregoing"; the term "a Prospectus referred to in Article 13 (1) contains" of Article 21 (3) shall be deemed to be replaced with "Prospectus referred to in Article 13 (1) (including Reference Documents referenced therein)"; the terms "a Securities Registration Statement" and "the Securities Registration Statement" of Article 22 (1) shall be deemed to be replaced with "the Shelf Registration Documents contain" and "the Shelf Registration Documents, the Amended Shelf Registration Statement or Shelf Registration Supplements or the documents attached to the foregoing," respectively; the parts "a notification made under Article 4 (1) or (2) for Public Offering or Secondary Distribution of Securities was made and has come into effect," "Article 10 (1) or Article 11 (1)," "the Securities Registration Statement" and "the notification" of Article 23 shall be deemed to be replaced with "the fact that a Shelf Registration has come into effect and Shelf Registration Supplements relating thereto are submitted (in the case of Public Offering or Secondary Distribution of Securities referred to in Article 23-8 (2), the fact that the Shelf Registration therefor has come into effect)," "Article 23-10 (3) or Article 23-11 (1)," "the Shelf Registration Documents" and "the Shelf Registration," respectively.
第二項、第三項並びに前項において準用する第十七条、第十八条第二項及び第二十一条第三項の規定は、第二十三条の八第二項の有価証券については、適用しない。
(6)The provisions of paragraphs (2) and (3) and Articles 17, 18(2) and 21(3) as applied mutatis mutandis pursuant to the preceding paragraph shall not apply to Securities referred to in Article 23-8 (2).
(適格機関投資家向け勧誘の告知等)
(Notification of Solicitation Only for Qualified Institutional Investors)
第二十三条の十三適格機関投資家向け勧誘(有価証券発行勧誘等のうち、第二条第三項第一号に掲げる場合に該当する場合における同号の規定により当該有価証券発行勧誘等の相手方から除かれる適格機関投資家を相手方として行うもの又は同項第二号イ若しくは第二条の二第四項第二号イに掲げる場合に該当するものをいう。以下この項において同じ。)又はこれに係る有価証券の有価証券交付勧誘等で第四条第二項本文の規定の適用を受けないもの(次項において「適格機関投資家向け勧誘等」という。)を行う者(内閣府令で定める者に限る。)は、当該有価証券の有価証券発行勧誘等が次に掲げる場合に該当するものであつた有価証券(第一号に掲げる場合にあつては、第二条第三項第一号の規定により当該有価証券発行勧誘等の相手方から除かれた適格機関投資家が取得した有価証券に限る。)の有価証券発行勧誘等に該当することにより当該有価証券発行勧誘等に関し第四条第一項の規定による届出が行われていないことその他の内閣府令で定める事項を、その相手方に対して告知しなければならない。ただし、当該有価証券に関して開示が行われている場合及び発行価額の総額が一億円を超えない範囲内で内閣府令で定める金額未満である適格機関投資家向け勧誘に係る有価証券について行う場合は、この限りでない。
Article 23-13(1)A person (limited to a person who is specified by a Cabinet Office Ordinance) shall, when he/she makes a Solicitation Only for Qualified Institutional Investors (meaning a Solicitation for Newly Issued Securities, etc. which is made to Qualified Institutional Investors who are excluded under the provision of Article 2 (3)(i) from the number of persons to which the Solicitation for Newly Issued Securities, etc. was made in cases where the Solicitation for Newly Issued Securities, etc. falls under the category of Solicitations for Acquisition specified by Article 2 (3)(i), or which falls under the category of Solicitations for Acquisition specified by Article 2 (3)(ii)(a) or Article 2-2 (4)(ii)(a); hereinafter the same shall apply in this paragraph) or makes a Solicitation for Delivery of Existing Securities, etc. which is for Securities to which a Solicitation Only for Qualified Institutional Investors was made and is exempted from application of the main clause of Article 4 (2) (collectively referred to as "Solicitation Only for Qualified Institutional Investors, etc." in the following paragraph), notify the solicited persons of the matters specified by a Cabinet Office Ordinance, including the fact that the Solicitation for Newly Issued Securities, etc. made for the Securities falls under any of the categories of Solicitation for Acquisition listed in the following items (limited to Securities acquired by Qualified Institutional Investors who are excluded under the provision of Article 2 (3)(i) from the number of persons to which the Solicitation for Newly Issued Securities, etc. was made in cases where the Solicitation for Newly Issued Securities, etc. falls under the category of Solicitations for Acquisition specified by Article 2 (3)(i)) and therefore the notification under Article 4 (1) has not been made for the Solicitation for Newly Issued Securities, etc.; provided, however, that this shall not apply to the Case Where Disclosures Have Been Made with regard to the Securities and to cases where the Solicitation Only for Qualified Institutional Investors, etc. is made for Securities of which the total issue price was or is less than the amount specified by a Cabinet Office Ordinance, which may not be more than 100 million yen:
第二条第三項第一号に掲げる場合
(i)Solicitation for Acquisition set forth in Article 2 (3)(i);
第二条第三項第二号イに掲げる場合
(ii)Solicitation for Acquisition set forth in Article 2 (3)(ii)(a); or
第二条の二第四項第二号イに掲げる場合
(iii)Procedures Relating to Securities Issuance for Reorganization set forth in Article 2-2 (4)(ii)(a).
前項本文の規定の適用を受ける適格機関投資家向け勧誘等を行う者は、同項本文に規定する有価証券を当該適格機関投資家向け勧誘等により取得させ、又は売り付ける場合には、あらかじめ又は同時にその相手方に対し、同項の規定により告知すべき事項を記載した書面を交付しなければならない。
(2)A person who makes a Solicitation Only for Qualified Institutional Investors, etc. to which the main clause of the preceding paragraph is applicable shall, when having another person acquire Securities referred to in the main clause of the preceding paragraph or sell such Securities to another person through the Solicitation Only for Qualified Institutional Investors, etc., deliver a document containing a description on the matters to be notified under the preceding paragraph to the other person in advance of, or at the same time as, having the other person acquire such Securities or selling such Securities to the other person.
少人数向け勧誘(有価証券発行勧誘等のうち次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当するもの(政令で定めるものを除く。)をいう。以下この項において同じ。)又はこれに係る有価証券の有価証券交付勧誘等で第四条第一項本文の規定の適用を受けないもの(次項において「少人数向け勧誘等」という。)を行う者は、当該有価証券の有価証券発行勧誘等が次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当することにより当該有価証券発行勧誘等に関し第四条第一項の規定による届出が行われていないことその他の内閣府令で定める事項を、その相手方に対して告知しなければならない。ただし、当該有価証券に関して開示が行われている場合及び発行価額の総額が一億円を超えない範囲内で内閣府令で定める金額未満である少人数向け勧誘に係る有価証券について行う場合は、この限りでない。
(3)A person shall, when he/she makes a Solicitation for Small Number of Investors (meaning a Solicitation for Newly Issued Securities, etc. which falls under any of the categories listed in the following items for each kind of Securities set forth in the respective items (excluding those specified by a Cabinet Order); hereinafter the same shall apply in this paragraph) or makes a Solicitation for Delivery of Existing Securities, etc. which is for Securities to which a Solicitation for Small Number of Investors was made and is exempted from application of the main clause of Article 4 (1) (collectively referred to as "Solicitation for Small Number of Investors, etc." in the following paragraph), notify the solicited persons of the matters specified by a Cabinet Office Ordinance, including the fact that the Solicitation for Newly Issued Securities, etc. made for the Securities falls under any of the categories listed in the following items for each kind of Securities set forth in the respective items and therefore the notification under Article 4 (1) has not been made for the Solicitation for Newly Issued Securities, etc.; provided, however, that this shall not apply to the Case Where Disclosures Have Been Made with regard to the Securities and to cases where the Solicitation for Small Number of Investors, etc. is made for the Securities of which the total issue price was or is less than the amount designated by a Cabinet Office Ordinance, which may not be more than 100 million yen:
第一項有価証券 次のいずれかの場合
(i)Paragraph (1) Securities: any of the following:
第二条第三項第二号ロに該当する場合
(a)Solicitation for Acquisition set forth in Article 2 (3)(ii)(b); or
第二条の二第四項第二号ロに該当する場合
(b)Procedures Relating to Securities Issuance for Reorganization set forth in Article 2-2 (4)(ii)(b).
第二項有価証券 次のいずれかの場合
(ii)Paragraph (2) Securities: any of the following:
第二条第三項第三号に掲げる場合に該当しない場合
(a)Solicitation for Newly Issued Securities, etc. not falling under the category of Solicitations for Acquisition set forth in Article 2 (3)(iii); or
第二条の二第四項第三号に掲げる場合に該当しない場合
(b)Solicitation for Newly Issued Securities, etc. not falling under the case set forth in Article 2-2 (4)(iii).
前項本文の規定の適用を受ける少人数向け勧誘等を行う者は、同項本文に規定する有価証券を当該少人数向け勧誘等により取得させ、又は売り付ける場合には、あらかじめ又は同時にその相手方に対し、同項の規定により告知すべき事項を記載した書面を交付しなければならない。
(4)A person who makes a Solicitation for Small Number of Investors, etc. to which the main clause of the preceding paragraph is applicable shall, when having another person acquire Securities referred to in the main clause of the preceding paragraph or selling such Securities to another person through the Solicitation for Small Number of Investors, etc., deliver a document containing a description on the matters to be notified under the preceding paragraph to the other person in advance of, or at the same time as, having the other person acquire such Securities or selling such Securities to the other person.
(海外発行証券の少人数向け勧誘の条件の明示)
(Clear Indication of Conditions for Solicitation for Small Number of Investors for Foreign Securities)
第二十三条の十四外国で既に発行された有価証券(政令で定めるものを除く。)その他これに準ずるものとして政令で定める有価証券の売付けの申込み又はその買付けの申込みの勧誘で、第四条第一項本文の規定の適用を受けないもの(以下この条において「海外発行証券の少人数向け勧誘」という。)は、当該有価証券がその買付者から多数の者に譲渡されるおそれを少なくするために必要な条件として政令で定める条件が当該有価証券の売付けに付されることを明らかにして、しなければならない。ただし、当該有価証券に関して開示が行われている場合、当該有価証券の売付けの総額が一億円を超えない範囲内で内閣府令で定める金額未満である場合その他当該有価証券の売付けに当該条件を付さなくても公益又は投資者保護に欠けることがないものとして内閣府令で定める要件を満たす場合については、この限りでない。
Article 23-14(1)With regard to Securities already-issued in a foreign State (excluding those specified by a Cabinet Order) or Securities specified by a Cabinet Order as those equivalent to such Securities, among solicitations of an application to sell or purchase such Securities, those exempted from application of the main clause of Article 4 (1) (hereinafter referred to as "Solicitation for Small Number of Investors for Foreign Securities)" in this Article) shall be made by clearly indicating that the conditions specified by a Cabinet Order as those necessary to reduce the likelihood that the Securities will be transferred from any person who purchased them to a large number of persons are imposed on sales of the Securities; provided, however, that this shall not apply to the Case Where Disclosures Have Been Made with regard to the Securities and to cases where the requirements specified by a Cabinet Office Ordinance in order to qualify sales of Securities as those which will not impair the public interest or protection of investors even if such conditions are not imposed thereon, including the requirement that the total amount of the sales of the Securities must be less than the amount specified by a Cabinet Office Ordinance, which may not be more than 100 million yen, are satisfied.
前項本文の規定の適用を受ける海外発行証券の少人数向け勧誘を行う者は、同項本文に規定する有価証券を当該海外発行証券の少人数向け勧誘により売り付ける場合には、あらかじめ又は同時にその相手方に対し、同項に規定する条件の内容その他の内閣府令で定める内容を記載した書面を交付しなければならない。
(2)A person who makes a Solicitation for Small Number of Investors for Foreign Securities to which the main clause of the preceding paragraph is applicable shall, when he/she sells Securities referred to in the main clause of the preceding paragraph to another person through the Solicitation for Small Number of Investors for Foreign Securities, deliver a document containing a description on the matters specified by a Cabinet Office Ordinance, including conditions referred to in the preceding paragraph, in advance of, or at the same time as, selling such Securities to the other person.
(有価証券報告書の提出)
(Submission of Annual Securities Report)
第二十四条有価証券の発行者である会社は、その会社が発行者である有価証券(特定有価証券を除く。次の各号を除き、以下この条において同じ。)が次に掲げる有価証券のいずれかに該当する場合には、内閣府令で定めるところにより、事業年度ごとに、当該会社の商号、当該会社の属する企業集団及び当該会社の経理の状況その他事業の内容に関する重要な事項その他の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事項を記載した報告書(以下「有価証券報告書」という。)を、当該事業年度経過後三月以内(当該会社が外国会社である場合には、公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内)に、内閣総理大臣に提出しなければならない。ただし、当該有価証券が第三号に掲げる有価証券(株券その他の政令で定める有価証券に限る。)に該当する場合においてその発行者である会社(報告書提出開始年度(当該有価証券の募集又は売出しにつき第四条第一項本文若しくは第二項本文又は第二十三条の八第一項本文若しくは第二項の規定の適用を受けることとなつた日の属する事業年度をいい、当該報告書提出開始年度が複数あるときは、その直近のものをいう。)終了後五年を経過している場合に該当する会社に限る。)の当該事業年度の末日及び当該事業年度の開始の日前四年以内に開始した事業年度すべての末日における当該有価証券の所有者の数が政令で定めるところにより計算した数に満たない場合であつて有価証券報告書を提出しなくても公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けたとき、当該有価証券が第四号に掲げる有価証券に該当する場合において、その発行者である会社の資本金の額が当該事業年度の末日において五億円未満(当該有価証券が第二条第二項の規定により有価証券とみなされる有価証券投資事業権利等である場合にあつては、当該会社の資産の額として政令で定めるものの額が当該事業年度の末日において政令で定める額未満)であるとき、及び当該事業年度の末日における当該有価証券の所有者の数が政令で定める数に満たないとき、並びに当該有価証券が第三号又は第四号に掲げる有価証券に該当する場合において有価証券報告書を提出しなくても公益又は投資者保護に欠けることがないものとして政令で定めるところにより内閣総理大臣の承認を受けたときは、この限りでない。
Article 24(1)When Securities (excluding Regulated Securities; hereinafter the same shall apply in this Article, except in the following items) issued by a company fall under any of the categories specified in the following items, the company shall submit, for each business year, a report stating the trade name of the company, financial conditions of the Corporate Group to which the company belongs and of the company, other important matters concerning the company's business and other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (hereinafter referred to as an "Annual Securities Report") to the Prime Minister within three months after the end of that business year (or, in the case of a foreign company, within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors) pursuant to the provisions of a Cabinet Office Ordinance; provided however, that this shall not apply to cases where the Securities issued by the company fall under the category of Securities specified in item (iii) below (limited to share certificates and other Securities specified by a Cabinet Order) and the numbers of holders of the Securities on the last day of that business year and on the respective last days of the business years that began within four years before the day on which that business year began are fewer than the number calculated pursuant to the provisions of a Cabinet Order, if the Prime Minister approves pursuant to the provisions of a Cabinet Office Ordinance that even if the company does not submit Annual Securities Reports, the public interest or protection of investors would not be impaired (limited to the company for which five years have already passed after the end of the Starting Year of the Report Submission (meaning the business year that includes the day on which the main clause of Article 4 (1) or (2) or the main clause of Article 23-8 (1) or (2) became applicable to the Public Offering or Secondary Distribution of the Securities, or, the latest one of such business years); where the Securities issued by the company fall under the category of Securities specified in item (iv) below, if the amount of the stated capital of the company is less than 500 million yen (or if, in cases where the Securities are Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2 (2), the amount that is specified by a Cabinet Order as the amount of the stated capital of the company is less than the amount specified by a Cabinet Order on the last day of that business year) or if the number of holders of the Securities on the last day of that business year are fewer than the number specified by a Cabinet Order; and where the Securities issued by the company fall under the category of Securities specified in item (iii) or (iv) below, if the Prime Minister approves as specified by a Cabinet Order that even if the company does not submit Annual Securities Reports, the public interest or protection of investors would not be impaired.
金融商品取引所に上場されている有価証券
(i)Securities listed in a Financial Instruments Exchange;
流通状況が前号に掲げる有価証券に準ずるものとして政令で定める有価証券
(ii)Securities specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Securities referred to in the preceding item;
その募集又は売出しにつき第四条第一項本文若しくは第二項本文又は第二十三条の八第一項本文若しくは第二項の規定の適用を受けた有価証券(前二号に掲げるものを除く。)
(iii)Securities of which Public Offering or Secondary Distribution were subjected to the main clause of Article 4 (1) or (2) or the main clause of Article 23-8 (1) or (2) (excluding those specified in the preceding two items); or
当該会社が発行する有価証券(株券、第二条第二項の規定により有価証券とみなされる有価証券投資事業権利等その他の政令で定める有価証券に限る。)で、当該事業年度又は当該事業年度の開始の日前四年以内に開始した事業年度のいずれかの末日におけるその所有者の数が政令で定める数以上(当該有価証券が同項の規定により有価証券とみなされる有価証券投資事業権利等である場合にあつては、当該事業年度の末日におけるその所有者の数が政令で定める数以上)であるもの(前三号に掲げるものを除く。)
(iv)Securities (limited to share certificates, Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2 (2) and other Securities specified by a Cabinet Order) issued by the company, if the number of its holders on the last day of that business year or on the last day of any of the business years that began within four years before the day on which that business year began is not less than the number specified by a Cabinet Order (or if, in the case of Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2 (2), the number of its holders on the last day of that business year is not less than the number specified by a Cabinet Order) (excluding those specified in the preceding three items).
