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:平成二十二年法律第三十二号
Last Version: Act No. 32 of 2010
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(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 in a Tender Offer
第一節 発行者以外の者による株券等の公開買付け(第二十七条の二―第二十七条の二十二)
Section 1 Tender Offers for Share Certificates, etc. by Persons Other Than the 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 Offers for Listed Share Certificates, etc. by the 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 the Status of Large-Volume Holdings in 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. on Carrying Out Procedures Via an Electronic Data Processing System for Disclosure(Article 27-30-2 - Article 27-30-11)
第二章の五 特定証券情報等の提供又は公表(第二十七条の三十一―第二十七条の三十五)
Chapter II-5 Provision or Disclosure of Specified Information on Securities, etc.(Article 27-31 - Article 27-35)
第三章 金融商品取引業者等
Chapter III Financial Services Provider, 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 Services Providers(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 Services
第一款 通則(第三十五条―第四十条の五)
Subsection 1 General Rules(Article 35 - Article 40-5)
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 on Investment Advisory Services(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 on 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 on Securities, etc. Management(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 Services Providers 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 Services Provider 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 on Foreign Corporations, 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)
第四節の二 特別金融商品取引業者等に関する特則
Section 4-2 Special Provisions on Special Financial Services Providers, etc.
第一款 特別金融商品取引業者(第五十七条の二―第五十七条の十一)
Subsection 1 Special Financial Services Providers(Article 57-2 - Article 57-11)
第二款 指定親会社(第五十七条の十二―第五十七条の二十五)
Subsection 2 Designated Parent Companies(Article 57-12 - Article 57-25)
第三款 雑則(第五十七条の二十六―第五十七条の二十七)
Subsection 3 Miscellaneous Provisions(Article 57-26 - Article 57-27)
第五節 外国業者に関する特例
Section 5 Special Provisions for Foreign Companies Related to Financial Instrument Business
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 Services Providers(Article 58 and 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 for Some Underwriting Activities(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 for On-Exchange Transaction Services(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 Persons Engaging in Investment Advisory Services or Investment Management in a 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 Facilities 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 on Specially Permitted Services for Qualified Institutional Investors, 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 Intermediaries
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 Services(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 66-24 - Article 66-26)
第三章の三 信用格付業者
Chapter III-3 Credit Rating Agencies
第一節 総則(第六十六条の二十七―第六十六条の三十一)
Section 1 General Provisions(Article 66-27 - Article 66-31)
第二節 業務(第六十六条の三十二―第六十六条の三十六)
Section 2 Services(Article 66-32 - Article 66-36)
第三節 経理(第六十六条の三十七―第六十六条の三十九)
Section 3 Accounting(Article 66-37 - Article 66-39)
第四節 監督(第六十六条の四十―第六十六条の四十五)
Section 4 Supervision(Article 66-40 - Article 66-45)
第五節 雑則(第六十六条の四十六―第六十六条の四十九)
Section 5 Miscellaneous Provisions(Article 66-46 - Article 66-49)
第四章 金融商品取引業協会
Chapter IV Financial Instruments Firms Associations
第一節 認可金融商品取引業協会
Section 1 Authorized Financial Instruments Business Associations
第一款 設立及び業務(第六十七条―第六十七条の二十)
Subsection 1 Incorporation and Services(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 認定金融商品取引業協会
Section 2 Certified Financial Instruments Business Associations
第一款 認定及び業務(第七十八条―第七十九条)
Subsection 1 Certification and Services(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 Incorporation(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 Services(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 Dues(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 79-68 - 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 Exchanges
第一節 総則(第八十条―第八十七条の九)
Section 1 General Provisions(Article 80 - Article 87-9)
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 Incorporated Associations, Self-Regulatory Organizations, and Stock Companies That Operate Financial Instruments Exchange Markets
第一款 金融商品会員制法人
Subsection 1 Financial Instruments Incorporated Associations
第一目 設立(第八十八条―第八十八条の二十二)
Division 1 Incorporation(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 Organizational Conversion(Article 101 - Article 102)
第一款の二 自主規制法人
Subsection 1-2 Self-Regulatory Organizations
第一目 設立(第百二条の二―第百二条の七)
Division 1 Incorporation(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 Members(Article 102-12 and 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-Regulatory 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 A Stock Company That Operetes 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-Regulatory Committees(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 Companies(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―第百三十三の二)
Section 3 The Purchase and Sale of Securities, etc. on a Financial Instruments Exchange Market(Article 110 - Article 133-2)
第四節 金融商品取引所の解散等
Section 4 Dissolution of a 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 an Incorporated Association-Operated Financial Instruments Exchange and an Incorporated Association-Operated Financial Instruments Exchange(Article 137 and 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 an Incorporated Association-Operated Financial Instruments Exchange and a Stock Company-Operated Financial Instruments Exchange(Article 139 and 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 for an Incorporated Association-Operated 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 for Stock-Operated Financial Instruments Exchanges(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 The Coming Into Effect of a 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 Exchanges
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 Organizations, 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 Organizations(Article 156-2 - Article 156-20)
第二節 外国金融商品取引清算機関(第百五十六条の二十の二―第百五十六条の二十の十五)
Section 2 Foreign Financial Instruments Clearing Organizations(Article 156-20-2 - Article 156-20-15)
第三節 金融商品取引清算機関と他の金融商品取引清算機関等との連携(第百五十六条の二十の十六―第百五十六条の二十の二十二)
Section 3 Coordination between a Financial Instruments Clearing Organization and Other Financial Instruments Clearing Organizations, etc.(Article 156-20-16 - Article 156-20-22)
第四節 雑則(第百五十六条の二十の二十三-第百五十六条の二十二)
Section 4 Miscellaneous Provisions(Article 156-20-23 and 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 Companies(Article 156-23 - Article 156-37)
第五章の五 指定紛争解決機関
Chapter V-5 Designated Dispute Resolution Organization
第一節 総則(第百五十六条の三十八―第百五十六条の四十一)
Section 1 General Provisions(Article 156-38 - Article 156-41)
第二節 業務(第百五十六条の四十二―第百五十六条の五十四)
Section 2 Services(Article 156-42 - Article 156-54)
第三節 監督(第百五十六条の五十五―第百五十六条の六十一)
Section 3 Supervision(Article 156-55 - Article 156-61)
第五章の六 取引情報蓄積機関等
Chapter V-6 Trade Repositories
第一節 清算集中(第百五十六条の六十二)
Section 1 Centralization of Clearing(Article 156-62)
第二節 取引情報の保存及び報告等(第百五十六条の六十三-第百五十六条の六十六)
Section 2 Archiving and Reporting Trade Data(Article 156-63 - Article 156-66)
第三節 取引情報蓄積機関(第百五十六条の六十七-第百五十六条の八十四)
Section 3 Trade Repositories(Article 156-67 - Article 156-84)
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 Surcharges
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 Administrative Hearing Proceedings(Article 178 - Article 185-17)
第三節 訴訟(第百八十五条の十八)
Section 3 Litigation(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 Investigations in Criminal Cases(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 to ensure fairness in, inter alia, the issuance of Securities and transactions of Financial Instruments, etc. and to facilitate the smooth distribution of Securities, as well as to achieve fair price formation for Financial Instruments, etc. through the full utilization of the functions of the capital markets, by, inter alia, streamlining systems for the disclosure of corporate affairs, specifying the necessary particulars relevant to persons conducting Financial Instruments Business, and ensuring the appropriate operation of Financial Instruments Exchanges, thereby contributing to the sound development of the national economy and the 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 corporation pursuant to a special Act (excluding those set forth 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 corporate 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)corporate bond certificates (including those issued by a mutual company; the same applies 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 corporation incorporated pursuant to a special Act (excluding those set forth 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 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 securities and securities indicating a right to subscribe for preferred equity which are 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 certificates of an investment trust or foreign investment trust which are 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 bond certificates 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 certificates 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 certificates of special 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 certificates of beneficiary certificate-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 specified by Cabinet Office Ordinance which have been issued by a corporation in order to raise the funds necessary for business;
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 issued by a foreign state or foreign person, and which have the nature of the securities and certificates set forth in items (i) to (ix) inclusive or item (xii) to the preceding item inclusive (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 are specified by Cabinet Office Ordinance, which are issued by a foreign person, and which indicate a beneficial interest in a trust that holds the loan claims of a person operating in the banking business or a person otherwise providing money loans in the course of trade, or indicate any other similar rights;
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 that indicate the right to a transaction specified in paragraph (21), item (iii) which is conducted on a Financial Instruments Market, in accordance with the standards and means prescribed by the person operating the Financial Instruments Market, right to a transaction that is conducted on a foreign Financial Instruments Market (meaning a foreign Financial Instruments Market provided for in paragraph (8), item (iii), sub-item (b); hereinafter the same applies in this item) and which is similar to the transaction specified in paragraph (21), item (iii), or the right to a transaction specified in paragraph (22), item (iii) or (iv) which is conducted in neither a Financial Instruments Market nor a foreign Financial Instruments Market (such 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 the person with whom securities or certificates set forth in the preceding items has been deposited issues in a state other than the state in which the deposited securities or certificates were issued, and which indicate a right 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)securities or certificates other than those set forth in the preceding items, which are specified by Cabinet Order as those with regard to which, in consideration of transferability and other factors, it is found to be necessary to ensure the public interest or the 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、電子記録債権(電子記録債権法(平成十九年法律第百二号)第二条第一項に規定する電子記録債権をいう。以下この項において同じ。)のうち、流通性その他の事情を勘案し、社債券その他の前項各号に掲げる有価証券とみなすことが必要と認められるものとして政令で定めるもの(第七号及び次項において「特定電子記録債権」という。)は、当該電子記録債権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)The rights that must be indicated on Securities set forth in items (i) to (xv) inclusive of the preceding paragraph, on Securities set forth in item (xvii) of that paragraph (excluding those with the nature of Securities set forth in item (xvi) of that paragraph), and on Securities set forth in item (xviii) of that paragraph; and the rights that must be indicated on the Securities set forth in item (xvi) of that paragraph, Securities set forth in item (xvii) of that paragraph (limited to those with the nature of Securities set forth in item (xvi) of that paragraph), and Securities set forth in items (xix) to (xxi) inclusive of that paragraph which are specified by Cabinet Office Ordinance (hereinafter collectively referred to as "Rights That Must Be Indicated on Securities" in this and the following paragraphs) are deemed to be the Securities indicating these rights even if Securities indicating these rights have not been issued; the Electronically Recorded Monetary Claims (meaning the Electronically Recorded Monetary Claims set forth in Article 2, paragraph (1) of the Electronically Recorded Monetary Claims Act (Act No. 102 of 2007); hereinafter the same applies in this paragraph) specified by Cabinet Order as those which, in consideration of transferabilityy and other circumstances, it is found to be necessary to deem corporate bond certificates or any other Securities specified in the items of the preceding paragraph (referred to as the "Specified Electronically Recorded Monetary Claims" in item (vii) and the following paragraph), are deemed to be such Securities; the rights set forth in the following items are deemed to be the relevant Securities even if they are not rights which must be indicated on securities or certificates; and the provisions of this Act apply:
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)a beneficial interest in a trust (excluding a beneficial interest that must be indicated on the beneficiary certificates of an investment trust specified in item (x) of the preceding paragraph and a beneficial interest that must be indicated on Securities set forth in any of items (xii) to (xiv) inclusive of that 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 that are claimable against a foreign person and which have the nature of the rights specified in the preceding item (excluding rights that must be indicated on the beneficiary certificates of a foreign investment trust specified in item (x) of the preceding paragraph and rights that must be indicated on Securities set forth in item (xvii) or item (xviii) of that 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)the membership rights of a general partnership company or limited partnership company (limited to rights specified by 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)the membership rights of a foreign corporation which have 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 the rights based on a partnership contract provided for in Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896), an silentpartnership agreement provided for in Article 535 of the Commercial Code (Act No. 48 of 1899), a limited partnership agreement for investment provided for in Article 3, paragraph (1) of the Limited Partnership Act for Investment (Act No. 90 of 1998), or a limited liability partnership agreement provided for in Article 3, paragraph (1) of the Limited Liability Partnership Act (Act No. 40 of 2005), membership rights in an incorporated association or other rights (excluding rights based on foreign laws and regulations) the holder of which (hereinafter referred to as an "Equity Holder" in this item) can receive dividends of profits arising from business that is conducted using the money (including anything specified by Cabinet Order as being similar to money) invested or contributed by the Equity Holder (such business is hereinafter referred to as "Invested Business" in this item) or a distribution of the assets of the Invested Business, which do not fall under one of the following categories (excluding rights that must be indicated on Securities set forth in the items of the preceding paragraph and rights deemed to be Securities pursuant to the provisions of 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 Holder in cases specified by Cabinet Order as those in which all of the Equity Holders participate in the Invested Business;
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 Holder, if it is provided that Equity Holders will not receive dividends of profits or a distribution of the assets of the Invested Business in an amount exceeding the amount invested or contributed by them (excluding rights set forth in sub-item (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、消費生活協同組合法(昭和二十三年法律第二百号)第十条第二項に規定する共済事業を行う同法第四条に規定する組合と締結した共済契約、水産業協同組合法(昭和二十三年法律第二百四十二号)第十一条第一項第十一号、第九十三条第一項第六号の二若しくは第百条の二第一項第一号に規定する事業を行う同法第二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 that engages in the insurance business prescribed in Article 2, paragraph (1) of the Insurance Business Act (Act No. 105 of 1995) is the insurer, a mutual aid contract concluded with a cooperative prescribed in Article 5 of the Agricultural Cooperatives Act (Act No. 132 of 1947) which engages in the services prescribed in Article 10, paragraph (1), item (x) of that Act, a mutual aid contract concluded with a cooperative prescribed in Article 4 of the Consumer Cooperatives Act (Act No. 200 of 1948) which engages in the mutual aid services prescribed in Article 10, paragraph (2) of that Act, a mutual aid contract concluded with a cooperative prescribed in Article 2 of the Fisheries Cooperatives Act (Act No. 242 of 1948) which engages in the services prescribed in Article 11, paragraph (1), item (xi), Article 93, paragraph (1), item (vi)-2 or Article 100-2, paragraph (1), item (i) of that Act, a mutual aid contract concluded with a cooperative prescribed in Article 3 of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) which engages in the mutual aid services prescribed in Article 9-2, paragraph (7) of that Act, or a specified joint real estate venture contract prescribed in Article 2, paragraph (3) of the Specified Joint Real Estate Ventures Act (Act No. 77 of 1994) (excluding rights set forth in sub-items (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)rights other than those set forth in sub-items (a) to (c) inclusive, which are specified by Cabinet Order as rights in connection with which there is found to be no compromise to the public interest or to the protection of Equity Holders even if the rights are not deemed to be 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 foreign laws and regulations which are similar to those specified in the preceding item; or
特定電子記録債権及び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)rights other than Specified Electronically Recorded Monetary Claims and the rights set forth in the preceding items, which are specified by Cabinet Order as rights in connection with which it is found that, in consideration of their economic nature being similar to Securities prescribed in the preceding paragraph and rights set forth in the preceding items and in consideration of other circumstances, it is necessary and appropriate to ensure the public interest or the protection of investors, by deeming these rights to be 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(次項において「取得勧誘類似行為」という。)を含む。以下「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若しくは特定電子記録債権(次項及び第六項、次条第四項及び第五項並びに第二十三条の十三第四項において「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、次条第四項及び第五項並びに第二十三条の十三第四項において「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 offers to acquire newly issued Securities (including acts specified by Cabinet Office Ordinance as being similar to such solicitation (such acts are referred to as "Acts Similar to Solicitation of Offers to Acquire" in the following paragraph); hereinafter referred to as "Solicitation of Offers to Acquire"), the Solicitation of Offers to Acquire in cases provided for in item (i) or item (ii) below, which is issued with regard to Securities set forth in paragraph (1), Rights That Must Be Indicated on Securities, or Specified Electronically Recorded Monetary Claims that are deemed to be Securities under the preceding paragraph (such Securities or rights are referred to as "Article 2 (1) Securities" in the following paragraph, paragraph (6) of this Article, paragraphs (4) and (5) of the following Article, and Article 23-13, paragraph (4)); and the Solicitation of Offers to Acquire in cases provided for in item (iii) below, which is issued with regard to rights that are deemed to be Securities under the items of the preceding paragraph (such rights are referred to as "Article 2 (2) Securities" in the following paragraph, paragraphs (4) and (5) of the following Article, and Article 23-13, paragraph (4)); the term "Private Placement of Securities" means Solicitation of Offers to Acquire which does not come within the purview of a 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(特定投資家のみを相手方とする場合を除く。)
(i)cases specified by Cabinet Order as those in which the Solicitation of Offers to Acquire is issued (unless the solicitation is issued only to Professional Investors) to a large number of persons (other than qualified institutional investors (meaning persons specified by Cabinet Office Ordinance as having expert knowledge of and experience with investment in Securities; the same applies hereinafter), if qualified institutional investors are included in the persons to which the Solicitation of Offers to Acquire is issued, and the Solicitation of Offers to Acquire constitutes a case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being transferred from the qualified institutional investor that acquires them to any person other than a qualified institutional investor);
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)cases in which the Solicitation of Offers to Acquire is other than as specified in the preceding item, and in which it does not fall under any of the following sub-items:
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)a Solicitation of Offers to Acquire issued only to qualified institutional investors and constituting a case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being transferred from the person that acquires them to any person other than a qualified institutional investor; and
特定投資家のみを相手方として行う場合であつて、次に掲げる要件のすべてに該当するとき(イに掲げる場合を除く。)。
(b)a Solicitation of Offers to Acquire issued only to Professional Investors and falling under all of the following requirements (excluding the cases specified in sub-item (a)):
(1)当該取得勧誘の相手方が国、日本銀行及び適格機関投資家以外の者である場合にあつては、金融商品取引業者等(第三十四条に規定する金融商品取引業者等をいう。次項、第四条第一項第四号及び第三項、第二十七条の三十二の二並びに第二十七条の三十四の二において同じ。)が顧客からの委託により又は自己のために当該取得勧誘を行うこと。
1.the other party to the Solicitation of Offers to Acquire is not the State, the Bank of Japan, or a qualified institutional investor, and the Solicitation of Offers to Acquire is issued by a Financial Services Provider , etc. (meaning a Financial Services Provider, etc. as prescribed in Article 34; the same applies in the following paragraph, Article 4, paragraph (1), item (iv) and paragraph (3), Article 27-32-2, and Article 27-34-2) based on entrustment by customers or on its own behalf;
(2)当該有価証券がその取得者から特定投資家等(特定投資家又は非居住者(外国為替及び外国貿易法(昭和二十四年法律第二百二十八号)第六条第一項第六号に規定する非居住者をいい、政令で定める者に限る。)をいう。以下同じ。)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こと。
2.the Solicitation of Offers to Acquire comes under the purview of cases specified by Cabinet Order as those in which there is little likelihood of the relevant Securities being transferred from the person that acquires them to any person other than a Professional Investor, etc. (meaning a Professional Investor or Non-Resident (meaning a non-resident as defined in Article 6, paragraph (1), item (vi) of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949)), and limited to those specified by Cabinet Order; the same applies hereinafter).