前項第三号に掲げる有価証券に該当する有価証券の発行者である会社で、少額募集等につき第五条第二項に規定する事項を記載した同条第一項に規定する届出書を提出した会社のうち次の各号のいずれにも該当しない会社は、前項本文の規定により提出しなければならない有価証券報告書に、同項本文に規定する事項のうち当該会社に係るものとして内閣府令で定めるものを記載することにより、同項本文に規定する事項の記載に代えることができる。
(2)A company which has issued Securities falling under the category specified in item (iii) of the preceding paragraph and has submitted a statement containing descriptions on the matters specified in Article 5 (2) under Article 5 (1) for Small Amount Public Offering, etc. may state in the Annual Securities Report required by the main clause of the preceding paragraph, among the matters set forth in the main clause of Article 5 (1), only those specified by a Cabinet Office Ordinance as the matters pertaining to the company, instead of descriptions on all of the matters set forth in the main clause of Article 5 (1), unless the company falls under any of the categories of persons specified in the following items:
既に、前項本文に規定する事項を記載した有価証券報告書又は第二十四条の四の七第一項若しくは第二項の規定による四半期報告書のうち同条第一項に規定する事項を記載したもの若しくは第二十四条の五第一項に規定する事項を記載した半期報告書を提出している者
(i)a person who has already submitted an Annual Securities Report which contains descriptions on the matters set forth in the main clause of the preceding paragraph, or a Quarterly Securities Report which contains descriptions on the matters set forth in Article 24-4-7 (1) under Article 24-4-7 (1) or (2) or a Semiannual Securities Reports which contains descriptions on the matters set forth in Article 24-5 (1); and
第四条第一項本文又は第二項本文の規定の適用を受けた有価証券の募集又は売出しにつき、第五条第一項第二号に掲げる事項を記載した同項に規定する届出書を提出した者(前号に掲げる者を除く。)
(ii)a person who submitted a statement under Article 5 (1) containing descriptions on the matters listed in Article 5 (1)(ii) for Public Offering or Secondary Distribution of Securities to which the main clause of Article 4 (1) or (2) has applied (excluding those specified in the preceding item).
第一項本文の規定の適用を受けない会社が発行者である有価証券が同項第一号から第三号までに掲げる有価証券に該当することとなつたとき(内閣府令で定める場合を除く。)は、当該会社は、内閣府令で定めるところにより、その該当することとなつた日の属する事業年度の直前事業年度に係る有価証券報告書を、遅滞なく、内閣総理大臣に提出しなければならない。
(3)When Securities issued by a company to which the main clause of paragraph (1) does not apply, come to fall under any of the categories specified in items (i) to (iii) of said paragraph (excluding cases specified by a Cabinet Office Ordinance), the company shall submit an Annual Securities Report pertaining to the business year immediately prior to the business year that includes the day on which the Securities came to fall under any of such categories, to the Prime Minister, pursuant to the provisions of a Cabinet Office Ordinance, without delay.
第一項第四号に規定する所有者の数の算定に関し必要な事項は、内閣府令で定める。
(4)Matters necessary for calculation of the number of Securities holders set forth in item (iv) of paragraph (1) shall be specified by a Cabinet Office Ordinance.
前各項の規定は、特定有価証券が第一項各号に掲げる有価証券のいずれかに該当する場合について準用する。この場合において、同項本文中「有価証券の発行者である会社」とあるのは「有価証券の発行者である会社(内閣府令で定める有価証券については、内閣府令で定める者を除く。)」と、「特定有価証券を除く」とあるのは「特定有価証券に限る」と、「事業年度ごと」とあるのは「当該特定有価証券につき、内閣府令で定める期間(以下この条において「特定期間」という。)ごと」と、「当該会社の商号、当該会社の属する企業集団及び当該会社の経理の状況その他事業」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産の経理の状況その他資産」と、「当該事業年度」とあるのは「当該特定期間」と、同項ただし書中「当該有価証券が第三号に掲げる有価証券(株券その他の政令で定める有価証券に限る。)に該当する場合においてその発行者である会社(報告書提出開始年度(当該有価証券の募集又は売出しにつき第四条第一項本文若しくは第二項本文又は第二十三条の八第一項本文若しくは第二項の規定の適用を受けることとなつた日の属する事業年度をいい、当該報告書提出開始年度が複数あるときは、その直近のものをいう。)終了後五年を経過している場合に該当する会社に限る。)の当該事業年度の末日及び当該事業年度の開始の日前四年以内に開始した事業年度すべての末日における当該有価証券の所有者の数が政令で定めるところにより計算した数に満たない場合であつて有価証券報告書を提出しなくても公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けたとき、当該有価証券が第四号」とあるのは「当該特定有価証券が第四号」と、「及び当該事業年度の末日における当該有価証券の所有者の数が政令で定める数に満たないとき、並びに」とあるのは「及び」と、同項第四号中「株券、第二条第二項の規定により有価証券とみなされる有価証券投資事業権利等」とあるのは「第二条第二項の規定により有価証券とみなされる有価証券投資事業権利等」と、「当該事業年度又は当該事業年度の開始の日前四年以内に開始した事業年度のいずれかの末日におけるその所有者の数が政令で定める数以上(当該有価証券が同項の規定により有価証券とみなされる有価証券投資事業権利等である場合にあつては、当該事業年度の末日におけるその所有者の数が政令で定める数以上)」とあるのは「当該特定期間の末日におけるその所有者の数が政令で定める数以上」と、第二項中「有価証券の」とあるのは「特定有価証券の」と、第三項中「第一項本文」とあるのは「第五項において準用する第一項本文」と、「発行者」とあるのは「発行者(内閣府令で定める有価証券については、内閣府令で定める者を除く。)」と、「有価証券が」とあるのは「特定有価証券が」と、「その該当することとなつた日」とあるのは「当該特定有価証券につき、その該当することとなつた日」と、「事業年度」とあるのは「特定期間」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(5)The provisions of the preceding paragraphs shall apply mutatis mutandis to cases where Regulated Securities issued by a company fall under any of the categories specified in the items of paragraph (1).In this case, the term "excluding Regulated Securities" in the main clause of paragraph (1) shall be deemed to be replaced with "limited to Regulated Securities"; the term "the company shall" in the main clause of paragraph (1) shall be deemed to be replaced with "the company (if said Securities are so specified by a Cabinet Office Ordinance, excluding persons specified by a Cabinet Office Ordinance) shall"; the terms "the trade name of the company, financial conditions of the Corporate Group to which the company belongs and of the company, other important matters concerning the company's business" in the main clause of paragraph (1) shall be deemed to be replaced with "financial conditions of asset investment or other similar businesses conducted by the company, other important matters concerning the company's assets"; the term "for each business year" in the main clause of paragraph (1) shall be deemed to be replaced with "for each of the periods of time specified by a Cabinet Office Ordinance for the Regulated Securities (hereinafter referred to as the "Specified Period" in this Article)"; the term "that business year" in the main clause of paragraph (1) shall be deemed to be replaced with "that Specified Period"; the part "the Securities issued by the company fall under the category of Securities specified in item (iii) below (limited to share certificates and other Securities specified by a Cabinet Order) and the numbers of holders of the Securities on the last day of that business year and on the last days of the business years that began within four years before the day on which that business year began are fewer than the number calculated pursuant to the provisions of a Cabinet Order, if the Prime Minister approves pursuant to the provisions of a Cabinet Office Ordinance that even if the company does not submit Annual Securities Reports, the public interest or protection of investors would not be impaired (limited to the company for which five years have already passed after the end of the Starting Year of Report Submission (meaning the business year that includes the day on which the main clause of Article 4 (1) or (2) or the main clause of Article 23-8 (1) or (2) became applicable to the Public Offering or Secondary Distribution of the Securities, or, the latest one of such business years); where the Securities issued by the company fall under the category of Securities specified in item (iv) below" in the proviso to paragraph (1) shall be deemed to be replaced with "the Regulated Securities issued by the company fall under the category of Securities specified in item (iv) below"; the part "or if the number of holders of the Securities on the last day of that business year is fewer than the number specified by a Cabinet Order; and" in the proviso to paragraph (1) shall be deemed to be replaced with "; and"; the part "share certificates, Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2 (2)" in item (iv) of paragraph (1) shall be deemed to be replaced with "Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2 (2)"; the part "if the number of its holders on the last day of that business year or on the last day of any of the business years that began within four years before the day on which that business year began is not less than the number specified by a Cabinet Order (or, in case of Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2 (2), the number of its holders on the last day of that business year is not less than the number specified by a Cabinet Order)" in item (iv) of paragraph (1) shall be deemed to be replaced with "if the number of its holders on the last day of the Specified Period is not less than the number specified by a Cabinet Order"; the term "issued Securities" in paragraph (2) shall be deemed to be replaced with "issued Regulated Securities"; the term "Securities issued" in paragraph (3) shall be deemed to be replaced with "Regulated Securities issued"; the term "a company" in paragraph (3) shall be deemed to be replaced with "a company (if said Regulated Securities are Securities so specified by a Cabinet Office Ordinance, excluding persons specified by a Cabinet Office Ordinance)"; the term "the main clause of paragraph (1)" in paragraph (3) shall be deemed to be replaced with "the main clause of paragraph (1) as applied mutatis mutandis pursuant to paragraph (5)"; the term "business year" in paragraph (3) shall be deemed to be replaced with "Specified Period"; the term "the day on which the Securities came" in paragraph (3) shall be deemed to be replaced with "the day on which the Regulated Securities came"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
有価証券報告書には、定款その他の書類で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを添付しなければならない。
(6)The articles of incorporation or other documents that are specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors shall be attached to an Annual Securities Report.
第六条の規定は、第一項から第三項まで(これらの規定を第五項において準用する場合を含む。)及び前項の規定により有価証券報告書及びその添付書類が提出された場合について準用する。
(7)Article 6 shall apply mutatis mutandis to cases where an Annual Securities Report and the documents attached thereto are submitted under paragraph (1) to (3) (including the cases where they are applied mutatis mutandis pursuant to paragraph (5)) and the preceding paragraph.
第一項(第五項において準用する場合を含む。以下この項から第十三項までにおいて同じ。)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。)は、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場合には、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。)に代えて、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書類であつて英語で記載されたもの(以下この章において「外国会社報告書」という。)を提出することができる。
(8)In the cases specified by a Cabinet Office Ordinance as cases where the public interest or protection of investors would not be impaired, 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 shall apply in this paragraph to paragraph (13)) (including foreign companies which have submitted Annual Securities Reports under Article 23-3 (4); hereinafter referred as to "Reporting Foreign Company") may submit, instead of 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), documents which are prepared in English 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 a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7)) (such documents are hereinafter referred to as "Foreign Company Reports" in this Chapter).
外国会社報告書には、内閣府令で定めるところにより、当該外国会社報告書に記載されている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の要約の日本語による翻訳文、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内閣府令で定めるもの(以下この条及び次条第四項において「補足書類」という。)を添付しなければならない。
(9)When Foreign Company Reports are submitted, Japanese translations of the summary of the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters stated in the Foreign Company Report and documents stating the matters specified by a Cabinet Office Ordinance 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 specified by a Cabinet Office Ordinance (such documents are hereinafter collectively referred to as "Supplementary Documents" in this Article and paragraph (4) of the following Article) shall be attached to the Foreign Company Report as specified by a Cabinet Office Ordinance.
10前二項の規定により報告書提出外国会社が有価証券報告書等に代えて外国会社報告書及びその補足書類を提出する場合には、第一項中「当該事業年度経過後三月以内(当該会社が外国会社である場合には、公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内)」とあるのは「当該事業年度経過後公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内」とし、第五項中「「当該事業年度」とあるのは「当該特定期間」」とあるのは「「当該事業年度経過後三月以内(当該会社が外国会社である場合には、公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内)」とあるのは「当該特定期間経過後公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内」」とする。
(10)In cases where a Reporting Foreign Company submits a Foreign Company Report and Supplementary Documents thereof instead of Annual Securities Reports, etc. under the preceding two paragraphs, the part "within three months after the end of that business year (or, in the case of a foreign company, within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the end of that business year)" in paragraph (1) shall be deemed to be replaced with "within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors,"; and the part, "the term "that business year" in the main clause of paragraph (1) shall be deemed to be replaced with "that Specified Period"" in paragraph (5) shall be deemed to be replaced with "the part "within three months after the end of that business year (or, in the case of a foreign company, within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the end of that business year)" in the main clause of paragraph (1) shall be deemed to be replaced with "within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the end of that business year"."
11第八項及び第九項の規定により報告書提出外国会社が外国会社報告書及びその補足書類を提出した場合には、当該外国会社報告書及びその補足書類を有価証券報告書とみなし、これらの提出を有価証券報告書等を提出したものとみなして、この法律又はこの法律に基づく命令(以下この章から第二章の四までにおいて「金融商品取引法令」という。)の規定を適用する。
(11)The provisions of this Act and orders given thereunder (hereinafter referred to as the "Financial Instruments and Exchange Act and Related Regulations" in this Chapter to Chapter II-4) shall apply to cases where a Reporting Foreign Company submits a Foreign Company Report and Supplementary Documents thereof under paragraphs (8) and (9), by deeming the Foreign Company Report and Supplementary Documents to be Annual Securities Reports, etc. and deeming submission of the former to be submission of the latter.
12内閣総理大臣は、外国会社報告書を提出した報告書提出外国会社が第八項の外国会社報告書を提出することができる場合に該当しないと認めるときは、当該報告書提出外国会社に対し、その旨を通知しなければならない。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
(12)The Prime Minister shall, when he/she finds that a Reporting Foreign Company which submitted a Foreign Company Report does not satisfy the requirements for being allowed to submit a Foreign Company Report under paragraph (8), notify thereof to the Reporting Foreign Company.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
13前項の規定による通知を受けた報告書提出外国会社は、第一項の規定にかかわらず、同項の規定による有価証券報告書を、当該通知があつた日を起算日として公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内に提出しなければならない。
(13)Notwithstanding the provision of paragraph (1), a Reporting Foreign Company, when receiving a notice made under the preceding paragraph, shall submit an Annual Securities Report set forth in paragraph (1) within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the day on which the notice is made.
14第一項(第五項において準用する場合に限る。以下この条において同じ。)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会社が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「報告書代替書面」という。)を有価証券報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項及び第二項の規定の適用については、第一項中「内閣府令で定める事項」とあるのは「内閣府令で定める事項(第十四項に規定する報告書代替書面に記載された事項を除く。)」と、第二項中「同項本文に規定する事項」とあるのは「同項本文に規定する事項(第十四項に規定する報告書代替書面に記載された事項を除く。)」とする。
(14)In cases where a company required to submit Annual Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (5); hereinafter the same shall apply in this Article) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as "Documents Substituting Part of an Annual Securities Report" in this paragraph and the following paragraph) together with an Annual Securities Report to the Prime Minister, with regard to the application of paragraphs (1) and (2) to cases approved by the Prime Minister as specified by a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term "other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors" in paragraph (1) shall be deemed to be replaced with "other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of an Annual Securities Report defined in paragraph (14))"; and the term "among the matters set forth in the main clause of Article 5 (1)" in paragraph (2) shall be deemed to be replaced with "among the matters set forth in the main clause of Article 5 (1) (excluding matters stated in Documents Substituting Part of an Annual Securities Report defined in paragraph (14))."
15前項の規定により読み替えて適用する第一項の有価証券報告書と併せて報告書代替書面を提出した場合には、当該報告書代替書面を当該有価証券報告書の一部とみなし、当該報告書代替書面を提出したことを当該報告書代替書面を当該有価証券報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
(15)When Documents Substituting Part of an Annual Securities Report are submitted together with an Annual Securities Report set forth in paragraph (1) as applied by replacing certain terms under the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of an Annual Securities Report to form a part of the Annual Securities Report and deeming submission of the Documents Substituting Part of an Annual Securities Report to be submission of the Documents Substituting Part of an Annual Securities Report as a part of the Annual Securities Report.
(訂正届出書に関する規定の準用)
(Application Mutatis Mutandis of Provisions Concerning Amendments)
第二十四条の二第七条、第九条第一項及び第十条第一項の規定は、有価証券報告書及びその添付書類について準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「有価証券報告書及びその添付書類」と、「届出者」とあるのは「有価証券報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「有価証券報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「有価証券報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは、「訂正報告書の提出」と読み替えるものとする。
Article 24-2(1)Article 7, Article 9 (1) and Article 10 (1) shall apply mutatis mutandis to Annual Securities Reports and documents attached thereto.In this case, the part "a statement set forth in Article 5 (1) or in other documents required under Article 5 (6), or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of said statement or said other documents for the public interest or protection of investors, during the period on or after the day on which the notification was made under Article 4 (1) or (2) but before the day on which the notification is to take effect" and the terms "the person making the notification" and "an amendment" in Article 7 shall be deemed to be replaced with "an Annual Securities Report and documents attached thereto, or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of an Annual Securities Report and documents attached thereto for the public interest or protection of investors," "the person submitting the Annual Securities Report" and "an amendment report," respectively; the terms "the person submitting them" and "an amendment" in Article 9 (1) shall be deemed to be replaced with "the person submitting the Annual Securities Report" and "an amendment report," respectively; and the term "the person submitting the Securities Registration Statement" and "to submit an amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2)" in Article 10 (1) shall be deemed to be replaced with "the person submitting the Securities Registration Statement" and "to submit an amendment report," respectively.
有価証券の発行者である会社は、前項において準用する第七条又は第十条第一項の規定により有価証券報告書の記載事項のうち重要なものについて訂正報告書を提出したときは、政令で定めるところにより、その旨を公告しなければならない。
(2)When a company which is the Issuer of Securities submits an amendment report with regard to any description on important matters stated in its Annual Securities Report under Article 7 or Article 10 (1) as applied mutatis mutandis pursuant to the preceding paragraph, it shall give a public notice to that effect pursuant to the provisions of a Cabinet Order.
第六条の規定は、第一項において準用する第七条、第九条第一項又は第十条第一項の規定により有価証券報告書又はその添付書類について訂正報告書が提出された場合について準用する。
(3)Article 6 shall apply mutatis mutandis to cases where an amendment report for an Annual Securities Report or documents attached thereto is submitted under Article 7, Article 9 (1) or Article 10 (1) as applied mutatis mutandis pursuant to paragraph (1).
前条第八項、第九項及び第十一項の規定は、第一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報告書及びその補足書類の訂正報告書を提出する場合について準用する。
(4)Paragraphs (8), (9) and (11) of the preceding Article shall apply mutatis mutandis to cases where an amendment report for a Foreign Company Report and Supplementary Documents therefor submitted by a Reporting Foreign Company are submitted under Article 7, Article 9 (1) or Article 10 (1) as applied mutatis mutandis by replacing certain terms pursuant to paragraph (1).
(虚偽記載のある有価証券報告書の提出後一年内の届出の効力の停止等)
(Suspension of the Effect of the Notifications Made Within One Year from the Submission of Annual Securities Report Containing Fake Statement)
第二十四条の三第十一条の規定は、重要な事項について虚偽の記載がある有価証券報告書(その訂正報告書を含む。次条において同じ。)を提出した者が当該記載について前条第一項において準用する第七条の規定により訂正報告書を提出した日又は同項において準用する第十条第一項の規定により訂正報告書の提出を命ぜられた日から一年以内に提出する第五条第一項に規定する届出書又は発行登録書若しくは発行登録追補書類について準用する。
Article 24-3Article 11 shall apply mutatis mutandis to statements under Article 5 (1), Shelf Registration Statements or Shelf Registration Supplements submitted by the person who submitted an Annual Securities Report (including an amendment report therefor; the same shall apply in the following Article) which contains any fake statements on important matters, during the period within one year from the day when the person submitted an amendment report regarding the fake statements under Article 7 as applied mutatis mutandis pursuant to paragraph (1) of the preceding Article or was ordered to submit such an amendment report under Article 10 (1) as applied mutatis mutandis pursuant to Article 24-2 (1).
(虚偽記載のある有価証券報告書の提出会社の役員等の賠償責任)
(Liability for Damages of Officers of the Company Which Submits Annual Securities Report Containing Fake Statement and Other Persons)
第二十四条の四第二十二条の規定は、有価証券報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、同条第一項中「有価証券を募集又は売出しによらないで取得した者」とあるのは、「有価証券を取得した者」と読み替えるものとする。
Article 24-4Article 22 shall apply mutatis mutandis to cases where an Annual Securities Report contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding.In this case, the term "persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution" in Article 22 (1) shall be deemed to be replaced with "persons who acquire the Securities issued by the person submitting the Securities Registration Statement."
(有価証券報告書の記載内容に係る確認書の提出)
(Submission of Confirmation Letter for Annual Securities Report)
第二十四条の四の二第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項において同じ。)のうち、第二十四条第一項第一号に掲げる有価証券の発行者である会社その他の政令で定めるものは、内閣府令で定めるところにより、当該有価証券報告書の記載内容が金融商品取引法令に基づき適正であることを確認した旨を記載した確認書(以下この条及び次条において「確認書」という。)を当該有価証券報告書(第二十四条第八項の規定により同項に規定する有価証券報告書等に代えて外国会社報告書を提出する場合にあつては、当該外国会社報告書)と併せて内閣総理大臣に提出しなければならない。
Article 24-4-2(1)A company which is required to submit Annual Securities Reports under Article 24 (1) (including those which have submitted Annual Securities Reports under Article 23-3 (4); the same shall apply in the following paragraph) shall, if the Securities issued by the company are those listed in Article 24 (1)(i) or the company is otherwise required by a Cabinet Order, submit, together with an Annual Securities Report (or a Foreign Company Report in cases where Foreign Company Reports are submitted instead of Annual Securities Reports, etc. defined in Article 24 (8) under Article 24 (8)), a letter confirming that, pursuant to the provisions of a Cabinet Office Ordinance, statements contained in the Annual Securities Report are appropriate under the Financial Instruments and Exchange Act and Related Regulations (hereinafter referred to as a "Confirmation Letter" in this Article and the following Article).
第二十四条第一項の規定による有価証券報告書を提出しなければならない会社であつて、前項の規定により確認書を有価証券報告書と併せて提出しなければならない会社以外の会社(政令で定めるものを除く。)は、同項に規定する確認書を任意に提出することができる。
(2)A company which is required to submit Annual Securities Reports under Article 24 (1) may, even if the company does not fall under the category of companies which are required under the preceding paragraph to submit a Confirmation Letter together with an Annual Securities Report (except in cases where the company falls under the category of companies specified by a Cabinet Order), submit a Confirmation Letter provided in the preceding paragraph voluntarily.
前二項の規定は、第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。)のうち政令で定めるものについて準用する。
(3)The provisions of the preceding two paragraphs shall apply mutatis mutandis to companies which, among companies required to submit Annual Securities Reports under Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5) (including companies which submitted Annual Securities Reports under Article 23-3 (4)), are specified by a Cabinet Order.
前三項の規定は、第二十四条の二第一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訂正報告書を提出する場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(4)The provisions of the preceding three paragraphs shall apply mutatis mutandis to cases where an amendment report is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis by replacing certain terms pursuant to Article 24-2 (1).In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
第六条の規定は、第一項又は第二項(これらの規定を第三項(前項において準用する場合を含む。)及び前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。)の規定により確認書が提出された場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(5)Article 6 shall apply mutatis mutandis to cases where a Confirmation Letter is submitted under paragraph (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to paragraph (3) (including the cases where it is applied mutatis mutandis pursuant to the preceding paragraph) or the preceding paragraph: hereinafter the same shall apply in this Article).In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
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の規定は、報告書提出外国会社が第一項又は第二項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。)について準用する。この場合において、同条第八項中「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。)」とあるのは「外国会社」と、「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。)」とあるのは「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する場合を含む。)の規定による確認書」と、「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」とあるのは「確認書に記載すべき事項を記載した」と、同条第九項中「、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」とあるのは「その他」と、同条第十一項中「有価証券報告書等」とあるのは「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する場合を含む。)の規定による確認書」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(6)Article 24 (8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Reporting Foreign Company submits a Confirmation Letter under paragraph (1) or (2) of this Article (limited to cases where the Reporting Foreign Company submits a Foreign Company Report). In this case, the parts ") (including foreign companies which have submitted Annual Securities Reports under Article 23-3 (4); hereinafter referred as to "Reporting Foreign Company")," "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)" and "and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under 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 a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))" in Article 24 (8) shall be deemed to be replaced with ")," "a Confirmation Letter to be submitted under Article 24-4-2 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2 (3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2 (4)) or Article 24-4-2 (4))" and "and states the matters to be stated in the Confirmation Letter," respectively; the part "documents stating the matters specified by a Cabinet Office Ordinance 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" in Article 24 (9) shall be deemed to be replaced with "other"; the term "Annual Securities Reports, etc." in Article 24 (11) shall be deemed to be replaced with "a Confirmation Letter to be submitted under Article 24-4-2 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2 (3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2 (4)) or Article 24-4-2 (4))"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
(訂正確認書の提出)
(Submission of Amendment Confirmation Letter)
第二十四条の四の三第七条、第九条第一項及び第十条第一項の規定は、確認書について準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「確認書」と、「届出者」とあるのは「確認書の提出者」と、「訂正届出書」とあるのは「訂正確認書」と、第九条第一項中「届出者」とあるのは「確認書の提出者」と、「訂正届出書」とあるのは「訂正確認書」と、第十条第一項中「届出者」とあるのは「確認書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正確認書の提出」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 24-4-3(1)Article 7, Article 9 (1) and Article 10 (1) shall apply mutatis mutandis to a Confirmation Letter.In this case, the part "a statement set forth in Article 5 (1) or in other documents required under Article 5 (6), or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of said statement or said other documents for the public interest or protection of investors, during the period on or after the day on which the notification was made under Article 4 (1) or (2) but before the day on which the notification is to take effect" in Article 7 shall be deemed to be replaced with "a Confirmation Letter, or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of a Confirmation Letter for the public interest or protection of investors"; the terms "the person making the notification" and "an amendment" in Article 7 shall be deemed to be replaced with "the person submitting the Confirmation Letter" and "an amendment Confirmation Letter," respectively; the terms "the person submitting them" and "an amendment" in Article 9 (1) shall be deemed to be replaced with "the person submitting the Confirmation Letter" and "an amendment Confirmation Letter," respectively: the term "the person submitting the Securities Registration Statement"; and the part "to submit an amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2)" in Article 10 (1)) shall be deemed to be replaced with "the person submitting the Confirmation Letter" and "to submit an amendment Confirmation Letter," respectively; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第六条の規定は、前項において準用する第七条、第九条第一項又は第十条第一項の規定により確認書の訂正確認書が提出された場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(2)Article 6 shall apply mutatis mutandis to cases where an amendment Confirmation Letter for a Confirmation Letter is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis pursuant to the preceding paragraph.In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
第二十四条第八項、第九項及び第十一項の規定は、第一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準用する。この場合において、必要な技術的読替えは、政令で定める。
(3)Article 24 (8), (9) and (11) shall apply mutatis mutandis to cases where an amendment Confirmation Letter for a Confirmation Letter submitted by a foreign company is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis by replacing certain terms pursuant to paragraph (1).In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
(財務計算に関する書類その他の情報の適正性を確保するための体制の評価)
(System for Ensuring Appropriateness of Statements on Finance and Accounting and Other Information)
第二十四条の四の四第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項において同じ。)のうち、第二十四条第一項第一号に掲げる有価証券の発行者である会社その他の政令で定めるものは、事業年度ごとに、当該会社の属する企業集団及び当該会社に係る財務計算に関する書類その他の情報の適正性を確保するために必要なものとして内閣府令で定める体制について、内閣府令で定めるところにより評価した報告書(以下「内部統制報告書」という。)を有価証券報告書(同条第八項の規定により同項に規定する有価証券報告書等に代えて外国会社報告書を提出する場合にあつては、当該外国会社報告書)と併せて内閣総理大臣に提出しなければならない。
Article 24-4-4(1)A company which is required to submit Annual Securities Reports under Article 24 (1) (including companies which have submitted Annual Securities Reports under Article 23-3 (4); the same shall apply in the following paragraph) shall, if the Securities issued by the company are those listed in Article 24 (1)(i) or the company is otherwise required by a Cabinet Order, submit a report in which evaluation pursuant to the provisions of a Cabinet Office Ordinance is made with regard to its system specified by a Cabinet Office Ordinance as necessary for ensuring appropriateness of statements on finance and accounting and other information concerning the Corporate Group to which the company belongs and concerning the company (hereinafter referred to as an "Internal Control Report") to the Prime Minister together with an Annual Securities Report (or a Foreign Company Report in cases where Foreign Company Reports are submitted instead of Annual Securities Reports, etc. as defined in Article 24 (8) under Article 24 (8)) for each business year.
第二十四条第一項の規定による有価証券報告書を提出しなければならない会社であつて、前項の規定により内部統制報告書を有価証券報告書と併せて提出しなければならない会社以外の会社(政令で定めるものを除く。)は、同項に規定する内部統制報告書を任意に提出することができる。
(2)A company which is required to submit Annual Securities Reports set forth in Article 24 (1) may, even if the company is not a company which is required to submit Internal Control Reports together with Annual Securities Reports under the preceding paragraph (except those specified by a Cabinet Order), voluntarily submit Internal Control Reports provided for in the preceding paragraph.
前二項の規定は、第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。)のうち政令で定めるものについて準用する。この場合において、第一項中「政令で定めるもの」とあるのは「政令で定めるもの(特定有価証券(第五条第一項に規定する特定有価証券をいう。以下この項において同じ。)の発行者に限る。)」と、「事業年度」とあるのは「当該特定有価証券に係る特定期間(第二十四条第五項において準用する同条第一項に規定する特定期間をいう。)」と、「当該会社の属する企業集団及び当該会社」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産」と読み替えるものとするほか、必要な技術的な読替えは、政令で定める。
(3)The provisions of the preceding two paragraphs shall apply mutatis mutandis to a company which is required to submit Annual Securities Reports under Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5) (including companies which have submitted Annual Securities Reports under Article 23-3 (4)) and is specified by a Cabinet Order.In this case, the term "or the company is otherwise required by a Cabinet Order" in paragraph (1) shall be deemed to be replaced with "or the company is otherwise required by a Cabinet Order (limited to the Issuer of Regulated Securities (meaning Regulated Securities as defined in Article 5 (1); hereinafter the same shall apply in this paragraph)"; the term "business year" in paragraph (1) shall be deemed to be replaced with "Specified Period (meaning Specified Period as defined in Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5)) designated for the Regulated Securities"; the term "the Corporate Group to which the company belongs" in paragraph (1) shall be deemed to be replaced with "asset investment or other similar businesses conducted by the company"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
内部統制報告書には、第一項に規定する内閣府令で定める体制に関する事項を記載した書類その他の書類で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを添付しなければならない。
(4)When an Internal Control Report is submitted, a document stating the matters pertaining to the system specified by a Cabinet Office Ordinance referred to in paragraph (1) and other documents specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors shall be attached to the Internal Control Report.
第六条の規定は、第一項又は第二項(これらの規定を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。)及び前項の規定により内部統制報告書及びその添付書類が提出された場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(5)Article 6 shall apply mutatis mutandis to cases where an Internal Control Report and documents to be attached thereto are submitted under paragraph (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to paragraph (3); hereinafter the same shall apply in this Article) and the preceding paragraph.In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
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の規定は、報告書提出外国会社が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。)について準用する。この場合において、同条第八項中「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。)」とあるのは「外国会社」と、「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。)」とあるのは「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する場合を含む。)の規定による内部統制報告書及び同条第四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「内部統制報告書等」という。)」と、「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」とあるのは「内部統制報告書等に記載すべき事項を記載した」と、同条第九項中「、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」とあるのは「その他」と、同条第十一項中「有価証券報告書等」とあるのは「内部統制報告書等」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(6)Article 24 (8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Reporting Foreign Company submits an Internal Control Report under paragraph (1) or (2) of this Article (limited to cases where the Reporting Foreign Company submits Foreign Company Reports). In this case, the parts ") (including foreign companies which have submitted Annual Securities Reports under Article 23-3 (4); hereinafter referred as to "Reporting Foreign Company")," "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)" and "and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under 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 a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))" in Article 24 (8) shall be deemed to be replaced with ")," "an Internal Control Report to be submitted under Article 24-4-4 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-4 (3)) and documents to be attached under Article 24-4-4 (4) (hereinafter collectively referred to as an "Internal Control Report, etc.")" and "and states the matters to be stated in the Internal Control Report, etc.," respectively; the part "documents stating the matters specified by a Cabinet Office Ordinance 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" in Article 24 (9) shall be deemed to be replaced with "other"; the term "Annual Securities Reports, etc." in Article 24 (11) shall be deemed to be replaced with "Internal Control Report, etc."; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
(訂正内部統制報告書の提出)
(Submission of Amendment of Internal Control Report)
第二十四条の四の五第七条、第九条第一項及び第十条第一項の規定は、内部統制報告書及びその添付書類について準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「内部統制報告書及びその添付書類」と、「届出者」とあるのは「内部統制報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「内部統制報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「内部統制報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正報告書の提出」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 24-4-5(1)Article 7, Article 9 (1) and Article 10 (1) shall apply mutatis mutandis to an Internal Control Report and documents attached thereto.In this case, the part "a statement set forth in Article 5 (1) or in other documents required under Article 5 (6), or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of said statement or said other documents for the public interest or protection of investors, during the period on or after the day on which the notification was made under Article 4 (1) or (2) but before the day on which the notification is to take effect" in Article 7 shall be deemed to be replaced with "an Internal Control Report and document attached thereto, or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of an Internal Control Report and documents attached thereto for the public interest or protection of investors"; the terms "the person making the notification" and "an amendment" in Article 7 shall be deemed to be replaced with "the person submitting the Internal Control Report" and "an amendment report," respectively; the terms "the person submitting them" and "an amendment" in Article 9 (1) shall be deemed to be replaced with "the person submitting the Internal Control Report" and "an amendment report," respectively; the term "the person submitting the Securities Registration Statement" and the part "to submit an amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2)" in Article 10 (1)) shall be deemed to be replaced with "the person submitting the Internal Control Report" and "to submit an amendment report," respectively; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第六条の規定は、前項において準用する第七条、第九条第一項又は第十条第一項の規定により内部統制報告書又はその添付書類について訂正報告書が提出された場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(2)Article 6 shall apply mutatis mutandis to cases where an amendment report for an Internal Control Report or documents attached thereto is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis pursuant to the preceding paragraph.In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
第二十四条第八項、第九項及び第十一項の規定は、第一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準用する。この場合において、必要な技術的読替えは、政令で定める。
(3)Article 24 (8), (9) and (11) shall apply mutatis mutandis to cases where an amendment report for an Internal Control Report submitted by a foreign company is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis by replacing certain terms pursuant to paragraph (1).In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
(賠償責任に関する規定の準用)
(Application Mutatis Mutandis of Provisions Concerning Liability for Damages)
第二十四条の四の六第二十二条の規定は、内部統制報告書(その訂正報告書を含む。)のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、同条第一項中「当該有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者」とあるのは、「当該内部統制報告書(その訂正報告書を含む。)の提出者が発行者である有価証券を取得した者」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 24-4-6Article 22 shall apply mutatis mutandis to cases where an Internal Control Report (including documents attached thereto) contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding.In this case, the part "persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution" in Article 22 (1) shall be deemed to be replaced with "persons who have acquired the Securities issued by the person submitting the Internal Control Report (including amendment reports therefor)." and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
(四半期報告書の提出)
(Submission of Quarterly Securities Report)
第二十四条の四の七第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項において同じ。)のうち、第二十四条第一項第一号に掲げる有価証券の発行者である会社その他の政令で定めるもの(以下この項及び次項において「上場会社等」という。)は、その事業年度が三月を超える場合は、当該事業年度の期間を三月ごとに区分した各期間(政令で定める期間を除く。以下同じ。)ごとに、当該会社の属する企業集団の経理の状況その他の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事項(以下この項において「四半期報告書記載事項」という。)を記載した報告書(以下「四半期報告書」という。)を、当該各期間経過後四十五日以内の政令で定める期間内に、内閣総理大臣に提出しなければならない。この場合において、上場会社等のうち内閣府令で定める事業を行う会社は、四半期報告書記載事項のほか、当該会社の経理の状況その他の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事項を記載した四半期報告書を、当該各期間経過後六十日以内の政令で定める期間内に、内閣総理大臣に提出しなければならない。
Article 24-4-7(1)A company which is required to submit Annual Securities Reports set forth in Article 24 (1) (including a company which submits Annual Securities Reports under Article 23-3 (4); the same shall apply in the following paragraph) and which has issued Securities falling under the category specified in Article 24 (1)(i) or otherwise specified by a Cabinet Order (hereinafter, such a company is referred to as a "Listed Company, etc." in this paragraph and the following paragraph) shall, if its business year is longer than three months, submit, for each three-month period of its business years (excluding periods specified by a Cabinet Order; the same shall apply hereinafter), a report stating financial conditions of the Corporate Group to which the company belongs and other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (hereinafter referred to as the "Matters to Be Stated in a Quarterly Securities Report" in this paragraph) (such a report is hereinafter referred to as a "Quarterly Securities Report") to the Prime Minister within the period designated by a Cabinet Order but not exceeding 45 days after the three-month period. In this case, a Listed Company, etc. which conducts a business specified by a Cabinet Office Ordinance shall submit a Quarterly Securities Report stating, in addition to the Matters to Be Stated in a Quarterly Securities Report, financial conditions of the company and other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors to the Prime Minister within the period specified by a Cabinet Order but not exceeding 60 days after the three-month period.