前号に掲げる場合並びにイ及びロに掲げる場合以外の場合(当該有価証券と種類を同じくする有価証券の発行及び勧誘の状況等を勘案して政令で定める要件に該当する場合を除く。)であつて、当該有価証券が多数の者に所有されるおそれが少ないものとして政令で定める場合
(c)a Solicitation of Offers to Acquire falling under neither the case specified in the preceding item, nor sub-items (a) and (b) of this item (except if the Solicitation of Offers to Acquire meets the requirements that are specified by Cabinet Order in consideration of the status, etc. of the issuance and solicitation of Securities of the same class as the relevant Securities), and constituting a case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being held by 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)cases specified by Cabinet Order as those in which, in response to the Solicitation of Offers to Acquire, a considerably large number of persons will come to hold the Securities connected with 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(取得勧誘類似行為に該当するものその他内閣府令で定めるものを除く。以下「売付け勧誘等」という。)のうち、当該売付け勧誘等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、当該売付け勧誘等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(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 offers to sell and solicitation of offers to purchase already-issued Securities (excluding offers and solicitation coming under the purview of Acts Similar to the Solicitation of Offers to Acquire and any other offer or solicitation specified by Cabinet Office Ordinance; hereinafter referred to as an "Offer to Sell, etc."), Offers to Sell, etc. in cases provided for in item (i) or item (ii), which are made with regard to Article 2 (1) Securities; and Offers to Sell, etc. in cases provided for in item (iii), which are made with regard to Article 2 (2) Securities (excluding an Offer to Sell, etc. that involves the purchase and sale of Securities on a Financial Instruments Exchange Market, a transaction equivalent thereto, and any other Securities transactions specified by Cabinet Order):
多数の者(適格機関投資家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(特定投資家のみを相手方とする場合を除く。)
(i)cases specified by Cabinet Order as those in which the Offer to Sell, etc. is made (unless the offer is made only to Professional Investors) to a large number of persons (other than qualified institutional investors, if qualified institutional investors are included in the persons to which the Offer to Sell, etc. is made, and if the Offer to Sell, etc. constitutes a case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being transferred from the qualified institutional investor that acquires them to any person other than a qualified institutional investor);
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)cases in which the Offer to Sell, etc. is other than as specified in the preceding item, and in which it does not fall under any of the following sub-items:
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)an Offer to Sell, etc. made only to qualified institutional investors and constituting a case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being transferred from the person that acquires them to any person other than a qualified institutional investor;
特定投資家のみを相手方として行う場合であつて、次に掲げる要件のすべてに該当するとき(イに掲げる場合を除く。)。
(b)an Offer to Sell, etc. made only to Professional Investors and falling under all of the following requirements (excluding the cases specified in sub-item (a)):
(1)当該売付け勧誘等の相手方が国、日本銀行及び適格機関投資家以外の者である場合にあつては、金融商品取引業者等が顧客からの委託により又は自己のために当該売付け勧誘等を行うこと。
1.the other party to the Offer to Sell, etc. is not the State, the Bank of Japan, or a qualified institutional investor, and the Offer to Sell, etc. is made by a Financial Services Provider, etc. based on entrustment by a customer or on its own behalf;
(2)当該有価証券がその取得者から特定投資家等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こと。
2.the Offer to Sell, etc. comes under the purview of cases specified by Cabinet Order as those in which there is little likelihood of the relevant Securities being transferred from the person that acquires them to any person other than a Professional Investor, etc.
前号に掲げる場合並びにイ及びロに掲げる場合以外の場合(当該有価証券と種類を同じくする有価証券の発行及び勧誘の状況等を勘案して政令で定める要件に該当する場合を除く。)であつて、当該有価証券が多数の者に所有されるおそれが少ないものとして政令で定める場合
(c)an Offer to Sell, etc. falling under neither the case specified in the preceding item, nor sub-items (a) and (b) of this item (except if the Offer to Sell, etc. meets the requirements that are specified by Cabinet Order in consideration of the status, etc. of the issuance and solicitation of Securities of the same class as the relevant Securities), and constituting a case specified by Cabinet Order as one in which there is little likelihood of the relevant Securities being held by a large number of persons.
その売付け勧誘等に応じることにより相当程度多数の者が当該売付け勧誘等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)cases specified by Cabinet Order as those in which, in response to the Offer to Sell, etc., a considerably large number of persons will come to hold the Securities connected with the offer.
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 the person that issues, or seeks to issue, Securities (or the person specified by Cabinet Office Ordinance with regard to the Securities specified by Cabinet Office Ordinance); and rights other than those which must be indicated on securities or certificates, but which are deemed to be Securities pursuant to paragraph (2), are deemed to have been issued as Securities by the person specified by Cabinet Office Ordinance for each kind of right, at the time specified by 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若しくは特定投資家向け売付け勧誘等(第一項有価証券に係る売付け勧誘等であつて、第四項第二号ロに掲げ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。以下同じ。)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 that, at the time of a Public Offering, Secondary Distribution, or Private Placement of Securities, or the time of an exclusive Offer to Sell, etc. to Professional Investors (meaning an Offer to Sell, etc. Article 2 (1) Securities which falls under paragraph (4), item (ii), sub-item (b) (excluding an Offer to Sell, etc. involving the purchase and sale of Securities on a Financial Instruments Exchange Market, a transaction equivalent thereto, and any other transaction of Securities specified by Cabinet Order; the same applies hereinafter) involving Securities, does either of the things 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 relevant Securities with the aim 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 stipulating that if no other person acquires all or part of the relevant Securities, the Underwriter will acquire those that remain.
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 "Registration Statement" as used in this Act means the statement referred to in Article 5, paragraph (1) (including as applied mutatis mutandis pursuant to Article 5, paragraph (5); the same applies hereinafter), documents accompanying it pursuant to Article 5, paragraph (6), and any amended statement as under Article 7, Article 9, paragraph (1) or Article 10, paragraph (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 performance of any of the following acts (excluding those that are specified by Cabinet Order as acts which, in consideration of their content and other factors, are found not to compromise the protection of investors, and the acts set forth in item (xii), (xiv), and (xv) of this paragraph and in the items of Article 28, paragraph (8), when performed by a bank, a Cooperative Financial Institution defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment (hereinafter referred to as a "Cooperative Financial Institution") or other financial institution specified by Cabinet Order) 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)the purchase and sale of Securities (excluding those falling under the category of Derivatives Transactions; the same applies hereinafter), Market Transactions of Derivatives, or Foreign Market Transaction of Derivatives (excluding the purchase and sale of Securities falling under 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)intermediation, brokerage (excluding Brokerage for the Clearing of Securities, etc.), or agency for the purchase and sale of Securities, Market Transaction of Derivatives, or Foreign Market Transactions of Derivatives (excluding intermediation, brokerage, or agency for the purchase and sale of Securities which falls under item (x));
次に掲げる取引の委託の媒介、取次ぎ又は代理
(iii)intermediation, brokerage, or agency 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)the purchase and sale of Securities or Market Transactions of Derivatives on a Financial Instruments Exchange Market;
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)the purchase and sale of Securities or Foreign Market Transaction of Derivatives on a foreign Financial Instruments Market (meaning a market in a foreign state which is similar to a Financial Instruments Exchange Market; the same applies hereinafter).
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 Derivatives Transactions or intermediation, brokerage (excluding Brokerage for the Clearing of Securities, etc.), or agency for it (hereinafter referred to as "Over-the-Counter Derivatives Transactions, etc.");
有価証券等清算取次ぎ
(v)Brokerage for the 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若しくは特定投資家向け売付け勧誘等に際し、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)the underwriting of Securities (meaning doing any of the things set forth in an item of paragraph (6) at the time of a Public Offering, Secondary Distribution, Private Placement of Securities, or exclusive Offer to Sell, etc. to Professional Investors);
有価証券(次に掲げるものに限る。)の募集又は私募
(vii)the Public Offering or Private Placement of Securities (limited to those set forth 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)beneficiary certificates of investment trusts specified in paragraph (1), item (x) which are connected to the beneficial interest in an Investment Trust Managed Under Instructions from the Settlor provided for in Article 2, paragraph (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 certificates of foreign investment trusts specified in paragraph (1), item (x);
第一項第十六号に掲げる有価証券
(c)Securities specified in paragraph (1), item (xvi);
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)Securities specified in paragraph (1), item (xvii) which have the nature of Securities specified in item (xvi) of that 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)rights that must be indicated on the Securities specified in sub-item (a) or sub-item (b) above, or rights that must be indicated on the Securities under sub-item (c) or sub-item (d) above which are specified by Cabinet Office Ordinance, which are deemed to be Securities pursuant to 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 paragraph (2), item (v) or item (vi) which are deemed to be Securities pursuant to that 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)the Securities other than those set forth in sub-items (a) to (f) inclusive which are specified by Cabinet Order.