第二十四条第一項の規定による有価証券報告書を提出しなければならない会社であつて、上場会社等以外の会社(政令で定めるものを除く。)は、四半期報告書を任意に提出することができる。
(2)A company which is required to submit Annual Securities Reports set forth in Article 24 (1) and is a company (except those specified by a Cabinet Order) other than a Listed Company, etc. may voluntarily submit Quarterly Securities Reports.
前二項の規定は、第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。)のうち政令で定めるものについて準用する。この場合において、第一項中「政令で定めるもの(」とあるのは「政令で定めるもの(特定有価証券(第五条第一項に規定する特定有価証券をいう。以下この項において同じ。)の発行者に限る。」と、「その事業年度」とあるのは「当該特定有価証券に係る特定期間(第二十四条第五項において準用する同条第一項に規定する特定期間をいう。以下この項において同じ。)」と、「当該事業年度の期間」とあるのは「当該特定期間」と、「当該会社の属する企業集団」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産」と、「当該会社の経理」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産の経理」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(3)The provisions of the preceding two paragraphs shall apply mutatis mutandis to a company which is required to submit Annual Securities Reports under Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5) (including a company which submitted Annual Securities Reports under Article 23-3 (4)) and is specified by a Cabinet Order.In this case, the term "specified by a Cabinet Order (" in paragraph (1) shall be deemed to be replaced with "specified by a Cabinet Order (limited to the Issuer of Regulated Securities (meaning Regulated Securities as defined in Article 5 (1); hereinafter the same shall apply in this paragraph);"; the term "if its business year" in paragraph (1) shall be deemed to be replaced with "if the Specified Period (meaning Specified Period as defined in Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5); hereinafter the same shall apply in this paragraph) designated for the Securities"; the term "of its business years" in paragraph (1) shall be deemed to be replaced with "of the Specified Period"; the term "the Corporate Group to which the company belongs" in paragraph (1) shall be deemed to be replaced with "asset investment or other similar businesses conducted by the company"; the term "financial conditions of the company" in paragraph (1) shall be deemed to be replaced with "financial conditions of asset investment or other similar businesses conducted by the company"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第七条、第九条第一項及び第十条第一項の規定は四半期報告書について、第二十二条の規定は四半期報告書及びその訂正報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について、それぞれ準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「四半期報告書(第二十四条の四の七第一項又は第二項(これらの規定を同条第三項において準用する場合を含む。)の規定による四半期報告書をいう。以下この条、第九条第一項、第十条第一項及び第二十二条において同じ。)」と、「届出者」とあるのは「四半期報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「四半期報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「四半期報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正報告書の提出」と、第二十二条第一項中「有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者」とあるのは「四半期報告書又はその訂正報告書の提出者が発行者である有価証券を取得した者」と、同条第二項中「前項」とあるのは「第二十四条の四の七第四項において準用する前項」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(4)Articles 7, 9(1) and 10(1) shall apply mutatis mutandis to Quarterly Securities Reports, and Article 22 shall apply mutatis mutandis to cases where a Quarterly Securities Report and amendment report thereof contain fake statements on important matters or lack statements of important matters to be stated or of important matters necessary for avoiding misunderstanding.In this case, the part "the statement set forth in Article 5 (1) or in other documents required under Article 5 (6)" in Article 7 shall be deemed to be replaced with "a Quarterly Securities Report (meaning a Quarterly Securities Report set forth in Article 24-4-7 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-7 (3); hereinafter the same shall apply in this Article, Article 9 (1), Article 11 (1) and Article 22)"; the part "during the period on or after the day on which the notification was made under Article 4 (1) or (2) but before the day on which the notification is to take effect," in Article 7 shall be deemed to be deleted; the term "the person making the notification" in Article 7 shall be deemed to be replaced with "the person submitting the Quarterly Securities Report"; the term "the amendment" in Article 7 shall be deemed to be replaced with "an amendment report"; the terms "the person submitting them" and "the amendment " in Article 9 (1) shall be deemed to be replaced with "the person submitting the Quarterly Securities Report" and "an amendment report," respectively; the term "the person submitting the Securities Registration Statement" in Article 10 (1) shall be deemed to be replaced with "the person submitting the Quarterly Securities Report"; the part "submit the amendment and may, when it is found necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2)" in Article 10 (1) shall be deemed to be replaced with "to submit an amendment report"; the part "persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution" in Article 22 (1) shall be deemed to be replaced with "persons who have acquired the Securities issued by the person submitting the Quarterly Securities Report and amendment reports"; the term "the preceding paragraph" in Article 22 (2) shall be deemed to be replaced with "the preceding paragraph as applied mutatis mutandis pursuant to Article 24-4-7 (4)"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第六条の規定は、第一項又は第二項(これらの規定を第三項において準用する場合を含む。次項から第十一項までにおいて同じ。)の規定により四半期報告書が提出された場合及び前項において準用する第七条、第九条第一項又は第十条第一項の規定により当該報告書の訂正報告書が提出された場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(5)Article 6 shall apply mutatis mutandis to cases where a Quarterly Securities Report is submitted under paragraph (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to paragraph (3); the same shall apply in the following paragraph to paragraph (11)) and where amendment reports for a Quarterly Securities Report is submitted under Article 7, 9(1) or 10(1) as applied mutatis mutandis pursuant to the preceding paragraph.In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
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(第二項の規定により四半期報告書を提出する報告書提出外国会社を含む。以下この条において同じ。)は、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場合には、第一項の規定による四半期報告書に代えて、外国において開示が行われている四半期報告書に類する書類であつて英語で記載されたもの(以下この条において「外国会社四半期報告書」という。)を提出することができる。
(6)In the cases specified by a Cabinet Office Ordinance as cases where the public interest or protection of investors would not be impaired, a Reporting Foreign Company required to submit Quarterly Securities Reports under paragraph (1) (including a Reporting Foreign Company which submits Quarterly Securities Reports under paragraph (2); hereinafter the same shall apply in this Article) may submit, instead of Quarterly Securities Reports to be submitted under paragraph (1), documents similar to Quarterly Securities Reports which are prepared in English and have been Disclosed in a Foreign State (such documents are hereinafter referred to as a "Foreign Company Quarterly Securities Report" in this Article).
外国会社四半期報告書には、内閣府令で定めるところにより、当該外国会社四半期報告書に記載されている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の要約の日本語による翻訳文、当該外国会社四半期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内閣府令で定めるもの(以下この条において「補足書類」という。)を添付しなければならない。
(7)When a Foreign Company Quarterly Securities Report is submitted, Japanese translations of the summary of the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters stated in the Foreign Company Quarterly Securities Report and documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Quarterly Securities Report, and other documents specified by a Cabinet Office Ordinance (such documents are hereinafter collectively referred to as "Supplementary Documents" in this Article) shall be attached to the Foreign Company Quarterly Securities Report pursuant to the provisions of a Cabinet Office Ordinance.
前二項の規定により報告書提出外国会社が外国会社四半期報告書及びその補足書類を提出した場合には、当該外国会社四半期報告書及びその補足書類を四半期報告書とみなし、これらの提出を四半期報告書を提出したものとみなして、金融商品取引法令の規定を適用する。
(8)The provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply to cases where a Reporting Foreign Company submits a Foreign Company Quarterly Securities Report and Supplementary Documents thereof under the preceding two paragraphs, by deeming the Foreign Company Quarterly Securities Report and Supplementary Documents to be a Quarterly Securities Report and deeming submission of the former to be submission of the latter.
内閣総理大臣は、外国会社四半期報告書を提出した報告書提出外国会社が第六項の外国会社四半期報告書を提出することができる場合に該当しないと認めるときは、当該報告書提出外国会社に対し、その旨を通知しなければならない。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
(9)The Prime Minister shall, when he/she finds that a Reporting Foreign Company which submitted a Foreign Company Quarterly Securities Report does not satisfy the requirements for being allowed to submit a Foreign Company Quarterly Securities Report under paragraph (6), notify thereof to the Reporting Foreign Company.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
10前項の規定による通知を受けた報告書提出外国会社は、第一項の規定にかかわらず、同項の規定による四半期報告書を、当該通知があつた日を起算日として公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内に提出しなければならない。
(10)Notwithstanding the provision of paragraph (1), a Reporting Foreign Company, when receiving a notice made under the preceding paragraph, shall submit a Quarterly Securities Report set forth in paragraph (1) within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the day on which the notice is made.
11第六項から第八項までの規定は、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する場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(11)Paragraph (6) to paragraph (8) shall apply mutatis mutandis to cases where amendment reports are submitted to amend a Foreign Company Quarterly Securities Report submitted by a Reporting Foreign Company under Article 7, 9(1) or 10(1) as applied mutatis mutandis by replacing certain terms pursuant to paragraph (4) and Supplementary Documents therefor.In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
12第一項(第三項において準用する場合に限る。以下この条において同じ。)の規定により四半期報告書を提出しなければならない会社(第二項(第三項において準用する場合に限る。)の規定により四半期報告書を提出する会社を含む。)が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「四半期代替書面」という。)を四半期報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項の適用については、同項中「内閣府令で定める事項」とあるのは、「内閣府令で定める事項(第十二項に規定する四半期代替書面に記載された事項を除く。)」とする。
(12)In cases where a company required to submit Quarterly Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3); hereinafter the same shall apply in this Article)(including a company submitting Quarterly Securities Reports under paragraph (2) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3))) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as "Documents Substituting Part of a Quarterly Securities Report" in this paragraph and the following paragraph) together with a Quarterly Securities Report to the Prime Minister, with regard to the application of paragraph (1) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term "other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors" in paragraph (1) shall be deemed to be replaced with "other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of a Quarterly Securities Report as defined in paragraph (12))."
13前項の規定により読み替えて適用する第一項の四半期報告書と併せて四半期代替書面を提出した場合には、当該四半期代替書面を当該四半期報告書の一部とみなし、当該四半期代替書面を提出したことを当該四半期代替書面を当該四半期報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
(13)When Documents Substituting Part of a Quarterly Securities Report are submitted together with a Quarterly Securities Report set forth in paragraph (1) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of a Quarterly Securities Report to form a part of the Quarterly Securities Report and deeming submission of the Documents Substituting Part of a Quarterly Securities Report to be submission of the Documents Substituting Part of a Quarterly Securities Report as a part of the Quarterly Securities Report.
(確認書に関する規定の四半期報告書への準用)
(Application Mutatis Mutandis of Provisions Concerning Confirmation Letter to Quarterly Securities Report)
第二十四条の四の八第二十四条の四の二の規定は、前条第一項又は第二項(これらの規定を同条第三項において準用する場合を含む。)の規定によ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第七条、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準用する。この場合において、第二十四条の四の二第一項中「有価証券報告書の記載内容」とあるのは「四半期報告書(その訂正報告書を含む。以下この条において同じ。)の記載内容」と、「有価証券報告書等に代えて外国会社報告書」とあるのは「四半期報告書に代えて外国会社四半期報告書」と、「当該外国会社報告書」とあるのは「当該外国会社四半期報告書」と、同条第二項中「有価証券報告書と併せて」とあるのは「四半期報告書と併せて」と、同条第六項中「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する場合を含む。)の規定による確認書」とあるのは「第二十四条の四の八において読み替えて準用する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する場合を含む。)の規定による確認書」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 24-4-8(1)Article 24-4-2 shall apply mutatis mutandis to cases where a Quarterly Securities Report is submitted under paragraph (1) or (2) of the preceding Article (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-7 (3)) and where an amendment report is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis by replacing certain terms pursuant to Article 24-4-7 (4).In this case, the terms "a Foreign Company Report," "Foreign Company Reports are submitted instead of Annual Securities Reports, etc." and "statements contained in the Annual Securities Report" in Article 24-4-2 (1) shall be deemed to be replaced with "a Foreign Company Quarterly Securities Report," "Foreign Company Quarterly Securities Reports are submitted instead of Quarterly Securities Report" and "statements contained in the Quarterly Securities Report (including amendment reports therefor; hereinafter the same shall apply in this Article)," respectively; the term "together with an Annual Securities Report" in Article 24-4-2 (2) shall be deemed to be replaced with "together with a Quarterly Securities Report"; the part "a Confirmation Letter to be submitted under Article 24-4-2 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2 (3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2 (4)) or Article 24-4-2 (4))" in Article 24-4-2 (6) shall be deemed to be replaced with "a Confirmation Letter to be submitted under Article 24-4-2 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2 (3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2 (4)) or Article 24-4-2 (4)) as applied mutatis mutandis by replacing certain terms pursuant to Article 24-4-8"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第二十四条の四の三の規定は、前項の規定により提出した確認書の訂正確認書を提出する場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(2)Article 24-4-3 shall apply mutatis mutandis to cases where an amendment Confirmation Letter for a Confirmation Letter submitted under the preceding paragraph is submitted.In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
(半期報告書及び臨時報告書の提出)
(Submission of Semiannual Securities Report and Extraordinary Report)
第二十四条の五第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(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会社を含む。第四項において同じ。)のうち、第二十四条の四の七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会社(同条第二項の規定により四半期報告書を提出した会社を含む。第三項において同じ。)以外の会社は、その事業年度が六月を超える場合には、内閣府令で定めるところにより、事業年度ごとに、当該事業年度が開始した日以後六月間の当該会社の属する企業集団及び当該会社の経理の状況その他事業の内容に関する重要な事項その他の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事項を記載した報告書(以下「半期報告書」という。)を、当該期間経過後三月以内に、内閣総理大臣に提出しなければならない。
Article 24-5(1)A company which is required to submit Annual Securities Reports set forth in Article 24 (1) (including a company which submitted Annual Securities Reports under Article 23-3 (4); the same shall apply in paragraph (4)) and which is a company other than that required to submit Quarterly Securities Reports under Article 24-4-7 (1) (including a company which submits Quarterly Securities Reports under Article 24-4-7 (2); the same shall apply in paragraph (3)) shall, if its business year is longer than six months, submit, for each business year, a report stating financial conditions of the Corporate Group to which the company belongs and of the company, other important matters concerning the company's business and other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors pertaining to the first six months of the business year (such a report is hereinafter referred to as a "Semiannual Securities Report") pursuant to the provisions of a Cabinet Office Ordinance to the Prime Minister within three months after the end of the first six months.
第二十四条第二項に規定する事項を記載した同条第一項の規定による有価証券報告書を提出した、又は提出しようとする会社のうち次の各号のいずれにも該当しない会社は、前項の規定により提出しなければならない半期報告書に、同項に規定する事項のうち当該会社に係るものとして内閣府令で定めるものを記載することにより、同項に規定する事項の記載に代えることができる。
(2)A company which has submitted, or intends to submit, an Annual Securities Report containing descriptions on the matters specified in Article 24 (2) under Article 24 (1) may state in the Semiannual Securities Report required by the preceding paragraph, among the matters set forth in the preceding paragraph, only those specified by a Cabinet Office Ordinance as the matters pertaining to the company, instead of descriptions on all of the matters set forth in the preceding paragraph, unless the company falls under any of the categories of persons specified in the following items:
既に、第二十四条第一項本文に規定する事項を記載した有価証券報告書又は前項に規定する事項を記載した半期報告書を提出している者
(i)a person who has already submitted an Annual Securities Report containing descriptions on the matters specified in the main clause of Article 24 (1) or a Semiannual Securities Report containing descriptions on the matters specified in the preceding paragraph; and
第四条第一項本文又は第二項本文の規定の適用を受けた有価証券の募集又は売出しにつき、第五条第一項第二号に掲げる事項を記載した同項に規定する届出書を提出した者(前号に掲げる者を除く。)
(ii)a person who submitted a statement under Article 5 (1) containing descriptions on the matters listed in Article 5 (1)(ii) for Public Offering or Secondary Distribution of Securities to which the main clause of Article 4 (1) or (2) has applied (excluding those specified in the preceding item).
前二項の規定は、第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項及び第十五項において同じ。)のうち、第二十四条の四の七第三項において準用する同条第一項の規定により四半期報告書を提出しなければならない会社以外の会社について準用する。この場合において、第一項中「以外の会社」とあるのは「以外の会社(特定有価証券(第五条第一項に規定する特定有価証券をいう。以下この項及び次項において同じ。)の発行者に限る。)」と、「その事業年度」とあるのは「当該特定有価証券に係る特定期間(第二十四条第五項において準用する同条第一項に規定する特定期間をいう。以下この項において同じ。)」と、「事業年度ごと」とあるのは「特定期間ごと」と、「当該事業年度」とあるのは「当該特定期間」と、「当該会社の属する企業集団及び当該会社の経理の状況その他事業」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産の経理の状況その他資産」と、前項中「有価証券の」とあるのは「特定有価証券の」と読み替えるものとする。
(3)The provisions of the preceding two paragraphs shall apply mutatis mutandis to a company which is required to submit Annual Securities Reports set forth in Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5) (including a company which submits Annual Securities Reports under Article 23-3 (4); the same shall apply in the following paragraph and paragraph (15)) and is not required to submit Quarterly Securities Reports under Article 24-4-7 (1) as applied mutatis mutandis pursuant to Article 24-4-7 (3).In this case, the term "a company other than" in paragraph (1) shall be deemed to be replaced with "a company (limited to the Issuer of Regulated Securities (meaning Regulated Securities as defined in Article 5 (1); hereinafter the same shall apply in this paragraph and the following paragraph)) other than"; the term "its business year" in paragraph (1) shall be deemed to be replaced with "the Specified Period (meaning Specified Period as defined in Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5); the same shall apply hereinafter in this paragraph) designated for the Securities"; the term "for each business year" in paragraph (1) shall be deemed to be replaced with "for each Specified Period"; the part "financial conditions of the Corporate Group to which the company belongs and of the company, other important matters concerning the company's business" in paragraph (1) shall be deemed to be replaced with "financial conditions of asset investment or other similar businesses conducted by the company, other important matters concerning the company's assets"; the term "the business year" in paragraph (1) shall be deemed to be replaced with "the Specified Period"; and the term "of Securities" in paragraph (2) shall be deemed to be replaced with "of Regulated Securities."