有価証券の売出し又は特定投資家向け売付け勧誘等
(viii)Secondary Distribution of Securities or exclusive Offer to Sell, etc. to Professional Investors;
有価証券の募集若しくは売出しの取扱い又は私募若しくは特定投資家向け売付け勧誘等の取扱い
(ix)the handling of a Public Offering or Secondary Distribution of Securities, or the handling of a Private Placement of Securities or exclusive Offer to Sell, etc. to Professional Investors;
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(取り扱う有価証券の種類等に照らして取引所金融商品市場又は店頭売買有価証券市場(第六十七条第二項に規定する店頭売買有価証券市場をいう。)以外において行うことが投資者保護のため適当でないと認められるものとして政令で定めるものを除く。)
(x)the purchase and sale of Securities or intermediation, brokerage, or agency for it, using an electronic data processing system, conducted through any of the following price formation methods or other similar methods, with a large number of persons participating simultaneously as parties on one side of the transaction or as parties on both sides of the transaction (excluding those specified by Cabinet Order as transactions that are found to be inappropriate in terms of investor protection if conducted outside a Financial Instruments Exchange Market or an Over-the-Counter Securities Market (meaning an Over-the-Counter Securities Market provided for in Article 67, paragraph (2)));
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)by auction (but only if the trading volume of Securities does not exceed the criteria specified by 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)for Securities listed on a Financial Instruments Exchange, by using the trading price of the Securities on the Financial Instruments Exchange Market that is operated by the relevant 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)for Securities registered under Article 67-11, paragraph (1) (hereinafter referred to as "Over-the-Counter Traded Securities"), by using the trading price of the Securities which is published by the Authorized Financial Instruments Business 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)by using the price decided by negotiation between the 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)methods other than those set forth in sub-item (a) to (d) inclusive, which are specified by 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 oral, written (excluding newspapers, magazines, books, or any other written work that is issued for sale to many and unspecified persons and which many and unspecified persons can buy as needed), or any other form of advice about the following things, and the other party promises to pay remuneration for this (such a contract is hereinafter referred to as an "Investment Advisory Contract"), and provision of advice under such 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)the value, etc. of Securities (meaning the value of Securities, the amount receivable for Options on Securities (meaning the right to conduct a transaction provided for in Article 28, paragraph (8), item (iii), sub-item (c) on a Financial Instruments Market in accordance with the standards and means prescribed by the person operating the Financial Instruments Market, the right to conduct a transaction similar to the transaction provided for in Article 28, paragraph (8), item (iii), sub-item (c) on a foreign Financial Instruments Market, or the right to conduct a transaction set forth in item (iv), sub-item (c) or sub-item (d) of that paragraph without using a Financial Instruments Market or foreign Financial Instruments Market), and the movement of Securities indicators (meaning the price or interest rate of Securities and anything else specified by Cabinet Office Ordinance as being equivalent thereto, or figures calculated based thereon)); 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 the classes, issues, volumes, or prices of Securities targeted for investment, as well as whether the Securities are purchased or sold and by what method and at what timing, and decisions on what should be the contents and timing of any Derivatives Transactions that are conducted; the same applies hereinafter) based on an analysis of the values, etc. of Financial Instruments (meaning the value of Financial Instruments, amount receivable for Options, and movement of Financial Indicators; the same applies 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 contracts, and the management of money or any other property (including instructions for that management; the same applies hereinafter), based on such contract, as an investment in Securities or in rights connected with Derivative Transactions, based on investment decisions that are grounded in an analysis of the values, etc. of Financial Instruments;
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)an entrustment contract for the asset management provided for in Article 188, paragraph (1), item (iv) of the Act on Investment Trusts and Investment Corporations, concluded with a registered investment corporation as defined in Article 2, paragraph (13) of that 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)a contract other than what is set forth in sub-item (a), in which one of the parties is fully or partly entrusted by the other party with the discretion to make investment decisions based on an analysis of the values, etc. of Financial Instruments, and is also entrusted with the authority necessary to make investments 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 intermediation for the 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)the management (excluding management that falls under the category of act set forth in (xii)) of money or other property contributed by a person that holds rights indicated on the Securities specified in paragraph (1), item (x) or other rights specified by Cabinet Order, as an investment in Securities or in rights connected with Derivatives Transactions, based on investment decisions that are grounded in an analysis of the values, etc. of Financial Instruments;
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)the management (excluding management that falls under the category of act set forth in (xii)) of money or other property invested or contributed by a person that holds the following rights or other rights specified by Cabinet Order, as an investment mainly in Securities or in rights connected with Derivatives Transactions, based on investment decisions that are grounded in an analysis of the values, etc. of Financial Instruments;
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 the Securities specified in paragraph (1), item (xiv) or Securities specified in item (xvii) of that paragraph (limited to those that have the nature of the Securities specified in item (xiv) of that paragraph);
第二項第一号又は第二号に掲げる権利
(b)rights set forth in paragraph (2), item (i) or (ii); or
第二項第五号又は第六号に掲げる権利
(c)rights set forth in paragraph (2), item (v) or (vi).
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)the acceptance of deposits of money or securities or the certificates set forth in the items of paragraph (1) from customers, in connection with an act set forth in items (i) to (x) inclusive 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)the transfer of bonds, etc. in response to the opening of an account in order to carry out a transfer of the bonds, etc. defined in Article 2, paragraph (1) of the Act on Transfer of Corporate 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 Cabinet Order as being similar to the acts set forth 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 Services Provider " as used in this Act means a person registered by the Prime Minister pursuant to 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。)又は同条第三項に規定する特定投資家等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 describing the business and other particulars of an Issuer of Securities, which is prepared for a Public Offering or Secondary Distribution of Securities, a General Solicitation for Involving Securities Acquired by a Qualified Institutional Investor as defined in Article 4, paragraph (2) (excluding those falling under the category of Secondary Distribution of Securities), or a General Solicitation Involving Securities Acquired by a Professional Investor as set forth in Article 4, paragraph (3) (excluding those falling under the category of a Secondary Distribution of Securities), and which is delivered, or is to be delivered upon request, to the other party to 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 Intermediation " as used in this Act means services that fall under the category of any of the following acts (excluding the act provided for in item (iv) below if performed by a person engaged in Investment Management as defined in Article 28, paragraph (4)), which are provided for and under entrustment from a Financial Services Provider (limited to a person that engages in the Type I Financial Instruments Business provided for in Article 28, paragraph (1) or Investment Management provided for in Article 28, paragraph (4)) or a registered financial institution (meaning a bank, Cooperative Financial Institution, or other financial institution specified by Cabinet Order, which is registered as under Article 33-2; the same applies hereinafter):
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)intermediation for the purchase and sale of Securities (excluding intermediation set forth in paragraph (8), item (x));
第八項第三号に規定する媒介
(ii)the intermediation set forth in paragraph (8), item (iii);
第八項第九号に掲げる行為
(iii)the act set forth in paragraph (8), item (ix); or
第八項第十三号に規定する媒介
(iv)the intermediation set forth in paragraph (8), item (xiii).
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" as used in this Act means a person registered by the Prime Minister pursuant to 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 Business Association" as used in this Act means a person incorporated based on the provisions of Chapter IV, Section 1, Subsection 1.
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 on which the purchase and sale 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 Incorporated Association" as used in this Act means a membership association incorporated based on the provisions of Chapter V, Section 2, Subsection 1 for the purpose of operating 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 Incorporated Association or stock company which operates a Financial Instruments Market after being licensed by the Prime Minister pursuant to Article 80, paragraph (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 operated 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、取引所金融商品市場を開設する株式会社(以下「株式会社金融商品取引所」という。)を子会社(第八十七条の三第三項に規定する子会社をいう。)とする株式会社であつて、第百六条の十第一項の規定により内閣総理大臣の認可を受けて設立され、又は同項若しくは同条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ているものをいう。
(18)The term "Financial Instruments Exchange Holding Company" as used in this Act means a stock company whose Subsidiary Companies (meaning a Subsidiary Company as set forth in Article 87-3, paragraph (3)) include a stock company that operates a Financial Instruments Exchange Market (hereinafter referred to as a "Stock Company-Operated Financial Instruments Exchange"), which is incorporated after obtaining the authorization of the Prime Minister pursuant Article 106-10, paragraph (1) or which has obtained the authorization of the Prime Minister pursuant to that paragraph or the proviso to paragraph (3) of that Article.
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" as used in this Act means a person that is allowed to participate in the purchase and sale of Securities or Market Transactions of Derivatives on a Financial Instruments Exchange Market, based on a trading license under Article 112, paragraph (1) or Article 113, paragraph (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 "Derivatives Transactions" as used in this Act means Market Transaction of Derivatives, Over-the-Counter Derivatives Transactions or Foreign Market Transaction of Derivatives.
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 as conducted on a Financial Instruments Market in compliance with the standards and means prescribed by the person that operates 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)a transaction comprising a purchase and sale in which the parties promise to deliver and take delivery of a Financial Instrument and its value at a fixed time in the future, which the parties may settle by delivering and taking delivery of the difference in values if they sell or buy back the underlying Financial Instrument;
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)a transaction comprising the parties' promises to pay and receive an amount of money calculated based on the difference between the numerical value of a Financial Indicator upon which the parties agree in advance (hereinafter referred to as the "Agreed Figure") and the actual numerical value 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)a transaction comprising the first party's promise to grant the second party the option of effecting one of the following transactions between them by a unilateral manifestation of the second party's intention alone, and the second party's promise to pay the value of that option:
金融商品の売買(第一号に掲げる取引を除く。)
(a)the purchase and sale of Financial Instruments (excluding a transaction provided for 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)a transaction provided for in one of the preceding two items or in the following item to item (vi) inclusive (including any transaction designated by the Financial Instruments Exchange that is 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)a transaction comprising the parties' mutual promise that, for the amount of money they have set as the principal, the first party will pay money to the second based on the rate of change in the interest rate, etc. (meaning the interest rate or any other rate specified by Cabinet Office Ordinance as being equivalent thereto; the same applies hereinafter) of an agreed-upon Financial Instrument (excluding those set forth in Article 2, paragraph (24), item (iii)) or based on the rate of change in an agreed-upon Financial Indicator (excluding interest rates, etc. of Financial Instruments (excluding those set forth in Article 2, paragraph (24), item (iii)) and figures calculated based on them; hereinafter the same applies in this item and item (v) of the following paragraph) during the period they have agreed to, and the second party will pay money to the first based on the rate of change in the interest rate, etc. of an agreed-upon Financial Instrument (excluding those set forth in Article 2, paragraph (24), item (iii)) or based on the rate of change in an agreed-upon Financial Indicator during the period they have agreed to (including transactions in which the parties promise that, in addition to paying such amounts, they will also pay or deliver and receive money or Financial Instruments equivalent to the amount they have set as the 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)a transaction comprising the first party's promise to pay money to the second, and the second party's promise to pay money to the first if one of the following causes that the parties have stipulated in advance occurs (including transactions comprising the first party's promise to transfer a Financial Instrument, the rights connected to a Financial Instrument, or a monetary claim (other than a claim that constitutes a Financial Instrument or the rights connected to a Financial Instrument), but excluding transactions set forth in the preceding three items):
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 involving the credit status of a corporation or other similar cause as specified by 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 on whose occurrence it is impossible or extremely difficult for either party to exert an influence, and which is specified by Cabinet Order as something that may have material impact on the business activities of the parties or other business persons or firms (excluding causes specified in sub-item (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 a transaction set forth in the preceding items and specified by 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 Derivatives Transactions" as used in this Act means the following transactions as conducted neither on a Financial Instruments Market nor on a foreign Financial Instruments Market (except those that are specified by Cabinet Order as transactions which, in consideration of their content and other related factors, are found not to compromise the public interest or the protection of investors).
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)a transaction comprising a purchase and sale in which the parties to the purchase and sale promise to deliver and take delivery of a Financial Instrument (other than one set forth in paragraph (24), item (v); hereinafter the same applies in this paragraph) and its value at a fixed time in the future, and which the parties may settle by delivering and taking delivery of the difference in values if they sell back or buy back the underlying Financial Instrument or if they take some other action that is specified by Cabinet Order;
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)a transaction comprising the parties' promises to pay and receive an amount of money calculated based on the difference between the Agreed Figure and the Actual Figure, or any transaction similar thereto; 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)a transaction comprising the first party's promise to grant the second party the option of effecting one of the following transactions between them by a unilateral manifestation of the second party's intention alone, and the second party's promise to pay the value of that option, or any transaction similar thereto:
金融商品の売買(第一号に掲げる取引を除く。)
(a)the purchase and sale of Financial Instruments (excluding the transactions 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)a transaction provided for in the preceding two items or items (v) to (vii) inclusive;
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)a transaction comprising, on one side, the first party's promise to grant the second party the option of effecting a transaction by a unilateral manifestation of the second party's intention alone, in which the parties pay and receive the amount of money calculated based on the difference between the numerical value that they have agreed in advance to use as the Agreed Figure for the relevant Financial Indicator if the second party manifests the intention to effect the transaction, and the Actual Figure of the Financial Indicator at the time the second party manifests that intention, and, on the other side, the second party's promise to pay the value of that option, or any transaction similar thereto;
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)a transaction comprising the parties' mutual promise that, for the amount they have set as the principal, the first party will pay money to the second based on the interest rate, etc. of an agreed-upon Financial Instrument (excluding one as set forth in Article 2, paragraph (24), item (iii)) or based on the rate of change in an agreed-upon Financial Indicator during the period they have agreed to, and the second party will pay money to the first based on the interest rate, etc. of an agreed-upon Financial Instrument (excluding those set forth in Article 2, paragraph (24), item (iii)) or based on the rate of change in an agreed-upon Financial Indicator during the period they have agreed to (including transactions in which the parties promise that, in addition paying such amounts, they will also pay or deliver and receive money or Financial Instruments equivalent to the amount they have set as the principal), or any transaction similar thereto;
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)a transaction comprising the first party's promise to pay money to the second, and the second party's promise to pay money to the first if one of the following causes that the parties have stipulated in advance occurs (including transactions comprising the first party's promise to transfer a Financial Instrument, the rights connected to a Financial Instrument, or a monetary claim (other than a claim that constitutes a Financial Instrument or the rights connected to a Financial Instrument), but excluding the transactions set forth in item (ii) to the preceding item inclusive), or any transaction similar thereto:
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 involving the credit status of a corporation or other similar cause as specified by 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 on whose occurrence it is impossible or extremely difficult for either party to exert an influence, and which is specified by Cabinet Order as something that may have a material impact on the business activities of the parties or other persons or firms (excluding causes specified in sub-item (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)a transaction other than what is set forth in the preceding items, but which has an economic nature similar thereto and is specified by Cabinet Order as a transaction regarding which it is found to be necessary to ensure the public interest or the 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 Transaction of Derivatives " as used in this Act means a transaction that is conducted on a foreign Financial Instruments Market and is similar to a Market Transaction 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)rights such as claims based on a deposit contract, or securities or certificates indicating such rights, which are specified by 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(商品先物取引法(昭和二十五年法律第二百三十九号)第二条第一項に規定する商品を除く。)
(iv)assets other than what is set forth in the preceding three items, of which there are many of the same kind, which have substantial price volatility, and which are specified by Cabinet Order as assets in connection with which it is found necessary to secure the protection of investors with regard to Derivatives Transactions (or other similar transactions) thereof (excluding commodities defined in Article 2, paragraph (1) of the Commodity Futures 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 used by a Financial Instruments Exchange for the purpose of facilitating Market Transactions of Derivatives by standardizing interest rates, the maturity period, or other conditions of Financial Instruments set forth in item (i) or item (ii) or the preceding item and specified by 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)the price of a Financial Instrument or the interest rate, etc. of a Financial Instrument (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)the numerical values associated with the results of meteorological observations published by the Meteorological Agency and 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(商品先物取引法第二条第二項に規定する商品指数を除く。)
(iii)among indicators on whose fluctuation it is impossible or extremely difficult for a person to exert an influence and which may have material impact on the business activities of business firms (excluding indicators provided for in the preceding item) and statistical values associated with social or economic conditions, the indicators and values specified by Cabinet Order as those in connection with which it is found to be necessary to ensure protection for investors with regard to Derivatives Transactions (or other similar transactions) related thereto (excluding commodity indices provided for in Article 2, paragraph (2) of the Commodity Futures Act); and
前三号に掲げるものに基づいて算出した数値
(iv)numerical values calculated based on anything provided for 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 that has obtained the authorization of the Prime Minister pursuant to Article 155, paragraph (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又は外国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(当該金融商品取引清算機関が第百五十六条の二十の十六第一項に規定する連携金融商品債務引受業務を行う場合には、同項に規定する連携清算機関等を含む。)又は外国金融商品取引清算機関に負担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 "Brokerage for the Clearing of Securities, etc." as used in this Act means a subject transaction (meaning a "subject transaction" as defined in the following paragraph; hereinafter the same applies in this paragraph) that is effected by a Financial Services Provider or registered financial institution under entrustment from a customer and on the account of the customer in accordance with the business rules of the Financial Instruments Clearing Organization or Foreign Financial Instruments Clearing Organization, which is effected on the condition that the obligation that arises from the subject transaction will be borne by the Financial Instruments Clearing Organization (if such Financial Instruments Clearing Organization performs collaborative Financial Instruments Debt Assumption Services prescribed in Article 156-20-16, paragraph (1), this includes the collaborating Clearing Organization, etc. set forth in said paragraph) or the Foreign Financial Instruments Clearing Organization, and which satisfies either 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 Services Provider 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 customer specifies the other party to the subject transaction and other particulars specified by 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(有価証券の売買若しくはデリバティブ取引(取引の状況及び我が国の資本市場に与える影響その他の事情を勘案し、公益又は投資者保護のため支障を生ずることがないと認められるものとして政令で定める取引を除く。)又はこれらに付随し、若しくは関連する取引としてその他政令で定める取引をいう。)に基づく債務を、引受け、更改その他の方法により負担することを業として行うことをいう。
(28)The term "Financial Instruments Debt Assumption Services" as used in this Act means taking over, novating, or in any other way bearing, in the course of trade, the obligations of a Financial Services Provider, registered financial institution, or Securities Finance Company (hereinafter referred to as a "Business Counterparty to Financial Instruments Debt Assumption Services" in this paragraph) which arise from subject transactions (meaning the purchase and sale of Securities, Derivatives Transactions (except those that are specified by Cabinet Order as transactions which, in consideration of the status of the transactions, the impact exerted on Japan's capital market, and other circumstances, are found not to compromise the public interest or the protection of investors), or transactions specified by Cabinet Order as incidental or related thereto) effected by, a Business Counterparty to Financial Instruments Debt Assumption Services.
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第一項の規定により内閣総理大臣の免許又は承認を受けて金融商品債務引受業を行う者をいい、「外国金融商品取引清算機関」とは、第百五十六条の二十の二の規定により内閣総理大臣の免許を受けて金融商品債務引受業を行う者をいう。
(29)The term "Financial Instruments Clearing Organization" as used in this Act means a person that engages in Financial Instruments Debt Assumption Services after being licensed by the Prime Minister or obtaining the approval of the Prime Minister pursuant to Article 156-2 or Article 156-19, paragraph (1), and the term "Foreign Financial Instruments Clearing Organization" as used in this Act means a person that engages in Financial Instruments Debt Assumption Service after being licensed by the Prime Minister pursuant to Article 156-20-2.
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 that has been licensed by the Prime Minister pursuant to 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)Investor Protection Funds prescribed in Article 79-21 and other corporations specified by Cabinet Office Ordinance beyond those set forth in the preceding three items.
32この法律において「特定取引所金融商品市場」とは、第百十七条の二第一項の規定により同項に規定する一般投資家等買付けをすることが禁止されている取引所金融商品市場をいう。
(32)The term "Specified Financial Instruments Exchange Market" as used in this Act means a Financial Instruments Exchange Market on which, pursuant to the provisions of Article 117-2, paragraph (1), it is prohibited to make a Purchase for a General Investor as defined in that paragraph.
33この法律において「特定上場有価証券」とは、特定取引所金融商品市場のみに上場されている有価証券をいう。
(33)The term "Specified Listed Securities" as used in this Act means Securities listed only on a Specified Financial Instruments Exchange Market.
34この法律において「信用格付」とは、金融商品又は法人(これに類するものとして内閣府令で定めるものを含む。)の信用状態に関する評価(以下この項において「信用評価」という。)の結果について、記号又は数字(これらに類するものとして内閣府令で定めるものを含む。)を用いて表示した等級(主として信用評価以外の事項を勘案して定められる等級として内閣府令で定めるものを除く。)をいう。
(34)The term "Credit Rating" as used in this Act means a grade which indicates, through symbols or figures (including anything specified by Cabinet Office Ordinance as being similar thereto), the results of an assessment of the credit status of a Financial Instrument or a corporation (including anything specified by Cabinet Office Ordinance as being similar thereto) (such assessment is hereinafter referred to as "Creditworthiness" in this paragraph) (such grade excludes grades specified by Cabinet Office Ordinance as being determined mainly in consideration of any particular other than Creditworthiness).
35この法律において「信用格付業」とは、信用格付を付与し、かつ、提供し又は閲覧に供する行為(行為の相手方の範囲その他行為の態様に照らして投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。)を業として行うことをいう。
(35)The term "Credit Rating Services" as used in this Act means engagement in the act of determining Credit Ratings and providing them or making them available for inspection (excluding acts specified by Cabinet Office Ordinance as those that are found to have little likelihood of resulting in insufficient investor protection, in light of the scope of the other party to the act and any other circumstances) in the course of trade.
36この法律において「信用格付業者」とは、第六十六条の二十七の規定により内閣総理大臣の登録を受けた者をいう。
(36)The term "Credit Rating Agency" as used in this Act means a person registered by the Prime Minister pursuant to Article 66-27.