第二十四条第一項(同条第五項において準用する場合を含む。)の規定による有価証券報告書を提出しなければならない会社は、その会社が発行者である有価証券の募集又は売出しが外国において行われるとき、その他公益又は投資者保護のため必要かつ適当なものとして内閣府令で定める場合に該当することとなつたときは、内閣府令で定めるところにより、その内容を記載した報告書(以下「臨時報告書」という。)を、遅滞なく、内閣総理大臣に提出しなければならない。
(4)A company required to submit Annual Securities Reports set forth in Article 24 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 24 (5)) shall, in cases where Public Offering or Secondary Distribution of Securities issued by the company is conducted in a foreign state or in other cases specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors, submit a report stating the details thereof (hereinafter referred to as an "Extraordinary Report") pursuant to the provisions of a Cabinet Office Ordinance to the Prime Minister without delay.
第七条、第九条第一項及び第十条第一項の規定は半期報告書及び臨時報告書について、第二十二条の規定は半期報告書及び臨時報告書並びにこれらの訂正報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について、それぞれ準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「半期報告書(第二十四条の五第一項(同条第三項において準用する場合を含む。)に規定する半期報告書をいう。以下この条、第九条第一項、第十条第一項及び第二十二条において同じ。)又は臨時報告書(第二十四条の五第四項に規定する臨時報告書をいう。以下この条、第九条第一項、第十条第一項及び第二十二条において同じ。)」と、「届出者」とあるのは「半期報告書又は臨時報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「半期報告書又は臨時報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「半期報告書又は臨時報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正報告書の提出」と、第二十二条第一項中「有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者」とあるのは「半期報告書又は臨時報告書若しくはこれらの訂正報告書の提出者が発行者である有価証券を取得した者」と、同条第二項中「前項」とあるのは「第二十四条の五第五項において準用する前項」と読み替えるものとする。
(5)Articles 7, 9(1) and 10(1) shall apply mutatis mutandis to Semiannual Securities Reports and Extraordinary Reports, and Article 22 shall apply mutatis mutandis to cases where a Semiannual Securities Report and Extraordinary Report thereof contain fake statements on important matters or lack statements of important matters or of important matters necessary for avoiding misunderstanding.In this case, the part "the statement set forth in Article 5 (1) or in other documents required under Article 5 (6)" in Article 7 shall be deemed to be replaced with "a Semiannual Securities Report (meaning a Semiannual Securities Report set forth in Article 24-5 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 24-5 (3)); hereinafter the same shall apply in this Article, Article 9 (1), Article 10 (1) and Article 22) or an Extraordinary Report (meaning an Extraordinary Report set forth in Article 24-5 (4); hereinafter the same shall apply in this Article, Article 9 (1), Article 10 (1) and Article 22)"; the part "during the period on or after the day on which the notification was made under Article 4 (1) or (2) but before the day on which the notification is to take effect," in Article 7 shall be deemed to be deleted; the term "the person making the notification" in Article 7 shall be deemed to be replaced with "the person submitting the Semiannual Securities Report or Extraordinary Report"; the term "the amendment" in Article 7 shall be deemed to be replaced with "an amendment report"; the terms "the person submitting them" and "the amendment" in Article 9 (1) shall be deemed to be replaced with "the person submitting the Semiannual Securities Report or Extraordinary Report" and "an amendment report," respectively; the term "the person submitting the Securities Registration Statement" in Article 10 (1) shall be deemed to be replaced with "the person submitting the Semiannual Securities Report or Extraordinary Report"; the part "submit the amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2)" in Article 10 (1) shall be deemed to be replaced with "to submit an amendment report"; the part "persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution" in Article 22 (1) shall be deemed to be replaced with "persons who have acquired the Securities issued by the person submitting the Semiannual Securities Report or Extraordinary Report, or amendment reports therefor"; and the term "the preceding paragraph" in Article 22 (2) shall be deemed to be replaced with "the preceding paragraph as applied mutatis mutandis pursuant to Article 24-5 (5)".
第六条の規定は、第一項(第三項において準用する場合を含む。次項から第十二項までにおいて同じ。)又は第四項の規定により半期報告書又は臨時報告書が提出された場合及び前項において準用する第七条、第九条第一項又は第十条第一項の規定によりこれらの報告書の訂正報告書が提出された場合について準用する。
(6)Article 6 shall apply mutatis mutandis to cases where a Semiannual Securities Report or Extraordinary Report is submitted under paragraph (1) (including the cases where it is applied mutatis mutandis pursuant to paragraph (3); the same shall apply in the following paragraph to paragraph (12)) or (4) and where an amendment report therefor is submitted under Article 7, 9(1) or 10(1) as applied mutatis mutandis pursuant to the preceding paragraph.
第一項の規定により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は、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場合には、第一項の規定による半期報告書に代えて、外国において開示が行われている半期報告書に類する書類であつて英語で記載されたもの(以下この条において「外国会社半期報告書」という。)を提出することができる。
(7)In the cases specified by a Cabinet Office Ordinance as cases where the public interest or protection of investors would not be impaired, a Reporting Foreign Company required to submit Semiannual Securities Reports under paragraph (1) may submit, instead of Semiannual Securities Reports to be submitted under paragraph (1), documents similar to Semiannual Securities Reports which are prepared in English and have been Disclosed in a Foreign State (such documents are hereinafter referred to as "Foreign Company Semiannual Securities Reports" in this Article).
外国会社半期報告書には、内閣府令で定めるところにより、当該外国会社半期報告書に記載されている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の要約の日本語による翻訳文、当該外国会社半期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内閣府令で定めるもの(以下この条において「補足書類」という。)を添付しなければならない。
(8)When a Foreign Company Semiannual Securities Report is submitted, Japanese translations of the summary of the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters stated in the Foreign Company Semiannual Securities Report and documents stating the matters specified by a Cabinet Office Ordinance as those necessary and appropriate for the public interest or protection of investors among the matters not stated in the Foreign Company Semiannual Securities Report, and other documents specified by a Cabinet Office Ordinance (such documents are hereinafter collectively referred to as "Supplementary Documents" in this Article) shall be attached to the Foreign Company Semiannual Securities Report, pursuant to the provisions of a Cabinet Office Ordinance.
前二項の規定により報告書提出外国会社が外国会社半期報告書及びその補足書類を提出した場合には、当該外国会社半期報告書及びその補足書類を半期報告書とみなし、これらの提出を半期報告書を提出したものとみなして、金融商品取引法令を適用する。
(9)The provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply to cases where a Reporting Foreign Company submits a Foreign Company Semiannual Securities Report and Supplementary Documents thereof under the preceding two paragraphs, by deeming the Foreign Company Semiannual Securities Report and Supplementary Documents to be a Semiannual Securities Report and deeming submission of the former to be submission of the latter.
10内閣総理大臣は、外国会社半期報告書を提出した報告書提出外国会社が第七項の外国会社半期報告書を提出することができる場合に該当しないと認めるときは、当該報告書提出外国会社に対し、その旨を通知しなければならない。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
(10)The Prime Minister shall, when he/she finds that a Reporting Foreign Company which submitted a Foreign Company Semiannual Securities Report does not satisfy the requirements for being allowed to submit a Foreign Company Semiannual Securities Report under paragraph (7), notify thereof to the Reporting Foreign Company.In this case, a hearing shall be held irrespective of the categories of procedures for hearing statements of opinion under Article 13 (1) of the Administrative Procedure Act.
11前項の規定による通知を受けた報告書提出外国会社は、第一項の規定にかかわらず、同項の規定による半期報告書を、当該通知があつた日を起算日として公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内に提出しなければならない。
(11)Notwithstanding the provision of paragraph (1), a Reporting Foreign Company, when receiving a notice made under the preceding paragraph, shall submit a Semiannual Securities Report set forth in paragraph (1) within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors after the day on which the notice is made.
12第七項から第九項までの規定は、第五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半期報告書及びその補足書類の訂正報告書を提出する場合について準用する。
(12)Paragraph (7) to paragraph (9) shall apply mutatis mutandis to cases where amendment reports are submitted to amend a Foreign Company Semiannual Securities Report submitted by a Reporting Foreign Company under Article 7, 9(1) or 10(1) as applied mutatis mutandis by replacing certain terms pursuant to paragraph (5) and Supplementary Documents thereof.
13第一項(第三項において準用する場合に限る。以下この項及び次項において同じ。)の規定により半期報告書を提出しなければならない会社が、内閣府令で定めるところにより、第一項に規定する内閣府令で定める事項の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「半期代替書面」という。)を半期報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第一項及び第二項の規定の適用については、第一項中「内閣府令で定める事項」とあるのは「内閣府令で定める事項(第十三項に規定する半期代替書面に記載された事項を除く。)」と、第二項中「同項に規定する事項」とあるのは「同項に規定する事項(第十三項に規定する半期代替書面に記載された事項を除く。)」とする。
(13)In cases where a company required to submit Semiannual Securities Reports under paragraph (1) (limited to cases where it is applied mutatis mutandis pursuant to paragraph (3); hereinafter the same shall apply in this paragraph and following paragraph) submits, pursuant to the provisions of a Cabinet Office Ordinance, documents containing descriptions on part of the matters specified by a Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as "Documents Substituting Part of a Semiannual Securities Report" in this paragraph and the following paragraph) together with a Semiannual Securities Report to the Prime Minister, with regard to the application of paragraph (1) and (2) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term "other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors" in paragraph (1) shall be deemed to be replaced with "other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (excluding matters stated in Documents Substituting Part of a Semiannual Securities Report as defined in paragraph (13))"; and the term "the matters set forth in the preceding paragraph" in paragraph (2) shall be deemed to be replaced with "the matters set forth in the preceding paragraph (excluding matters stated in Documents Substituting Part of a Semiannual Securities Report as defined in paragraph (13))."
14前項の規定により読み替えて適用する第一項の半期報告書と併せて半期代替書面を提出した場合には、当該半期代替書面を当該半期報告書の一部とみなし、当該半期代替書面を提出したことを当該半期代替書面を当該半期報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
(14)When Documents Substituting Part of a Semiannual Securities Report are submitted together with a Semiannual Securities Report set forth in paragraph (1) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of a Semiannual Securities Report to form a part of the Semiannual Securities Report and deeming submission of the Documents Substituting Part of a Semiannual Securities Report to be submission of the Documents Substituting Part of a Semiannual Securities Report as a part of the Semiannual Securities Report.
15第四項の規定により臨時報告書を提出しなければならない会社(第二十四条第五項において準用する同条第一項の規定による有価証券報告書を提出しなければならない会社に限る。)が、内閣府令で定めるところにより、第四項の規定による臨時報告書に記載すべき内容の一部を記載した書面(法令又は金融商品取引所の規則(これに類するものとして内閣府令で定めるものを含む。)に基づいて作成された書面に限る。以下この項及び次項において「臨時代替書面」という。)を臨時報告書と併せて内閣総理大臣に提出する場合において、公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けた場合における第四項の規定の適用については、同項中「その内容を記載した報告書」とあるのは、「その内容(第十五項に規定する臨時代替書面に記載された内容を除く。)を記載した報告書」とする。
(15)In cases where a company required to submit an Extraordinary Report under paragraph (4) (limited to a company which is required to submit Annual Securities Reports under Article 24 (1) as applied mutatis mutandis pursuant to Article 24 (5)) submits documents containing, pursuant to the provisions of a Cabinet Office Ordinance, descriptions on part of the matters to be stated in an Extraordinary Report set forth in paragraph (4) (limited to documents prepared based on laws and regulations or rules of a Financial Instruments Exchange (including those specified by a Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as "Documents Substituting Part of an Extraordinary Report" in this paragraph and the following paragraph) together with an Extraordinary Report to the Prime Minister, with regard to the application of paragraph (4) to cases approved by the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance as those where the public interest or protection of investors would not be impaired, the term "a report stating the details thereof" in paragraph (4) shall be deemed to be replaced with "a report stating the details thereof (excluding the details stated in Documents Substituting Part of an Extraordinary Report as defined in paragraph (15)."
16前項の規定により読み替えて適用する第四項の臨時報告書と併せて臨時代替書面を提出した場合には、当該臨時代替書面を当該臨時報告書の一部とみなし、当該臨時代替書面を提出したことを当該臨時代替書面を当該臨時報告書の一部として提出したものとみなして、金融商品取引法令の規定を適用する。
(16)When Documents Substituting Part of an Extraordinary Report are submitted together with an Extraordinary Report set forth in paragraph (4) as applied by replacing certain terms pursuant to the preceding paragraph, the provisions of the Financial Instruments and Exchange Act and Related Regulations shall apply by deeming the Documents Substituting Part of an Extraordinary Report to form a part of the Extraordinary Report and deeming submission of the Documents Substituting Part of an Extraordinary Report to be submission of the Documents Substituting Part of an Extraordinary Report as a part of the Extraordinary Report.
(確認書に関する規定の半期報告書への準用)
(Application Mutatis Mutandis of Provisions Concerning Confirmation Letter to Semiannual Securities Report)
第二十四条の五の二第二十四条の四の二の規定は、前条第一項(同条第三項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同条第五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訂正報告書を提出する場合について準用する。この場合において、第二十四条の四の二第一項中「有価証券報告書の記載内容」とあるのは「半期報告書(その訂正報告書を含む。以下この条において同じ。)の記載内容」と、「有価証券報告書等に代えて外国会社報告書」とあるのは「半期報告書に代えて外国会社半期報告書」と、「当該外国会社報告書」とあるのは「当該外国会社半期報告書」と、同条第二項中「有価証券報告書と併せて」とあるのは「半期報告書と併せて」と、同条第六項中「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する場合を含む。)の規定による確認書」とあるのは「第二十四条の五の二において読み替えて準用する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する場合を含む。)の規定による確認書」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
Article 24-5-2(1)Article 24-4-2 shall apply mutatis mutandis to cases where a Semiannual Securities Report is submitted under paragraph (1) of the preceding Article (including the cases where it is applied mutatis mutandis pursuant to Article 24-5 (3)) and where an amendment report is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis by replacing certain terms pursuant to Article 24-5 (5).In this case, the terms "a Foreign Company Report," "Foreign Company Reports are submitted instead of Annual Securities Reports, etc." and "statements contained in the Annual Securities Report" in Article 24-4-2 (1) shall be deemed to be replaced with "a Foreign Company Semiannual Securities Report," "Foreign Company Semiannual Securities Reports are submitted instead of Semiannual Securities Report" and "statements contained in the Semiannual Securities Report (including amendment reports therefor; hereinafter the same shall apply in this Article)," respectively; the term "together with an Annual Securities Report" in Article 24-4-2 (2) shall be deemed to be replaced with "together with an Semiannual Securities Report"; the part "a Confirmation Letter to be submitted under Article 24-4-2 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2 (3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2 (4)) or Article 24-4-2 (4))" in Article 24-4-2 (6) shall be deemed to be replaced with "a Confirmation Letter to be submitted under Article 24-4-2 (1) or (2) (including the cases where they are applied mutatis mutandis pursuant to Article 24-4-2 (3) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-2 (4)) or Article 24-4-2 (4)) as applied mutatis mutandis by replacing certain terms pursuant to Article 24-5-2"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第二十四条の四の三の規定は、前項の規定により提出した確認書の訂正確認書を提出する場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
(2)Article 24-4-3 shall apply mutatis mutandis to cases where an amendment Confirmation Letter for a Confirmation Letter submitted under the preceding paragraph is submitted.In this case, necessary technical replacement of terms shall be specified by a Cabinet Order.
(自己株券買付状況報告書の提出)
(Submission of Share Buyback Report)
第二十四条の六金融商品取引所に上場されている株券、流通状況が金融商品取引所に上場されている株券に準ずるものとして政令で定める株券その他政令で定める有価証券(以下この条、第二十七条の二十二の二から第二十七条の二十二の四まで及び第百六十七条において「上場株券等」という。)の発行者である会社は、会社法第百五十六条第一項(同法第百六十五条第三項の規定により読み替えて適用する場合を含む。)の規定による株主総会の決議又は取締役会の決議があつた場合には、内閣府令で定めるところにより、当該決議があつた株主総会又は取締役会(以下この項において「株主総会等」という。)の終結した日の属する月から同法第百五十六条第一項第三号に掲げる期間の満了する日の属する月までの各月(以下この項において「報告月」という。)ごとに、当該株主総会等の決議に基づいて各報告月中に行つた自己の株式に係る上場株券等の買付けの状況(買付けを行わなかつた場合を含む。)に関する事項その他の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事項を記載した報告書を、各報告月の翌月十五日までに、内閣総理大臣に提出しなければならない。
Article 24-6(1)A company which has issued share certificates listed in a Financial Instruments Exchange, share certificates specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to share certificates listed in a Financial Instruments Exchange or other Securities specified by a Cabinet Order (hereinafter collectively referred to as "Listed Share Certificates, etc." in this Article, Articles 27-22-2 to 27-22-4 and Article 167) shall, when a resolution of a shareholders meeting or board of directors' meeting set forth in Article 156 (1) of the Companies Act (including the cases where it is applied by replacing certain terms pursuant to Article 165 (3) of said Act) are made, submit a report which, pursuant to the provisions of a Cabinet Office Ordinance, states matters pertaining to the status of buyback of Listed Share Certificates, etc. issued by itself conducted based on the resolution of the shareholders meeting or board of directors' meeting (hereinafter referred to as the "Shareholders Meeting, etc." in this paragraph) during each month from the month which includes the day when the resolution of the Shareholders Meeting, etc. is made to the month which includes the day when the period set forth in Article 156 (1)(iii) of said Act is to expire (each month is referred to as the "Reporting Month" in this paragraph) (including the cases where no buyback is conducted) and other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors to the Prime Minister by the 15th day of the month following each Reporting Month.