37この法律において「商品市場開設金融商品取引所」とは、第八十七条の二第一項ただし書の認可を受けて商品先物取引(商品先物取引法第二条第三項に規定する先物取引をいう。以下同じ。)をするために必要な市場を開設する株式会社金融商品取引所をいう。
(37)The term "Financial Instruments Exchange Engaged in the Operation of a Commodity Market" as used in this Act means a Stock Company-Operated Financial Instruments Exchange that operates the necessary market for effecting Commodity Futures Transactions (meaning Futures Transactions prescribed in Article 2, paragraph (3) of the Commodity Futures Act; the same applies hereinafter), with the authorization referred to in the proviso to Article 87-2, paragraph (1).
38この法律において「商品取引所」とは、会員商品取引所(商品先物取引法第二条第五項に規定する会員商品取引所をいう。)及び株式会社商品取引所(同条第六項に規定する株式会社商品取引所をいい、株式会社金融商品取引所に関する規制と同等の水準にあると認められる規制を受ける者として政令で定める者に限る。)をいう。
(38)The term "Commodity Exchange" as used in this Act means an Incorporated Association-Operated Commodity Exchange Operated as an (meaning an Incorporated Association–Operated Commodity Exchange as prescribed in Article 2, paragraph (5) of the Commodity Futures Act) or a Stock Company-Operated Commodity Exchange (meaning a Stock Company-Operated Commodity Exchange as prescribed in paragraph (6) of that Article and limited to those specified by Cabinet Order as being subject to restrictions that are found to be of the same level as restrictions on a Stock Company-Operated Financial Instruments Exchange).
39この法律において「商品取引所持株会社」とは、商品先物取引法第二条第十一項に規定する商品取引所持株会社(金融商品取引所持株会社に関する規制と同等の水準にあると認められる規制を受ける者として政令で定める者に限る。)をいう。
(39)The term "Commodity Exchange Holding Company" as used in this Act means a Commodity Exchange Holding Company as defined in Article 2, paragraph (11) of the Commodity Futures Act (limited to those specified by Cabinet Order as being subject to restrictions that are found to be of the same level as restrictions on a Financial Instruments Exchange Holding Company).
第二章 企業内容等の開示
Chapter II Disclosure of Corporate Affairs
(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 act involving the organization of a company which is specified by 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(これに類する場合として内閣府令で定める場合(次項において「組織再編成発行手続に類似する場合」という。)を含む。)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 Related to the Issuance of Securities During a Reorganization" as used in this Chapter means the Keeping of Documents, etc. (meaning the keeping of the documents or electronic or magnetic records under Article 782, paragraph (1) of the Companies Act (Act No. 86 of 2005) or the keeping of the documents or electronic or magnetic records under Article 803, paragraph (1) of that Act; the same applies in the following paragraph) connected with a Reorganization in which new Securities are issued (including cases specified by Cabinet Office Ordinance as being similar thereto (such cases are referred to as "Procedures for Cases Similar to the Issuance of Securities During a Reorganization" in the following paragraph)), and other acts specified by 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(組織再編成発行手続に類似する場合に該当する場合を除く。)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 Related to the Delivery of Securities During a Reorganization" as used in this Chapter means the Keeping of Documents, etc. connected to a Reorganization in which existing Securities are delivered (excluding cases that fall under the category of Procedures for Cases Similar to the Issuance of Securities During a Reorganization), and other acts specified by 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 Related to the Issuance of Securities During a Reorganization" as used in this Chapter means, among Procedures Related to the Issuance of Securities During a Reorganization, those that fall under cases specified in item (i) or (ii) below if the Procedures Related to the Issuance of Securities During a Reorganization involve Article 2 (1) Securities, and those that fall under cases specified in item (iii) if the Procedures Related to the Issuance of Securities During a Reorganization involve Article 2 (2) Securities:
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)cases specified by Cabinet Order as those in which a large number of persons are holders of share certificates (including share option certificates and other Securities specified by Cabinet Order) whose issuer is a company that, due to a Reorganization, will become a Company Disappearing in an Absorption-Type Merger (meaning a Company Disappearing in an Absorption-Type Merger as defined in Article 749, paragraph (1), item (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, paragraph (1), item (i) of that Act), or whose issuer is any other company specified by Cabinet Order (referred to as the "Reorganizing Company" in Article 4, paragraph (1), item (ii), sub-item (a)) (such holders are hereinafter referred to as the "Reorganizing Company's Shareholders, etc.")(such cases exclude those in which the Reorganizing Company's Shareholders, etc. 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)cases other than those provided for in the preceding item, which do not fall under any of 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)cases in which the Reorganizing Company's Shareholders, etc. consist exclusively of Qualified Institutional Investors, and which are specified by Cabinet Order as those in which there is little likelihood of the Securities that are subject to the Procedures Related to the Issuance of Securities During a Reorganization being transferred from a person that acquires them to any person other than a Qualified Institutional Investor; or
前号に掲げる場合及びイに掲げる場合以外の場合(当該組織再編成発行手続に係る有価証券と種類を同じくする有価証券の発行及び交付の状況等を勘案して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多数の者に所有されるおそれが少ないものとして政令で定める場合
(b)cases other than those specified in the preceding item (i) or in sub-item (a) (excluding cases satisfying the requirements that are specified by Cabinet Order in consideration of the status, etc. of issuance and delivery of Securities of the same class as the Securities subject to the Procedures Related to the Issuance of Securities During the Reorganization), which are specified by Cabinet Order as those in which there is little likelihood of the Securities that are subject to said Procedures Related to the Issuance of Securities During the Reorganization being held by 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)cases specified by Cabinet Order as those in which the Reorganizing Company's Shareholders, etc. constitute a considerably large number of persons.
この章において「特定組織再編成交付手続」とは、組織再編成交付手続のうち、当該組織再編成交付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、当該組織再編成交付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。
(5)The term "Specified Procedures Related to the Delivery of Securities During a Reorganization" as used in this Chapter means, among the Procedures Related to the Delivery of Securities During a Reorganization, those that fall under cases specified in item (i) or item (ii) if the Procedures Related to the Delivery of Securities During a Reorganization involve Article 2 (1) Securities, and those that fall under cases specified in item (iii) if the Procedures Related to the Delivery of Securities During a Reorganization involve Article 2 (2) Securities:
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(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)cases specified by Cabinet Order as those in which the Reorganizing Company's Shareholders, etc. constitute a large number of persons (excluding cases in which the Reorganizing Company's Shareholders, etc. consist exclusively of 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)cases other than those provided for in the preceding item, which do not fall under any of 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、当該組織再編成交付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)cases in which the Reorganizing Company's Shareholders, etc. consist exclusively of Qualified Institutional Investors, and which are specified by Cabinet Order as those in which there is little likelihood of the Securities that are subject to the Procedures Related to the Delivery of Securities During a Reorganization being transferred from a person that acquires them to any person other than a Qualified Institutional Investor; and
前号に掲げる場合及びイに掲げる場合以外の場合(当該組織再編成交付手続に係る有価証券と種類を同じくする有価証券の発行及び交付の状況等を勘案して政令で定める要件に該当する場合を除く。)であつて、当該組織再編成交付手続に係る有価証券が多数の者に所有されるおそれが少ないものとして政令で定める場合
(b)cases other than those specified in the preceding item or in sub-item (a) (excluding cases satisfying the requirements that are specified by Cabinet Order in consideration of the status, etc. of issuance and delivery of Securities of the same class as the Securities subject to the Procedures Related to the Delivery of Securities During a Reorganization), which are specified by Cabinet Order as those in which there is little likelihood of the Securities that are subject to said Procedures Related to the Delivery of Securities During a Reorganization being held by a large number of persons; and
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)cases specified by Cabinet Order as those in which the Reorganizing Company's Shareholders, etc. constitute a considerably large number of persons.
(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 do 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, paragraph (1), items (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, paragraph (1), items (iii), (vi), and (xii) (excluding Securities that are specified by Cabinet Order as Securities with regard to which the public interest or the protection of investors makes it necessary and appropriate for corporate affairs to be disclosed); 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, paragraph (2) which are deemed to be Securities pursuant to the provisions of Article 2, paragraph (2) (excluding the following rights (hereinafter referred to as "Rights in a Securities Investment Business, etc." in Article 24, paragraph (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, paragraph (2), item (v), those specified by Cabinet Order as a right in Invested Business (meaning Invested Business as defined in Article 2, paragraph (2), item (v)) that is 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, paragraph (2), items (i) to (iv) inclusive, (vi), or (vii), those specified by Cabinet Order as being similar to the rights set forth in sub-item (a) above; and
その他政令で定めるもの
(c)other rights specified by 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)corporate bond certificates for which the government guarantees the redemption of the principal or the payment of interest; 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)Securities specified by Cabinet Order other than those set forth in the preceding items.
(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及び第三項に規定する特定投資家等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)It is not permitted for a person to conduct a Public Offering of Securities (including Specified Procedures Related to the Issuance of Securities During a Reorganization; the same applies hereinafter in this Chapter and the following Chapter, except in Article 13 and Article 15, paragraphs (2) to (6) inclusive) or a Secondary Distribution of Securities (excluding those falling under the category of General Solicitation Involving for Securities Acquired by a Qualified Institutional Investor as defined in the following paragraph or of General Solicitation Involving Securities Acquired by a Professional Investor as defined in paragraph (3), but including Specified Procedures Related to the Delivery of Securities During a Reorganization; hereinafter the same applies in this paragraph) unless the Issuer has filed a notification of the Public Offering or Secondary Distribution of Securities with the Prime Minister; provided, however, that this does not apply to a Public Offering or Secondary Distribution of Securities that falls under one 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 a case specified by Cabinet Order as one in which the other parties thereto have already obtained or can easily obtain information about the particulars set forth in the items of paragraph (1) of the following Article for the relevant Securities;
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 for which the pertinent Procedures Related to the Issuance of Securities During a Reorganization or Procedures Related to the Delivery of Securities During a Reorganization fall under either of the following cases (excluding a Public Offering or Secondary Distribution as 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)cases not falling under a case in which disclosure has been made with regard to share certificates (including share option certificates and other Securities specified by Cabinet Order) whose issuer is the Reorganization 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)a case in which disclosure has been made with regard to the Securities that will be newly issued in connection with the Procedures Related to the Issuance of Securities During a Reorganization, or a case in which disclosure has been made with regard to previously issued Securities subject to the Procedures Related to the Delivery of Securities During a 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 a case in which disclosure has been made with regard to the Securities (excluding a Secondary Distribution provided for in the preceding two items);
外国で既に発行された有価証券又はこれに準ずるものとして政令で定める有価証券の売出し(金融商品取引業者等が行うものに限る。)のうち、国内における当該有価証券に係る売買価格に関する情報を容易に取得することができることその他の政令で定める要件を満たすもの(前三号に掲げるものを除く。)
(iv)a Secondary Distribution of Securities that have already been issued in a foreign state or of Securities specified by Cabinet Order as being equivalent thereto (limited to those conducted by a Financial Services Provider, etc.), which satisfies the requirement that information on the trading price of the Securities in Japan can be easily obtained and any other requirements specified by Cabinet Order (excluding a Secondary Distribution provided for in the preceding three items); or
発行価額又は売出価額の総額が一億円未満の有価証券の募集又は売出しで内閣府令で定めるもの(前各号に掲げるものを除く。)
(v)a Public Offering or Secondary Distribution of Securities with a total issue value or total distribution value of less than 100 million yen, which is specified by Cabinet Office Ordinance (excluding those specified in the preceding items).
その有価証券発行勧誘等(取得勧誘及び組織再編成発行手続をいう。以下同じ。)又は有価証券交付勧誘等(売付け勧誘等及び組織再編成交付手続をいう。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(第二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多数の者から除かれた適格機関投資家が取得した有価証券に限り、第四号に掲げる場合にあつては同条第四項第一号の規定により多数の者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)It is not permitted for a person to issue a solicitation with a view to delivering existing securities (meaning an Offer to Sell, etc. or Procedures Related to the Delivery of Securities During a Reorganization; the same applies hereinafter) that involves Securities that have been involved in a solicitation with a view to issuing new securities (meaning the Solicitation of Offers to Acquire or the Procedures Related to the Issuance of Securities During a Reorganization; the same applies hereinafter) or a solicitation with a view to delivering existing securities falling under any of the following cases (in the case set forth in item (ii), limited to the Securities acquired by qualified institutional investors that have been excluded from the large number of persons pursuant to Article 2, paragraph (3), item (i), and in the case set forth in item (iv), limited to the Securities acquired by qualified institutional investors that have been excluded from the large number of persons pursuant to paragraph (4), item (i) of that Article), and that involves a qualified institutional investor soliciting persons other than qualified institutional investors (such a solicitation is hereinafter referred to as a "General Solicitation Involving Securities Acquired by a Qualified Institutional Investor"), unless the Issuer of the Securities has filed a notification of the relevant General Solicitation Involving for Securities Acquired by the a Qualified Institutional Investor with the Prime Minister; provided, however, that this does not apply to a case in which disclosure has been made with regard to the Securities, or to a case in which the General Solicitation Involving for Securities Acquired by the Qualified Institutional Investor will be issued for a compelling reason specified by Cabinet Office Ordinance, or otherwise satisfies the requirements specified by Cabinet Office Ordinance:
第二条第三項第二号イに掲げる場合
(i)the case set forth in Article 2, paragraph (3), item (ii), sub-item (a);
第二条第三項第二号ハに掲げる場合(同項第一号の規定により多数の者から適格機関投資家を除くことにより同号に掲げる場合に該当しないこととなる場合に限る。)
(ii)the case set forth in Article 2, paragraph (3), item (ii), sub-item (c) (but only if it comes to no longer fall under the case set forth in item (i) of that paragraph due to the qualified institutional investors' being excluded from the large number of persons pursuant to that item);
第二条第四項第二号イに掲げる場合
(iii)the case set forth in Article 2, paragraph (4), item (ii), sub-item (a);
第二条第四項第二号ハに掲げる場合(同項第一号の規定により多数の者から適格機関投資家を除くことにより同号に掲げる場合に該当しないこととなる場合に限る。)
(iv)the case set forth in Article 2, paragraph (4), item (ii), sub-item (c) (but only if it comes to no longer fall under the case set forth in item (i) of that paragraph due to the qualified institutional investors' being excluded from the large number of persons pursuant to that item);
第二条の二第四項第二号イに掲げる場合
(v)the case set forth in Article 2-2, paragraph (4), item (ii), sub-item (a); and
第二条の二第五項第二号イに掲げる場合
(vi)the case set forth in Article 2-2, paragraph (5), item (ii), sub-item (a).
次の各号のいずれかに該当する有価証券(第二十四条第一項各号のいずれかに該当するもの又は多数の特定投資家に所有される見込みが少ないと認められるものとして政令で定めるものを除く。以下「特定投資家向け有価証券」という。)の有価証券交付勧誘等で、金融商品取引業者等に委託して特定投資家等に対して行うもの以外のもの(国、日本銀行及び適格機関投資家に対して行うものその他政令で定めるものを除く。以下「特定投資家等取得有価証券一般勧誘」という。)は、発行者が当該特定投資家等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、当該特定投資家向け有価証券に関して開示が行われている場合及び当該特定投資家等取得有価証券一般勧誘に関して届出が行われ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場合は、この限りでない。
(3)It is not permitted for a person to issue a solicitation with a view to delivering existing securities that involves Securities falling under any of the following items (excluding Securities falling under any of the items of Article 24, paragraph (1) or Securities specified by Cabinet Order as those which it is found are unlikely to be held by a large number of Professional Investors; hereinafter referred to as the "Securities for Professional Investors"), but that does not involve a Financial Services Provider, etc. being entrusted to solicit Professional Investors, etc. (with the exception of a solicitation issued to the State, the Bank of Japan, or qualified institutional investors, and also with the exception of solicitation specified by Cabinet Order; hereinafter referred to as a "General Solicitation Involving Securities Acquired by a Professional Investor"), unless the Issuer of Securities has filed a notification of the relevant General Solicitation Involving Securities Acquired by a Professional Investor with the Prime Minister; provided, however, that this does not apply in a case in which disclosure has been made with regard to the Securities for Professional Investors and in any other case that is specified by Cabinet Office Ordinance as one in which the non-filing of a notification for a General Solicitation Involving Securities Acquired by a Professional Investor does not damage the public interest or result in insufficient investor protection:
その取得勧誘が第二条第三項第二号ロに掲げる場合に該当する取得勧誘(以下「特定投資家向け取得勧誘」という。)であつた有価証券
(i)Securities for which the Solicitation of Offers to Acquire fell under the case specified in Article 2, paragraph (3), item (ii), sub-item (b) (hereinafter referred to as a "Exclusive Solicitation of Offers to Acquire Targeting Professional Investors");
その売付け勧誘等が特定投資家向け売付け勧誘等であつた有価証券
(ii)Securities for which the Offer to Sell, etc. was an exclusive Offer to Sell, etc. to Professional Investors;
前二号のいずれかに掲げる有価証券の発行者が発行する有価証券であつて、前二号のいずれかに掲げる有価証券と同一種類の有価証券として内閣府令で定めるもの
(iii)Securities issued by an Issuer of the Securities provided for in either of the preceding two items, which are specified by Cabinet Office Ordinance as being the same class of Securities as those provided for in either of the preceding two items; or
特定上場有価証券その他流通状況がこれに準ずるものとして政令で定める有価証券
(iv)Specified Listed Securities and other Securities specified by Cabinet Order as having equivalent distribution statuses thereto.
有価証券の募集又は売出し(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。)、特定投資家等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。次項及び第六項、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三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。
(4)If a Public Offering or Secondary Distribution of Securities (including a General Solicitation Involving Securities Acquired by a Qualified Institutional Investor (excluding those falling under the category of a Secondary Distribution of Securities), a General Solicitation Involving Securities Acquired by a Professional Investor (excluding those falling under the category of a Secondary Distribution of Securities), and Procedures Related to the Delivery of Securities During a Reorganization; hereinafter the same applies in this Chapter and the following Chapter, except in the following paragraph and paragraph (6) of this Article, Article 13, and Article 15, paragraphs (2) to (6) inclusive) will be made for the shareholders (including preferred equity investors provided for in the Act on Preferred Equity Investment) that have been stated or recorded in the shareholder register (including the preferred equity investor register provided for in the Act on Preferred Equity Investment) as of a certain date, the notification for the Public Offering or Secondary Distribution under the preceding three paragraphs must be made 25 days prior; provided, however, that this does not apply in the cases that are specified by Cabinet Office Ordinance in consideration of the issue price or distribution price of the Securities or other factors.
第一項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若しくは第三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特定投資家等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」という。)をし、又は当該特定募集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資料には、当該特定募集が第一項本文、第二項本文又は第三項本文の規定の適用を受けないものである旨を表示しなければならない。
(5)Materials that are used for a Public Offering or Secondary Distribution of Securities specified in paragraph (1), item (v), for a General Solicitation for Involving Securities Acquired by a Qualified Institutional Investor which is excluded from the application of the main clause of paragraph (2) pursuant to the proviso to that paragraph, or for a General Solicitation Involving Securities Acquired by a Professional Investorwhich is excluded from the application of the main clause of paragraph (3) pursuant to the proviso to that paragraph, which falls under the category of a Secondary Distribution of Securities, or which does not fall under the category of a Secondary Distribution of Securities and does not fall under a case in which disclosure has been made (hereinafter referred to as a "Specified Public Offering" in this paragraph and the following paragraph), and materials that are used in causing the Securities in a Specified Public Offering to be acquired or in selling such Securities, must indicate that the main clause of paragraph (1), the main clause of paragraph (2) or the main clause of paragraph (3) does not apply to said Specified Public Offering.
特定募集又は第一項第三号に掲げる有価証券の売出し(以下この項において「特定募集等」という。)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四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、第一項第三号に掲げる有価証券の売出しで当該有価証券の発行者その他の内閣府令で定める者以外の者が行うもの及び同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。
(6)Whenever a Specified Public Offering or Secondary Distribution of Securities set forth in paragraph (1), item (iii) (hereinafter collectively referred to as a "Specified Public Offering, etc." in this paragraph) is conducted, the Issuer of the Securities in the Specified Public Offering, etc. shall submit a written notice of the Specified Public Offering, etc. to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance, by the day preceding the day on which the Specified Public Offering, etc. begins; provided, however, that this does not apply to a Secondary Distribution of Securities as set forth in paragraph (4) whose total distribution value is less than 100 million yen in a case in which disclosure has been made, nor to a Secondary Distribution of Securities as set forth in paragraph (1), item (iii) conducted by a person other than the Issuer of said Securities or a person specified by Cabinet Office Ordinance, nor to a Public Offering or Secondary Distribution of Securities as set forth in item (v) of that paragraph whose total issue value or total distribution value is less than the amount specified by Cabinet Office Ordinance.