第七条、第九条第一項及び第十条第一項の規定は前項に規定する報告書(以下「自己株券買付状況報告書」という。)について、第二十二条の規定は自己株券買付状況報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について、それぞれ準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「自己株券買付状況報告書(第二十四条の六第一項に規定する報告書をいう。以下この条、第九条第一項、第十条第一項及び第二十二条において同じ。)」と、「届出者」とあるのは「自己株券買付状況報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「自己株券買付状況報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「自己株券買付状況報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正報告書の提出」と、第二十二条第一項中「第二十一条第一項第一号及び第三号に掲げる者」とあるのは「当該自己株券買付状況報告書を提出した会社のその提出の時における役員」と、「有価証券届出書の届出者が発行者である有価証券を募集又は売出しによらないで取得した者」とあるのは「自己株券買付状況報告書の提出者が発行者である有価証券を取得した者」と、同条第二項中「第二十一条第二項第一号及び第二号」とあるのは「第二十一条第二項第一号」と、「前項」とあるのは「第二十四条の六第二項において準用する前項」と読み替えるものとする。
(2)Article 7, Article 9 (1) and Article 10 (1) shall apply mutatis mutandis to a report submitted under the preceding paragraph (hereinafter referred to as a "Share Buyback Report"), and Article 22 shall apply mutatis mutandis to cases where a Share Buyback Report contains any fake statement on important matters or lacks a statement an important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. In this case, the part "a statement set forth in Article 5 (1) or in other documents required under Article 5 (6), or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of such statement or such other documents for the public interest or protection of investors, during the period on or after the day when the notification was made under Article 4 (1) or (2) but before the day when the notification is to take effect" and the terms "the person making the notification" and "an amendment" in Article 7 shall be deemed to be replaced with "a Share Buyback Report (meaning report to be submitted under Article 24-6 (1); hereinafter the same shall apply in this Article, Article 9 (1), Article 10 (1) and Article 22), or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of a Share Buyback Report for the public interest or protection of investors," "the person submitting the Share Buyback Report" and "an amendment report," respectively; the terms "the person submitting them" and "an amendment" in Article 9 (1) shall be deemed to be replaced with "the person submitting the Share Buyback Report" and "an amendment report," respectively; the terms "the person submitting the Securities Registration Statement" and "to submit an amendment and may, when he/she finds it necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2)" in Article 10 (1) shall be deemed to be replaced with "the person submitting the Share Buyback Report" and "to submit an amendment report," respectively; the term "persons specified in Article 21 (1)(i) and (iii)" and the part "persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution" in Article 22 (1) shall be deemed to be replaced with "person who, at the time of submission of the Share Buyback Report, is an Officer of the company having submitted the Share Buyback Report" and "persons who have acquired the Securities issued by the person submitting the Share Buyback Report," respectively; the terms "Article 21 (2)(i) and (ii)" and "the preceding paragraph" in Article 22 (2) shall be deemed to be replaced with "Article 21 (2)(i)" and "the preceding paragraph as applied mutatis mutandis pursuant to Article 24-6 (2)," respectively.
第六条の規定は、第一項の規定により自己株券買付状況報告書が提出された場合及び前項において準用する第七条、第九条第一項又は第十条第一項の規定により当該報告書の訂正報告書が提出された場合について準用する。
(3)Article 6 shall apply mutatis mutandis to cases where a Share Buyback Report is submitted under the preceding paragraph and cases where an amendment report for Share Buyback Report is submitted under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis pursuant to the preceding paragraph.
(親会社等状況報告書の提出)
(Submission of Status Report of Parent Company, etc.)
第二十四条の七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なければならない会社(同項第一号又は第二号に掲げる有価証券の発行者であるものに限る。第四項、次条第五項及び第二十七条の三十の十において「提出子会社」という。)の議決権の過半数を所有している会社その他の当該有価証券報告書を提出しなければならない会社と密接な関係を有するものとして政令で定めるもの(第二十四条第一項(同条第五項において準用する場合を含む。第四項各号において同じ。)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会社その他内閣府令で定めるものを含む。)を除く。以下この条並びに次条第二項、第四項及び第五項において「親会社等」という。)は、内閣府令で定めるところにより、当該親会社等の事業年度(当該親会社等が特定有価証券の発行者である場合には、内閣府令で定める期間。以下この項及び次項において同じ。)ごとに、当該親会社等の株式を所有する者に関する事項その他の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事項を記載した報告書(以下「親会社等状況報告書」という。)を、当該事業年度経過後三月以内(当該親会社等が外国会社である場合には、公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内)に、内閣総理大臣に提出しなければならない。ただし、親会社等状況報告書を提出しなくても公益又は投資者保護に欠けることがないものとして政令で定めるところにより内閣総理大臣の承認を受けたときは、この限りでない。
Article 24-7(1)A company which holds the majority of voting rights of another company being required to submit Annual Securities Reports under Article 24 (1) (limited to those which have issued Securities listed in Article 24 (1)(i) or (ii); such a company is referred to as "Subsidiary Company Submitting Annual Securities Reports" in paragraph (4) of this Article, paragraph (5) of the following Article and Article 27-30-10) or otherwise has a close relationship as specified by a Cabinet Order with another company being required to submit Annual Securities Reports (excluding companies which are required to submit Annual Securities Reports under Article 24 (1) (including the cases where it is applied mutatis mutandis pursuant to Article 24 (5); the same shall apply in the items of paragraph (4) of this Article) (including those which submitted Annual Securities Reports under Article 23-3 (4) or specified by a Cabinet Office Ordinance); hereinafter referred to as a "Parent Company, etc." in this Article and paragraph (2) of the following Article, (4) and (5)) shall submit a report which, pursuant to the provisions of a Cabinet Office Ordinance, specifies matters pertaining to persons who hold shares of the Parent Company, etc. and other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors for each business year of the Parent Company, etc. (or the period specified by a Cabinet Office Ordinance in cases where the Parent Company, etc. is the Issuer of Regulated Securities; hereinafter the same shall apply in this paragraph and the following paragraph) (hereinafter referred to as the "Status Report of Parent Company, etc.") to the Prime Minister within three months after the end of each business year (or, in cases where the Parent Company, etc. is a foreign company, within the period specified by a Cabinet Order as the period necessary and appropriate for the public interest or protection of investors); provided, however, that this shall not apply to cases where the Prime Minister approves pursuant to the provisions of a Cabinet Order that even if the company does not submit Status Report of Parent Company, etc., the public interest or protection of investors would not be impaired.
前項本文の規定の適用を受けない会社が親会社等に該当することとなつたときは、当該親会社等に該当することとなつた会社は、内閣府令で定めるところにより、その該当することとなつた日の属する事業年度の直前事業年度に係る親会社等状況報告書を、遅滞なく、内閣総理大臣に提出しなければならない。ただし、親会社等状況報告書を提出しなくても公益又は投資者保護に欠けることがないものとして政令で定めるところにより内閣総理大臣の承認を受けたときは、この限りでない。
(2)When a company which has been excluded from the application of the main clause of the preceding paragraph becomes a Parent Company, etc., the company shall submit, pursuant to the provisions of a Cabinet Office Ordinance, a Status Report of Parent Company, etc. pertaining to the business year immediately prior to the business year that includes the day when the company becomes a Parent Company, etc. to the Prime Minister without delay; provided, however, that this shall not apply to cases where the Prime Minister approves pursuant to the provisions of a Cabinet Order that even if the company does not submit a Status Report of Parent Company, etc., the public interest or protection of investors would not be impaired
第七条、第九条第一項及び第十条第一項の規定は、親会社等状況報告書について準用する。この場合において、第七条中「第四条第一項又は第二項の規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第六項の規定による届出書類」とあるのは「親会社等状況報告書(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。)」と、「届出者」とあるのは「親会社等状況報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第九条第一項中「届出者」とあるのは「親会社等状況報告書の提出者」と、「訂正届出書」とあるのは「訂正報告書」と、第十条第一項中「届出者」とあるのは「親会社等状況報告書の提出者」と、「訂正届出書の提出を命じ、必要があると認めるときは、第四条第一項又は第二項の規定による届出の効力の停止」とあるのは「訂正報告書の提出」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(3)Article 7, Article 9 (1) and Article 10 (1) shall apply mutatis mutandis to a Status Report of Parent Company, etc.In this case, the part "a statement set forth in Article 5 (1) or in other documents required under Article 5 (6), or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of said statement or said other documents for the public interest or protection of investors, during the period on or after the day on which the notification was made under Article 4 (1) or (2) but before the day on which the notification is to take effect" in Article 7 shall be deemed to be replaced with "a Status Report of Parent Company, etc. (meaning Status Report of Parent Company, etc. as provided for in Article 24-7 (1); the same shall apply hereinafter), or there occurs any other circumstance provided for by a Cabinet Office Ordinance as that which requires amendment of a Status Report of Parent Company, etc. for the public interest or protection of investors"; the terms "the person making the notification" and "an amendment" in Article 7 shall be deemed to be replaced with "the person submitting the Status Report of Parent Company, etc." and "an amendment report," respectively; the terms "the person submitting them" and "an amendment" in Article 9 (1) shall be deemed to be replaced with "the person submitting the Status Report of Parent Company, etc." and "an amendment report," respectively: the term "the person submitting the Securities Registration Statement"; and the part "to submit an amendment and may, when he/she finds necessary, order the suspension of the effect of the notification made under Article 4 (1) or (2)" in Article 10 (1)) shall be deemed to be replaced with "the person submitting the Status Report of Parent Company, etc." and "to submit an amendment report," respectively; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
第一項本文若しくは第二項本文の規定により親会社等状況報告書を提出し、又は前項において準用する第七条、第九条第一項若しくは第十条第一項の規定により親会社等状況報告書の訂正報告書を提出した親会社等は、遅滞なく、これらの書類の写しを当該親会社等の提出子会社に送付するとともに、これらの書類の写しを次の各号に掲げる当該提出子会社が発行者である有価証券の区分に応じ、当該各号に定める者に提出しなければならない。
(4)A Parent Company, etc. shall, when it submits a Status Report of Parent Company, etc. under the main clause of paragraph (1) or the main clause of paragraph (2) or submits an amendment report for a Status Report of Parent Company, etc. under Article 7, Article 9 (1) and Article 10 (1) as applied mutatis mutandis pursuant to the preceding paragraph, send a copy thereof to the Subsidiary Company Submitting Annual Securities Reports without delay, and also submit a copy thereof to the exchange or association specified in the following items for each kind of Securities set forth in the respective items:
第二十四条第一項第一号に掲げる有価証券同号の金融商品取引所
(i)Securities falling under the category specified in Article 24 (1)(i):the Financial Instruments Exchange referred to in Article 24 (1)(i); or
第二十四条第一項第二号に掲げる有価証券政令で定める認可金融商品取引業協会
(ii)Securities falling under the category specified in Article 24 (1)(ii):the Authorized Financial Instruments Firms Association specified by a Cabinet Order.
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の規定は、外国会社である親会社等が親会社等状況報告書を提出する場合について準用する。この場合において、同条第八項中「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。)」とあるのは「外国会社である親会社等(第二十四条の七第一項に規定する親会社等をいう。以下この条において同じ。)」と、「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」とあるのは「親会社等状況報告書に記載すべき事項を記載した」と、同条第九項中「、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」とあるのは「その他」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(5)Article 24 (8), (9) and (11) to (13) shall apply mutatis mutandis to cases where a Parent Company, etc. which is a foreign company submits a Status Report of Parent Company, etc. In this case, the parts "a foreign company," ") (including foreign companies which have submitted Annual Securities Reports under Article 23-3 (4); hereinafter referred as to "Reporting Foreign Company")," and "and are similar to Annual Securities Reports, etc. Disclosed in a Foreign State (meaning the state of having been made available for public inspection under 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 a Cabinet Office Ordinance); the same shall apply hereinafter in Articles 24-4-7(6) and 24-5(7))" in Article 24 (8) shall be deemed to be replaced with "a Parent Company, etc. which is a foreign company (meaning Parent Company, etc. as defined by Article 24-7 (1); hereinafter the same shall apply in this Article)," ")," and "and states the matters to be stated in the Status Report of Parent Company, etc.," respectively; the part "documents stating the matters specified by a Cabinet Office Ordinance 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" in Article 24 (9) shall be deemed to be replaced with "other"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
前各項の規定は、親会社等が会社以外の者である場合について準用する。この場合において、第一項中「議決権の過半数を所有している会社」とあるのは「議決権の過半数を所有している会社以外の者」と、「密接な関係を有するものとして政令で定めるもの」とあるのは「密接な関係を有する会社以外の者として政令で定める会社以外の者」と、「親会社等の株式を所有する者」とあるのは「親会社等の出資者その他の者」と、第二項中「会社が」とあるのは「会社以外の者が」と、「会社は」とあるのは「会社以外の者は」と、前項中「外国会社である」とあるのは「外国の者である」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
(6)The provisions of the preceding paragraphs shall apply mutatis mutandis to cases where the Parent Company, etc. is not a company.In this case, the parts "A company which holds the majority of voting rights," "otherwise has a close relationship as specified by a Cabinet Order" and "persons who hold shares of the Parent Company, etc." in paragraph (1) shall be deemed to be replaced with "A person other than company which holds the majority of voting rights," "is a person other than company who otherwise has a close relationship as specified by a Cabinet Order" and "equity investors of the Parent Company, etc. and other person," respectively; and the terms "a company" and "the company" in paragraph (2) shall be deemed to be replaced with "a person other than company" and "the person other than company," respectively; the term "which is a foreign company" in the preceding paragraph shall be deemed to be replaced with "which is a foreign person"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order.
(有価証券届出書等の公衆縦覧)
(Public Inspection of Securities Registration Statement, etc.)
第二十五条内閣総理大臣は、内閣府令で定めるところにより、次の各号に掲げる書類を、これらの書類を受理した日から当該各号に定める期間を経過する日(当該各号に掲げる訂正届出書、訂正発行登録書、訂正報告書又は訂正確認書にあつては、当該訂正の対象となつた当該各号に掲げる第五条第一項及び第六項の規定による届出書及びその添付書類、同条第四項の規定の適用を受ける届出書及びその添付書類、発行登録書及びその添付書類、有価証券報告書及びその添付書類、確認書、内部統制報告書及びその添付書類、四半期報告書、半期報告書、臨時報告書、自己株券買付状況報告書又は親会社等状況報告書に係る当該経過する日、第五号及び第九号に掲げる確認書(当該確認書の対象が有価証券報告書及びその添付書類の訂正報告書、四半期報告書の訂正報告書又は半期報告書の訂正報告書である場合に限る。)にあつては、当該訂正の対象となつた有価証券報告書及びその添付書類、四半期報告書又は半期報告書に係る当該経過する日)までの間、公衆の縦覧に供しなければならない。
Article 25(1)The Prime Minister shall, pursuant to the provisions of a Cabinet Office Ordinance, make documents listed in the following items available for public inspection for the period specified in the respective items from the day when he/she receives the document (for an amendment, Amended Shelf Registration Statement, amendment reports and amendment Confirmation Letter listed in the following items, the period specified in the respective items from the day when he/she receives the statements and documents attached thereto submitted under Article 5 (1) and (6), the statement and documents attached thereto to which Article 5 (4) is applicable, the Shelf Registration Statement and documents attached thereto, the Annual Securities Report and documents attached thereto, the Confirmation Letter, the Internal Control Report and documents attached thereto, the Quarterly Securities Report, the Semiannual Securities Report, the Extraordinary Report, the Share Buyback Report, or the Status Report of Parent Company, etc. for which the amendment, Amended Shelf Registration Statement, amendment reports or amendment Confirmation Letter is submitted; and for a Confirmation Letter listed in item (v) and (ix) (limited to cases where confirmation by the Confirmation Letter is made for an amendment report submitted for an Annual Securities Report and documents attached thereto, an amendment report submitted for a Quarterly Securities Report or an amendment report submitted for a Semiannual Securities Report), the period specified in the respective items from the day when he/she receives the Annual Securities Report and documents attached thereto, the Quarterly Securities Report or the Semiannual Securities Report for which the amendment report is submitted):
第五条第一項及び第六項の規定による届出書及びその添付書類並びにこれらの訂正届出書(同条第四項の規定の適用を受ける届出書及びその添付書類並びにこれらの訂正届出書を除く。)五年
(i)a statement and documents attached thereto submitted under Article 5 (1) and (6), and an amendment submitted for any of these documents (excluding statements and documents attached thereto, and amendments submitted for any of these documents, to which Article 5 (4) is applicable):five years;
第五条第四項の規定の適用を受ける届出書及びその添付書類並びにこれらの訂正届出書一年
(ii)a statement and documents attached thereto, and an amendment submitted for any of these documents, to which Article 5 (4) is applicable:one year;
発行登録書及びその添付書類、発行登録追補書類及びその添付書類並びにこれらの訂正発行登録書発行登録が効力を失うまでの期間
(iii)a Shelf Registration Statement and documents attached thereto, Shelf Registration Supplements and documents attached thereto, and an Amended Shelf Registration Statement submitted for any of these documents:until the Shelf Registration Statement ceases to be effective;
有価証券報告書及びその添付書類並びにこれらの訂正報告書五年
(iv)an Annual Securities Report and documents attached thereto, and an amendment report submitted for any of these documents:five years;
第二十四条の四の二の規定による確認書及びその訂正確認書五年
(v)a Confirmation Letter submitted under Article 24-4-2 and an amendment Confirmation Letter submitted therefor:five years;
内部統制報告書及びその添付書類並びにこれらの訂正報告書五年
(vi)an Internal Control Report and documents attached thereto, and an amendment report submitted for any of these documents:five years;
四半期報告書及びその訂正報告書三年
(vii)a Quarterly Securities Report and an amendment report submitted therefor:three years;
半期報告書及びその訂正報告書三年
(viii)a Semiannual Securities Report and an amendment report submitted therefor:three years;
第二十四条の四の八及び第二十四条の五の二において準用する第二十四条の四の二の規定による確認書及びその訂正確認書三年
(ix)a Confirmation Letter submitted under Article 24-4-2 as applied mutatis mutandis pursuant to Article 24-4-8 or Article 24-5-2, and an amendment Confirmation Letter submitted therefor:three years;
臨時報告書及びその訂正報告書一年
(x)an Extraordinary Report and an amendment report submitted therefor:one year;
十一自己株券買付状況報告書及びその訂正報告書一年
(xi)a Share Buyback Report and an amendment report submitted therefor:one year; and
十二親会社等状況報告書及びその訂正報告書五年
(xii)a Status Report of Parent Company, etc. and an amendment report submitted therefor:five years.
有価証券の発行者で前項第一号から第十一号までに掲げる書類を提出したもの及び有価証券の発行者の親会社等が同項第十二号に掲げる書類を提出した場合の当該発行者は、これらの書類の写しを、内閣府令で定めるところにより、当該発行者の本店及び主要な支店に備え置き、これらの書類を内閣総理大臣に提出した日から当該各号に掲げる期間を経過する日までの間、公衆の縦覧に供しなければならない。
(2)The Issuer of Securities shall, when he/she submits documents listed in items (i) to (xi) of the preceding paragraph or when his/her Parent Company, etc. submits documents listed in item (xii) of the preceding paragraph, keep a copy of these documents at his/her head office and principal branch offices and make these documents available for public inspection for the period from the day when these documents are submitted to the Prime Minister to the day when the period specified in the respective items of the preceding paragraph is elapsed, pursuant to the provisions of a Cabinet Office Ordinance.
金融商品取引所及び政令で定める認可金融商品取引業協会は、第六条(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(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(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する場合を含む。第五項において同じ。)及び前条第四項の規定により提出された第一項各号に掲げる書類の写しを、内閣府令で定めるところにより、その事務所に備え置き、これらの書類の写しの提出があつた日から当該各号に掲げる期間を経過する日までの間、公衆の縦覧に供しなければならない。
(3)A Financial Instruments Exchange and an Authorized Financial Instruments Firms Association specified by the Cabinet Order shall, pursuant to the provisions of a Cabinet Office Ordinance, keep copies of the documents submitted under Article 6 (including the cases where it is applied mutatis mutandis pursuant to Article 12, 23-12(1), Article 24 (7), Article 24-2 (3), Article 24-4-2 (5) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-8 (1) and Article 24-5-2 (1)), Article 24-4-3 (2) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-8 (2) and Article 24-5-2 (2)), Article 24-4-4 (5), Article 24-4-5 (2), Article 24-4-7 (5), Article 24-5 (6) and Article 24-6 (3); the same shall apply in paragraph (5)) and paragraph (4) of the preceding Article at their office and make copies of these documents listed in the items of paragraph (1) available for public inspection for the period from the day when the copies of these documents are submitted to the day when the period specified in the respective items is elapsed.
有価証券の発行者で第一項第一号から第十号までに掲げる書類を提出したもの及び親会社等で同項第十二号に掲げる書類を提出したものがその事業上の秘密の保持の必要により前三項に規定する書類の一部について公衆の縦覧に供しないことを内閣総理大臣に申請し、内閣総理大臣が当該申請を承認した場合においては、前三項の規定にかかわらず、その一部は、公衆の縦覧に供しないものとする。
(4)Notwithstanding the preceding three paragraphs, when the Issuer of Securities who submits documents listed in items (i) to (xi) of paragraph (1) or the Parent Company, etc. who submits documents listed in item (xii) of said paragraph submits an application that requires exclusion of part of the documents referred to in the preceding three paragraphs from making available for public inspection by reason of necessity to keep confidentiality of a business secret to the Prime Minister and the Prime Minister approves it, the part of the documents pertaining to the application shall not be made available for public inspection.
前項の承認を受けた有価証券の発行者及び親会社等が第六条及び前条第四項の規定により第一項各号に掲げる書類の写しを提出子会社に送付し、又は金融商品取引所若しくは政令で定める認可金融商品取引業協会に提出する場合には、前項の規定により公衆の縦覧に供しないこととされた部分をこれらの書類の写しから削除して送付し、又は提出することができる。
(5)When the Issuer of Securities or the Parent Company, etc. sends a copy of the documents listed in the items of paragraph (1) to the Subsidiary Company Submitting Annual Securities Reports or submits the copy to the Financial Instruments Exchange or an Authorized Financial Instruments Firms Association specified by a Cabinet Order under Article 6 or paragraph (4) of the preceding Article, if the Issuer of Securities or the Parent Company, etc. obtains approval under the preceding paragraph, the Issuer of Securities or the Parent Company, etc. may remove or delete the part of documents that is exempted from public inspection under the preceding paragraph from the documents to be send or submitted.
(届出者等に対する報告の徴取及び検査)
(Order for Production of Report by Person Who Submits Securities Registration Statement, etc. and Inspection on Such Person)
第二十六条内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、有価証券届出書の届出者、発行登録書の提出者、有価証券報告書の提出者、自己株券買付状況報告書の提出者、親会社等状況報告書の提出者若しくは有価証券の引受人その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をしてその者の帳簿書類その他の物件を検査させることができる。
Article 26When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order the person who submits a Securities Registration Statement, Shelf Registration Statement, Annual Securities Report, Share Buyback Report or Status Report of Parent Company, etc. or an Underwriter of the Securities or other person concerned or witnesses to submit reports or materials that will be helpful, or have the officials inspect the books and documents or other articles held by these persons.
(会社以外の発行者に関する準用規定)
(Application Mutatis Mutandis of Relevant Provisions for Issuer Who is Not a Company)
第二十七条第二条の二、第五条から第十三条まで、第十五条から第二十四条の五の二まで及び第二十四条の七から前条までの規定は、発行者が会社以外の者(第二十四条第八項から第十三項まで、第二十四条の二第四項、第二十四条の四の二第六項(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三項、第二十四条の四の四第六項、第二十四条の四の五第三項、第二十四条の四の七第六項から第十一項まで及び第二十四条の五第七項から第十二項までの規定にあつては外国の者に限る。)である場合について準用する。この場合において、第二十四条第八項中「外国会社(」とあるのは「会社以外の外国の者(」と、同項、同条第十項から第十三項まで、第二十四条の二第四項、第二十四条の四の七第六項及び第八項から第十一項まで並びに第二十四条の五第七項及び第九項から第十二項までの規定中「報告書提出外国会社」とあるのは「報告書提出外国者」と読み替えるものとするほか、必要な技術的読替えその他これらの規定の適用に関し必要な事項は、政令で定める。
Article 27Article 2-2, Articles 5 to 13, Articles 15 to 24-5-2 and Articles 24-7 to the preceding Article shall apply mutatis mutandis to cases where the Issuer is not a company (with regard to application mutatis mutandis of Article 24 (8) to (13), Article 24-2 (4), Article 24-4-2 (6) (including the cases where it is applied mutatis mutandis pursuant to Article 24-4-8 (1) and Article 24-5-2 (1)), Article 24-4-3 (3), Article 24-4-4 (6), Article 24-4-5 (3), Article 24-4-7 (6) to (11) and Article 24-5 (7) to (12), limited to cases where the Issuer is a foreign person).In this case, "a foreign company" in Article 24 (8) shall be deemed to be replaced with "a foreign person other than foreign company"; the term "Reporting Foreign Company" in Article 24 (8), Article 24 (10) to (13), Article 24-2 (4), Article 24-4-7 (6) and (8) to (11) and Article 24-5 (7) and (9) to (12) shall be deemed to be replaced with "Reporting Foreign Person"; and any other necessary technical replacement of terms or other matters necessary for application of these provisions shall be specified by a Cabinet Order.
第二章の二 公開買付けに関する開示
Chapter II-2 Disclosure Required for 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 Offer for Share Certificates, etc. by Person Other than Issuer
(発行者以外の者による株券等の公開買付け)
(Tender Offer for Share Certificates, etc. by Person Other than Issuer)
第二十七条の二その株券、新株予約権付社債券その他の有価証券で政令で定めるもの(以下この章及び第二十七条の三十の十一(第四項を除く。)において「株券等」という。)について有価証券報告書を提出しなければならない発行者の株券等につき、当該発行者以外の者が行う買付け等(株券等の買付けその他の有償の譲受けをいい、これに類するものとして政令で定めるものを含む。以下この節において同じ。)であつて次のいずれかに該当するものは、公開買付けによらなければならない。ただし、新株予約権を有する者が当該新株予約権を行使することにより行う株券等の買付け等及び株券等の買付け等を行う者がその者の特別関係者(第七項第一号に掲げる者のうち内閣府令で定めるものに限る。)から行う株券等の買付け等その他政令で定める株券等の買付け等は、この限りでない。
Article 27-2(1)As for Shares, bonds with share option and other Securities specified by a Cabinet Order (hereinafter collectively referred to as "Share Certificates, etc." in this Chapter and Article 27-30-11 (excluding Article 27-30-11 (4))) for which their Issuer is required to submit Annual Securities Reports, Purchase, etc. (meaning purchase or other type of acceptance of transfer for value of Share Certificates, etc. and including acts specified by a Cabinet Order as being similar to such acceptance; hereinafter the same shall apply in this Section) of them shall be made by means of a Tender Offer, if the Purchase, etc. is made by a person other than the Issuer and falls under any of the categories listed in the following items; provided, however, that this shall not apply to Purchase, etc. of Share Certificates, etc. conducted as exercise of share option by the holder thereof, Purchase, etc. of Share Certificates, etc. from Persons in Special Relationship with the person conducting Purchase, etc. of Share Certificates, etc.(limited to such persons specified in item (i) of paragraph (7) and specified by a Cabinet Office Ordinance) or other Purchase, etc. of Share Certificates, etc. so specified by a Cabinet Order:
取引所金融商品市場外における株券等の買付け等(取引所金融商品市場における有価証券の売買等に準ずるものとして政令で定める取引による株券等の買付け等及び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における株券等の買付け等を除く。)の後におけるその者の所有(これに準ずるものとして政令で定める場合を含む。以下この節において同じ。)に係る株券等の株券等所有割合(その者に特別関係者(第七項第一号に掲げる者については、内閣府令で定める者を除く。)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。以下この項において同じ。)が百分の五を超える場合における当該株券等の買付け等
(i)Purchase, etc. of Share Certificates, etc. conducted outside of Financial Instruments Exchange Markets (excluding Purchase, etc. of Share Certificates, etc. conducted through transactions specified by a Cabinet Order as being equivalent to sales and purchase or the like of Securities conducted in Financial Instruments Exchange Markets and Purchase, etc. of Share Certificates, etc. which is specified by a Cabinet Order as Purchase, etc. from an extremely small number of persons) after which the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession (including cases specified by a Cabinet Order as equivalent to possession of Share Certificates, etc.; hereinafter the same shall apply in this Section) of the person who conducted the Purchase, etc. (or, in cases where there are Persons in Special Relationship with the person who conducted the Purchase, etc.(excluding Persons in Special Relationship specified in item (i) of paragraph (7) and specified by a Cabinet Office Ordinance), the Share Certificates, etc. Holding Rate calculated by adding the Share Certificates, etc. Holding Rate of the Persons in Special Relationship to that for the person who conducted the Purchase, etc.; hereinafter the same shall apply in this paragraph) exceeds five percent;
取引所金融商品市場外における株券等の買付け等(取引所金融商品市場における有価証券の売買等に準ずるものとして政令で定める取引による株券等の買付け等を除く。第四号において同じ。)であつて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における株券等の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
(ii)Purchase, etc. of Share Certificates, etc. conducted outside of Financial Instruments Exchange Markets (excluding Purchase, etc. of Share Certificates, etc. conducted through transactions specified by a Cabinet Order as being equivalent to sales and purchase or the like of Securities conducted in Financial Instruments Exchange Markets; the same shall apply in paragraph (iv)) which falls under the categories of Purchase, etc. of Share Certificates, etc. which is specified by a Cabinet Order as Purchase, etc. from an extremely small number of persons and after which the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person who conducted the Purchase, etc. exceeds one third;
取引所金融商品市場における有価証券の売買等であつて競売買の方法以外の方法による有価証券の売買等として内閣総理大臣が定めるもの(以下この項において「特定売買等」という。)による買付け等による株券等の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が三分の一を超える場合における特定売買等による当該株券等の買付け等
(iii)Sales and purchase or the like of Securities conducted at Financial Instruments Exchange Markets through sales and purchase, etc. of Share Certificates, etc. using a method that is designated by the Prime Minister as a method other than the method of auction (such sales and purchase, etc. of Share Certificates, etc. are hereinafter referred to as "Specified Sales and Purchase, etc." in this paragraph) after which the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person who conducted the Purchase, etc. exceeds one third;
六月を超えない範囲内において政令で定める期間内に政令で定める割合を超える株券等の取得を株券等の買付け等又は新規発行取得(株券等の発行者が新たに発行する株券等の取得をいう。以下この号において同じ。)により行う場合(株券等の買付け等により行う場合にあつては、政令で定める割合を超える株券等の買付け等を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(公開買付けによるものを除く。)により行うときに限る。)であつて、当該買付け等又は新規発行取得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が三分の一を超えるときにおける当該株券等の買付け等(前三号に掲げるものを除く。)
(iv)Purchase, etc. of Share Certificates, etc. in cases where acquisition of Share Certificates, etc. in excess of the proportion specified by a Cabinet Order during the period specified by a Cabinet Order not exceeding six months is made by Purchase, etc. of Share Certificates, etc. or Acquisition of Newly Issued Share Certificates, etc. (meaning acquisition of Share Certificates, etc. which is newly issued by its Issuer; hereinafter the same shall apply in this item) (in cases where such acquisition of Share Certificates, etc. is made by Purchase, etc. of Share Certificates, etc., limited to Purchase, etc. of Share Certificates, etc. in excess of the proportion specified by a Cabinet Order conducted through Specified Sales and Purchase, etc. or outside of Financial Instruments Exchange Markets (excluding that conducted by a Tender Offer)) and the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person who conducted the Purchase, etc. of Share Certificates, etc. exceeds one third after the Purchase, etc. of Share Certificates, etc. or the Acquisition of Newly Issued Share Certificates, etc. (excluding those listed in the preceding three items);
当該株券等につき公開買付けが行われている場合において、当該株券等の発行者以外の者(その者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限る。)が六月を超えない範囲内において政令で定める期間内に政令で定める割合を超える株券等の買付け等を行うときにおける当該株券等の買付け等(前各号に掲げるものを除く。)
(v)Purchase, etc. of Share Certificates, etc. to be made in excess of the proportion specified by a Cabinet Order during the period specified by a Cabinet Order not exceeding six months by a person other than the Issuer of the Share Certificates, etc. (limited to cases where the Share Certificates, etc. Holding Rate of Share Certificates, etc. in possession by the person exceeds one third) in cases where another person's Tender Offer is made for the Share Certificates, etc., (excluding those listed in the preceding items); and
その他前各号に掲げる株券等の買付け等に準ずるものとして政令で定める株券等の買付け等
(vi)other Purchase, etc. of Share Certificates, etc. specified by a Cabinet Order as being equivalent to Purchase, etc. of Share Certificates, etc. listed in any of the preceding items.
前項本文に規定する公開買付けによる株券等の買付け等は、政令で定める期間の範囲内で買付け等の期間を定めて、行わなければならない。
(2)Purchase, etc. of Share Certificates, etc. by means of Tender Offer required under the main clause of the preceding paragraph shall be made by setting a period for Purchase, etc. which may not exceed the period specified by a Cabinet Order.
第一項本文に規定する公開買付けによる株券等の買付け等を行う場合には、買付け等の価格(買付け以外の場合にあつては、買付けの価格に準ずるものとして政令で定めるものとする。以下この節において同じ。)については、政令で定めるところにより、均一の条件によらなければならない。
(3)When Purchase, etc. of Share Certificates, etc. is made by means of Tender Offer as required by the main clause of paragraph (1), the price for the Purchase, etc. (or, in cases where the Purchase, etc. is made by other type of acceptance of transfer for value than purchase, what is specified by a Cabinet Order as being equivalent to price for Purchase, etc.; hereinafter the same shall apply in this Section) shall be set on the same conditions for all offerees, pursuant to the provisions of a Cabinet Order.
第一項本文に規定する公開買付けによる株券等の買付け等を行う場合には、株券等の管理、買付け等の代金の支払その他の政令で定める事務については、金融商品取引業者(第二十八条第一項に規定する第一種金融商品取引業を行う者に限る。第二十七条の十二第三項において同じ。)又は銀行等(銀行、協同組織金融機関その他政令で定める金融機関をいう。第二十七条の十二第三項において同じ。)に行わせなければならない。
(4)When Purchase, etc. of Share Certificates, etc. is made by means of Tender Offer as required by the main clause of paragraph (1), management of Share Certificates, etc., payment for the Purchase, etc. and other affairs specified by a Cabinet Order shall be performed by a Financial Instruments Business Operator (limited to those engaged in Type I Financial Instruments Business as defined in Article 28 (1); the same shall apply in Article 27-12 (3)) or a Bank, etc. (meaning a bank, Cooperative Structured Financial Institution or other financial institution specified by a Cabinet Order; the same shall apply in Article 27-12 (3)).
第一項本文に規定する公開買付けによる株券等の買付け等を行う場合には、前三項の規定その他この節に定めるところによるほか、政令で定める条件及び方法によらなければならない。
(5)When Purchase, etc. of Share Certificates, etc. is made by means of Tender Offer as required by the main clause of paragraph (1), it shall be implemented pursuant to the conditions and methods specified by a Cabinet Order, in addition to what are prescribed in the preceding three paragraphs and other provisions of this Section.
この条において「公開買付け」とは、不特定かつ多数の者に対し、公告により株券等の買付け等の申込み又は売付け等(売付けその他の有償の譲渡をいう。以下この章において同じ。)の申込みの勧誘を行い、取引所金融商品市場外で株券等の買付け等を行うことをいう。
(6)The term "Tender Offer" as used in this Article means an act of soliciting offers for Purchase, etc. or Sales, etc. (meaning sales or other type of transfer for value; hereinafter the same shall apply in this Section) of Share Certificates, etc. from many and unspecified persons through public notice, and making Purchase, etc. of Share Certificates, etc. outside of Financial Instruments Exchange Markets.
第一項の「特別関係者」とは、次に掲げる者をいう。
(7)The term "Persons in Special Relationship" as used in paragraph (1) means the following persons:
株券等の買付け等を行う者と、株式の所有関係、親族関係その他の政令で定める特別の関係にある者
(i)persons having a shareholder relationship, family relationship or other special relationship specified by a Cabinet Order with the person conducting Purchase, etc. of Share Certificates, etc.; and
株券等の買付け等を行う者との間で、共同して当該株券等を取得し、若しくは譲渡し、若しくは当該株券等の発行者の株主としての議決権その他の権利を行使すること又は当該株券等の買付け等の後に相互に当該株券等を譲渡し、若しくは譲り受けることを合意している者
(ii)persons having agreed with the person conducting Purchase, etc. of Share Certificates, etc. to jointly acquire or transfer the Share Certificates, etc. or to jointly exercise voting rights or other rights as shareholders of the Issuer of the Share Certificates, etc., or to transfer or accept transfer of the Share Certificates, etc. between them after the Purchase, etc. of the Share Certificates, etc.
第一項の「株券等所有割合」とは、次に掲げる割合をいう。
(8)The term "Share Certificates, etc. Holding Rate" as used in paragraph (1) means either of the following:
株券等の買付け等を行う者にあつては、内閣府令で定めるところにより、その者の所有に係る当該株券等(その所有の態様その他の事情を勘案して内閣府令で定めるものを除く。以下この項において同じ。)に係る議決権の数(株券については内閣府令で定めるところにより計算した株式に係る議決権の数を、その他のものについては内閣府令で定めるところにより換算した株式に係る議決権の数をいう。以下この項において同じ。)の合計を、当該発行者の総議決権の数にその者及びその者の特別関係者の所有に係る当該発行者の発行する新株予約権付社債券その他の政令で定める有価証券に係る議決権の数を加算した数で除して得た割合
(i)as for the person conducting Purchase, etc. of Share Certificates, etc., the rate obtained, pursuant to the provisions of a Cabinet Office Ordinance, by dividing the total of the number of the voting rights (meaning the number of voting rights represented by shares calculated pursuant to the provisions of a Cabinet Office Ordinance in the case of share certificates, or the number of voting rights represented by shares calculated by converting Securities other than share certificates into shares pursuant to the provisions of a Cabinet Office Ordinance in the case of Securities other than share certificates; hereinafter the same shall apply in this paragraph) pertaining to the Share Certificates, etc. in possession by that person (excluding those specified by a Cabinet Office Ordinance considering the manner of holding or other circumstances; hereinafter the same shall apply in this paragraph), by the number obtained by adding the total number of voting rights issued by the Issuer to the number of voting rights pertaining to bonds with share option or other Securities specified by a Cabinet Order issued by the Issuer and held by that person and Persons in Special Relationship with that person; or
前項の特別関係者(同項第二号に掲げる者で当該株券等の発行者の株券等の買付け等を行うものを除く。)にあつては、内閣府令で定めるところにより、その者の所有に係る当該株券等に係る議決権の数の合計を、当該発行者の総議決権の数にその者及び前号に掲げる株券等の買付け等を行う者の所有に係る当該発行者の発行する新株予約権付社債券その他の政令で定める有価証券に係る議決権の数を加算した数で除して得た割合
(ii)as for Persons in Special Relationship as defined in the preceding paragraph (excluding persons who fall under the category specified in item (ii) of the preceding paragraph and conduct Purchase, etc. of any Share Certificates, etc. issued by the Issuer of the Share Certificates, etc.), the rate obtained, pursuant to the provisions of a Cabinet Office Ordinance, by dividing the total of the number of the voting rights pertaining to the Share Certificates, etc. in possession by that person, by the number obtained by adding the total number of voting rights issued by the Issuer to the number of voting rights pertaining to bonds with share option or other Securities specified by a Cabinet Order issued by the Issuer and held by that person and the person conducting the Purchase, etc. of the Share Certificates, etc. referred to in the preceding item.
(公開買付開始公告及び公開買付届出書の提出)
(Public Notice for Commencing Tender Offer and Tender Offer Notification)
第二十七条の三前条第一項本文の規定により同項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。)によつて株券等の買付け等を行わなければならない者は、政令で定めるところにより、当該公開買付けについて、その目的、買付け等の価格、買付予定の株券等の数(株券については株式の数を、その他のものについては内閣府令で定めるところにより株式に換算した数をいう。以下この節において同じ。)、買付け等の期間その他の内閣府令で定める事項を公告しなければならない。この場合において、当該買付け等の期間が政令で定める期間より短いときは、第二十七条の十第三項の規定により当該買付け等の期間が延長されることがある旨を当該公告において明示しなければならない。
Article 27-3(1)The person who is required under the main clause of paragraph (1) of the preceding Article to make Purchase, etc. of Share Certificates, etc. by means of Tender Offer provided for by Article 27-2 (1) (hereinafter referred to as the "Tender Offer" in this Section) shall, pursuant to the provisions of a Cabinet Order, make a public notice of the purpose of the Tender Offer, the price for Purchase, etc., the Number of Share Certificates, etc. Planned to be Purchased (meaning the number of shares in the case of share certificates, or the number of shares calculated by converting Securities other than share certificates into shares pursuant to the provisions of a Cabinet Office Ordinance in the case of Securities other than share certificates; hereinafter the same shall apply in this Section), the period of Purchase, etc. and other matters specified by a Cabinet Office Ordinance with regard to the Tender Offer.In this case, when the period of Purchase, etc. is shorter than the period specified by a Cabinet Order, to the effect that the period of Purchase, etc. may be extended under Article 27-10 (3) shall be clearly indicated in the public notice.
前項の規定による公告(以下この節において「公開買付開始公告」という。)を行つた者(以下この節において「公開買付者」という。)は、内閣府令で定めるところにより、当該公開買付開始公告を行つた日に、次に掲げる事項を記載した書類及び内閣府令で定める添付書類(以下この節並びに第百六十七条、第百九十七条及び第百九十七条の二において「公開買付届出書」という。)を内閣総理大臣に提出をしなければならない。ただし、当該提出をしなければならない日が日曜日その他内閣府令で定める日に該当するときは、これらの日の翌日に提出するものとする。
(2)The person who makes a public notice under the preceding paragraph (hereinafter referred to as a "Public Notice for Commencing Tender Offer" in this Section) (such a person is hereinafter referred to as a "Tender Offeror" in this Section) shall, pursuant to the provisions of a Cabinet Office Ordinance, submit a document containing the following matters and documents specified by a Cabinet Office Ordinance as those to be attached thereto (hereinafter collectively referred to as the "Tender Offer Notification" in this Section and Articles 167, 197, 197-2) to the Prime Minister on the day when the Public Notice for Commencing Tender Offer is made; provided, however, that, if the day on which the Tender Offer Notification shall be submitted falls on a Sunday or other day specified by a Cabinet Office Ordinance, the Tender Offer Notification shall be submitted on the following day:
買付け等の価格、買付予定の株券等の数、買付け等の期間(前項後段の規定により公告において明示した内容を含む。)、買付け等に係る受渡しその他の決済及び公開買付者が買付け等に付した条件(以下この節において「買付条件等」という。)
(i)the price for Purchase, etc., the Number of Share Certificates, etc. Planned to be Purchased, the period of Purchase, etc. (including the statement included in the public notice under the second sentence of the preceding paragraph), the transfer and other settlement procedures and other terms of Purchase, etc. set by the Tender Offeror (hereinafter collectively referred to as the "Terms of Purchase, etc." in this Section);
当該公開買付開始公告をした日以後において当該公開買付けに係る株券等の買付け等を公開買付けによらないで行う契約がある場合には、当該契約の内容
(ii)details of the contract concluded for making Purchase, etc. of the Share Certificates, etc. pertaining to the Tender Offer not though the Tender Offer on or after the day when the Public Notice for Commencing Tender Offer is made, if any; and
公開買付けの目的、公開買付者に関する事項その他の内閣府令で定める事項
(iii)the purpose of the Tender Offer, the matters concerning the Tender Offeror and other matters specified by a Cabinet Office Ordinance.
公開買付者、その特別関係者(第二十七条の二第七項に規定する特別関係者をいう。以下この節において同じ。)その他政令で定める関係者(以下この節において「公開買付者等」という。)は、その公開買付けにつき公開買付開始公告が行われた日の翌日以後は、当該公開買付者が公開買付届出書を内閣総理大臣に提出していなければ、売付け等の申込みの勧誘その他の当該公開買付けに係る内閣府令で定める行為をしてはならない。
(3)The Tender Offeror, Persons in Special Relationship with the Tender Offeror (meaning Persons in Special Relationship as defined in Article 27-2 (7); hereinafter the same shall apply in this Section), or other persons concerned as specified by a Cabinet Order (hereinafter collectively referred to as the "Tender Offeror, etc." in this Section) shall not conduct solicitation of offers for Sales, etc. or other acts pertaining to the Tender Offer specified by a Cabinet Order on and after the day following the day when the Public Notice for Commencing Tender Offer is made, unless the Tender Offeror submits the Tender Offer Notification to the Prime Minister.
公開買付者は、当該公開買付届出書を提出した後、直ちに当該公開買付届出書の写しを当該公開買付けに係る株券等の発行者(当該公開買付届出書を提出した日において、既に当該発行者の株券等に係る公開買付届出書の提出をしている者がある場合には、当該提出をしている者を含む。)に送付するとともに、当該公開買付けに係る株券等が次の各号に掲げる株券等に該当する場合には、当該各号に掲げる株券等の区分に応じ、当該各号に定める者に送付しなければならない。この場合において、当該写しの送付に関し必要な事項は、内閣府令で定める。
(4)The Tender Offeror shall, immediately after the submission of the Tender Offer Notification, send a copy of the Tender Offer Notification to the Issuer of the Share Certificates, etc. to which the Tender Offer is made (and the person who has already submitted a Tender Offer Notification with regard to any Share Certificates, etc. issued by the Issuer as of the day on which the Tender Offer Notification is submitted, if any), and, if the Share Certificates, etc. for which the Tender Offer is made falls under any of the categories listed in the following items, also send a copy of the Tender Offer Notification to the exchange or association specified in the following items for each kind of Share Certificates, etc. set forth in the respective items.In this case, matters necessary for sending of the copies shall be specified by a Cabinet Office Ordinance:
金融商品取引所に上場されている株券等当該金融商品取引所
(i)Share Certificates, etc. listed in a Financial Instruments Exchange:the Financial Instruments Exchange; and
流通状況が前号に掲げる株券等に準ずるものとして政令で定める株券等政令で定める認可金融商品取引業協会
(ii)Share Certificates, etc. specified by a Cabinet Order as those of which the state of distribution can be regarded as being equivalent to Share Certificates, etc. referred to in the preceding item:the Authorized Financial Instruments Firms Association specified by a Cabinet Order.
(有価証券をもつて対価とする買付け等)
(Purchase, etc. in Which Securities are Delivered as the Consideration Therefor)
第二十七条の四公開買付者等は、次項に規定する場合を除き、その公開買付けにつき有価証券をもつてその買付け等の対価とする場合において、当該有価証券がその募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受けるものであるときは、公開買付届出書又は訂正届出書の提出と同時に当該有価証券の発行者が内閣総理大臣にこれらの規定による届出を行つていなければ、売付け等の申込みの勧誘その他の当該公開買付けに係る内閣府令で定める行為をしてはならない。
Article 27-4(1)In the case of a Tender Offer in which Securities are to be delivered as the consideration of Purchase, etc., if Public Offering or Secondary Distribution of the Securities is subject to the main clause of Article 4 (1) or the main clause of Article 4 (2), the Tender Offeror, etc. shall not conduct solicitation of offers for Sales, etc. or other acts pertaining to the Tender Offer specified by a Cabinet Order unless the Issuer of the Securities has made a notification to the Prime Minister as provided by these provisions concurrently with submission of the Tender Offer Notification or an amendment therefor, except in the case referred to in the following paragraph.
前項の場合において、同項の有価証券が発行登録をされた有価証券であるときは、公開買付者等は、当該発行登録が効力を生じており、かつ、公開買付届出書又は訂正届出書の提出と同時に当該有価証券の発行登録者が発行登録追補書類を内閣総理大臣に提出していなければ、売付け等の申込みの勧誘その他の当該公開買付けに係る内閣府令で定める行為をしてはならない。
(2)In the case referred to in the preceding paragraph, if a Shelf Registration has been made for the Securities referred to in the preceding paragraph, the Tender Offeror, etc. shall not conduct solicitation of offers for Sales, etc. or other acts pertaining to the Tender Offer specified by a Cabinet Order unless the Shelf Registration has come into effect and the Shelf Registration Holder of the Securities has submitted the Shelf Registration Supplements to the Prime Minister concurrently with submission of the Tender Offer Notification or an amendment therefor.
有価証券をもつて買付け等の対価とする公開買付けであつて、当該有価証券の募集又は売出しにつき第四条第一項若しくは第二項の規定による届出が行われたもの又は発行登録追補書類が提出されたものに係る公開買付届出書の提出については、前条第二項の規定にかかわらず、公開買付届出書に記載すべき事項及び添付書類のうち内閣府令で定めるものの記載及び添付を省略することができる。
(3)Notwithstanding paragraph (2) of the preceding Article, in the case of a Tender Offer in which Securities are to be delivered as the consideration of Purchase, etc., if the notification under the main clause of Article 4 (1) or the main clause of Article 4 (2) has been made or the Shelf Registration Supplements have been submitted for the Securities, part of the matters to be stated in a Tender Offer Notification and documents to be attached thereto may be omitted as specified by a Cabinet Office Ordinance in the Tender Offer Notification to be submitted for the Tender Offer.
(公開買付けによらない買付け等の禁止)
(Prohibition of Purchase, etc. Not through Tender Offer)
第二十七条の五公開買付者等は、公開買付期間(公開買付開始公告を行つた日から公開買付けによる買付け等の期間の末日までをいい、当該期間を延長した場合には、延長した期間を含む。以下この節において同じ。)中においては、公開買付けによらないで当該公開買付けに係る株券等の発行者の株券等の買付け等を行つてはならない。ただし、次に掲げる場合は、この限りでない。
Article 27-5A Tender Offeror, etc. shall not make Purchase, etc. of any Share Certificates, etc. issued by the Issuer of the Share Certificates, etc. pertaining to his/her Tender Offer not through the Tender Offer during the Tender Offer Period (meaning the period from the day when the Public Notice for Commencing Tender Offer is made to the last day of the period for the Purchase, etc. and including the extended period, if any; hereinafter the same shall apply in this Section); provided, however, that this shall not apply to the following cases:
当該株券等の発行者の株券等の買付け等を公開買付けによらないで行う旨の契約を公開買付開始公告を行う前に締結している場合で公開買付届出書において当該契約があること及びその内容を明らかにしているとき。
(i)cases where the contract for making Purchase, etc. of Share Certificates, etc. issued by the Issuer of the Share Certificates, etc. not through the Tender Offer has been concluded before the Public Notice for Commencing Tender Offer and the existence and details of that contract are stated in the Tender Offer Notification;
第二十七条の二第七項第一号に掲げる者(同項第二号に掲げる者に該当するものを除く。)が、内閣府令で定めるところにより、同項第二号に掲げる者に該当しない旨の申出を内閣総理大臣に行つた場合
(ii)cases where a person who falls under the category of persons specified in Article 27-2 (7)(i) (excluding the cases where such a person also falls under the category of persons specified in Article 27-2 (7)(ii)) notifies the fact that he/she does not fall under the category of persons specified in Article 27-2 (7)(ii) to the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance; or
その他政令で定める場合
(iii)other cases so specified by a Cabinet Order.
(公開買付けに係る買付条件等の変更)
(Changes in Terms of Purchase, etc. for Tender Offer)
第二十七条の六公開買付者は、次に掲げる買付条件等の変更を行うことができない。
Article 27-6(1)A Tender Offeror shall not make any of the changes in the Terms of Purchase, etc. listed below:
買付け等の価格の引下げ(公開買付開始公告及び公開買付届出書において公開買付期間中に対象者(第二十七条の十第一項に規定する対象者をいう。)が株式の分割その他の政令で定める行為を行つたときは内閣府令で定める基準に従い買付け等の価格の引下げを行うことがある旨の条件を付した場合に行うものを除く。)
(i)to lower the price for Purchase, etc. (excluding those implemented in cases where the Public Notice for Commencing Tender Offer and the Tender Offer Notification states as one of the Terms of Purchase, etc. that the price for Purchase, etc. may be lowered according to standards specified by a Cabinet Office Ordinance if the Subject Company (meaning Subject Company defined in Article 27-10 (1)) conducts share split or other act specified by a Cabinet Order during the Tender Offer Period.);
買付予定の株券等の数の減少
(ii)to reduce the Number of Share Certificates, etc. Planned to be Purchased;
買付け等の期間の短縮
(iii)to shorten the period for Purchase, etc.; or
その他政令で定める買付条件等の変更
(iv)any other change in the Terms of Purchase, etc. specified by a Cabinet Order.
公開買付者は、前項各号に規定するもの以外の買付条件等の変更を行うことができる。この場合において、当該変更を行おうとする公開買付者は、公開買付期間中に、政令で定めるところにより、買付条件等の変更の内容(第二十七条の十第三項の規定により買付け等の期間が延長された場合における当該買付け等の期間の延長を除く。)その他内閣府令で定める事項を公告しなければならない。
(2)A Tender Offeror may make any change of the Terms of Purchase, etc. other than those specified in the items of the preceding paragraph.In this case, the Tender Offeror who intends to make such change shall give public notice of the details of the change in the Terms of Purchase, etc. (excluding the extension of the period for Purchase, etc. made under Article 27-10 (3)) and other matters specified by a Cabinet Office Ordinance during the Tender Offer Period pursuant to the provisions of a Cabinet Order.
前項の規定による公告を公開買付期間の末日までに行うことが困難である場合には、公開買付者は、当該末日までに同項に規定する内容及び事項を内閣府令で定めるところにより公表し、その後直ちに同項の規定の例により公告を行わなければならない。
(3)When it is difficult to give public notice required under the preceding paragraph by the last day of the Tender Offer Period, the Tender Offeror shall publicly announce the details and the matters specified in the preceding paragraph pursuant to the provisions of a Cabinet Office Ordinance and give public notice as required under the preceding paragraph immediately after that.
(公開買付開始公告の訂正)
(Amendment of Public Notice for Commencing Tender Offer)
第二十七条の七公開買付開始公告(前条第二項又は第三項の規定による公告及び同項の規定による公表を含む。次項において同じ。)を行つた公開買付者は、その内容に形式上の不備があり、又は記載された内容が事実と相違していると認めたときは、その内容を訂正して、内閣府令で定めるところにより