第一項第二号イ及びロ並びに第三号、第二項、第三項並びに前二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。
(7)As set forth in sub-items (a) and (b) of item (ii) and item (iii) of paragraph (1), paragraph (2), paragraph (3) and the preceding two paragraphs, a case in which disclosure has been made means one of 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又は特定投資家等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、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又は当該有価証券について既に行われた特定投資家等取得有価証券一般勧誘に関する第三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)a notification under paragraph (1) is in effect for a Public Offering or Secondary Distribution which has already been conducted with regard to the relevant Securities (excluding one that falls under the category of a General Solicitation Involving Securities Acquired by a Qualified Institutional Investor or a General Solicitation Involving Securities Acquired by a Professional Investor); a notification under paragraph (2) is in effect for a General Solicitation Involving Securities Acquired by a Qualified Institutional Investor which has already been conducted with regard to said Securities; or a notification under paragraph (3) is in effect for a General Solicitation Involving Securities Acquired by a Professional Investor which has already been conducted with regard to said Securities (unless the proviso to Article 24, paragraph (1) is applicable (including as applied mutatis mutandis pursuant to Article 24, paragraph (5) and as these provisions apply mutatis mutandis pursuant to Article 27) 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)cases specified by Cabinet Office Ordinance as being equivalent to the cases provided for in the preceding item.
(有価証券届出書の提出)
(Submission of Registration Statements)
第五条前条第一項から第三項まで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、第六十六条の四十第五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)If an Issuer seeking to file a notification for a Public Offering or Secondary Distribution of Securities under paragraphs (1) to (3) inclusive of the preceding Article (excluding a Public Offering or Secondary Distribution of Securities for regulated Securities (meaning Securities specified by Cabinet Order as those for which the information materially influencing investors' investment decisions is information on asset management or other similar business that the Issuer conducts; hereinafter the same applies in this paragraph and paragraph (5) of this Article and Article 24); hereinafter the same applies in this paragraph and the following paragraph) is a company (including a foreign company; the same applies hereinafter, except in Article 50-2, paragraph (9), Article 66-40, paragraph (5) and Article 156-3, paragraph (2), item (iii)) (including if the company will be incorporated by the issuance of said Securities (excluding regulated Securities; hereinafter the same applies in this paragraph to paragraph (4) inclusive)), it must submit a statement to the Prime Minister in which it states the following particulars, pursuant to the provisions of Cabinet Office Ordinance; provided, however, that, if it is necessary to conduct the Public Offering of Securities before deciding their issue price or in other cases specified by Cabinet Office Ordinance, the Issuer may submit the statement without giving the issue price or other particulars in item (i) that are specified by Cabinet Office Ordinance:
当該募集又は売出しに関する事項
(i)the particulars of 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)the trade name of the company, the financial condition of the corporate group (meaning the group consisting of the relevant company and persons (limited to companies and other entities specified by Cabinet Office Ordinance) satisfying the requirements that Cabinet Office Ordinance specifies, as other companies in which the relevant company holds majority voting rights or as persons that are otherwise closely related to the relevant company; the same applies hereinafter) to which the company belongs and the company's own financial condition and other material particulars about the company's business, and other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors.
前条第一項本文、第二項本文又は第三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)In its statement, a person not falling under any of the following items which seeks to submit a statement set forth in the preceding paragraph for a Public Offering or a Secondary Distribution of Securities to which the main clause of paragraph (1), the main clause of paragraph (2), or the main clause of paragraph (3) of the preceding Article applies, the total issue value or the total distribution value of which is less than 500 million yen and which is specified by Cabinet Office Ordinance for this purpose (such a Public Offering or Secondary Distribution of Securities is referred to as "Low Value Public Offering, etc." in Article 24, paragraph (2)), may state the particulars set forth in Article 24, paragraph (2), item (ii) which is specified by Cabinet Office Ordinance as being pertinent with regard to the relevant company, instead of stating the particulars set forth in that item:
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)an Issuer of Securities that fall under any of the categories specified in Article 24, paragraph (1), item (i), (ii) or (iv);
前条第一項本文、第二項本文又は第三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又は提出しなければならない者(前号に掲げる者を除く。)
(ii)a person that submits or is required to submit a statement under the preceding paragraph in which it states the particulars set forth in item (ii) of the preceding paragraph for a Public Offering or Secondary Distribution of Securities to which the main clause of paragraph (1), the main clause of paragraph (2), or the main clause of paragraph (3) of the preceding Article has been applied (excluding the persons 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)a person that has already submitted an Annual Report (meaning a report as set forth in Article 24, paragraph (1); hereinafter the same applies in this Article) in which it states the particulars set forth in the main clause of Article 24, paragraph (1), a Quarterly Report as set forth in Article 24-4-7, paragraph (1) or (2) (hereinafter referred to as a "Quarterly Report" in this Article) which it states the particulars set forth in Article 24-4-7, paragraph (1), or a Semiannual Report (meaning a report as set forth in Article 24-5, paragraph (1); hereinafter the same applies in this Article and Article 24, paragraph (2)) which it states the particulars set forth in Article 24-5, paragraph (1) (excluding a person provided for 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、前条第一項から第三項まで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)If a person that has continuously filed Annual Reports as specified by Cabinet Office Ordinance during the period specified by Cabinet Office Ordinance seeks to file a notification under paragraphs (1) to (3) inclusive of the preceding Article, instead of stating the particulars set forth in paragraph (1), item (ii), such person, pursuant to the provisions of Cabinet Office Ordinance, may interfile a copy of its latest Annual Report and the accompanying documents, a copy of any Quarterly Report or Semiannual Report submitted after the submission of the Annual Report, and a copy of any amended report connected with the foregoing reports in the statement set forth in paragraph (1), and enter in that statement any facts specified by Cabinet Office Ordinance which come into play after the submission of the Annual Report.
次に掲げるすべての要件を満たす者が前条第一項から第三項まで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)If a person that satisfies all of the requirements set forth below seeks to file a notification under paragraphs (1) to (3) inclusive of the preceding Article, and the person enters in the statement set forth in paragraph (1), pursuant to the provisions of Cabinet Office Ordinance, that reference should be made to the latest Annual Report and accompanying documents, the Quarterly Report, Semiannual Report, or Ad Hoc Report (meaning a report as set forth in Article 24-5, paragraph (4)) submitted after the submission of the Annual Report, or any amended report connected with them (hereinafter collectively referred to as "Reference Documents"), the person is deemed to have stated the particulars set forth 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 Reports as specified by Cabinet Office Ordinance during the period specified by 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 specified by Cabinet Office Ordinance as a person with regard to which information about the particulars set forth in paragraph (1), item (ii) is widely available to the public, with regard to the status of transactions on Financial Instruments Exchange Markets in issued Securities of which the person is the issuer.
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 inclusive apply mutatis mutandis if the Securities for which the notification set forth in paragraph (1) is filed are regulated Securities.In this case, in paragraph (1), the phrase "excluding a Public Offering or Secondary Distribution of Securities" is deemed to be replaced with "limited to a Public Offering or Secondary Distribution of Securities" and the phrase "said Securities (excluding regulated Securities; hereinafter the same applies in this paragraph to paragraph (4) inclusive)" is deemed to be replaced with "said Securities"; in item (ii) of that paragraph, the phrase "trade name of the company, the financial condition of the corporate group (meaning the group consisting of the relevant company and persons (limited to companies and other entities specified by Cabinet Office Ordinance) satisfying the requirements that Cabinet Office Ordinance specifies, as other companies in which the relevant company holds majority voting rights or as persons that are otherwise closely related to the relevant company; the same applies hereinafter) to which the company belongs and the company's own financial condition and other material particulars of the company's business" is deemed to be replaced with "financial condition of its asset management or other similar business conducted by the company and other material particulars of the company's assets"; in paragraph (2), the phrase "a Public Offering or Secondary Distribution of Securities" is deemed to be replaced with "a Public Offering or Secondary Distribution of regulated Securities"; in item (i) of that paragraph, the phrase "Securities falling under any of the categories" is deemed to be replaced with "regulated Securities falling under any of the categories of Securities"; in item (ii) of that paragraph, the phrase "Public Offering or Secondary Distribution of Securities" is deemed to be replaced with "Public Offering or Secondary Distribution of regulated Securities"; in item (iii) of that paragraph, the phrase "the main clause of Article 24, paragraph (1)" is deemed to be replaced with "the main clause of Article 24, paragraph (1) as applied mutatis mutandis pursuant to Article 24, paragraph (5)", the phrase "Article 24-4-7, paragraph (1) or (2)" is deemed to be replaced with "Article 24-4-7, paragraph (1) or (2) as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (3)", the phrase "the particulars set forth in Article 24-4-7, paragraph (1)" is deemed to be replaced with "the particulars set forth in Article 24-4-7, paragraph (1) as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (3)", and the phrase "the particulars set forth in Article 24-5, paragraph (1)" is deemed to be replaced with "the particulars set forth in Article 24-5, paragraph (1) as applied mutatis mutandis pursuant to Article 24-5, paragraph (3)"; and any other necessary technical replacement of terms is specified by 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 Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors must accompany the 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 Statements and Other Documents to a Financial Instruments Exchange, etc.)
第六条次の各号に掲げる有価証券の発行者は、第四条第一項から第三項まで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 6An Issuer of the Securities set forth in the following items shall submit a copy of the statement and other documents set forth in paragraph (1) and paragraph (6) of the preceding Article to the person specified in the relevant item without delay after filing the notification under Article 4, paragraphs (1) to (3) inclusive:
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 on a Financial Instruments Exchange:said 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 Cabinet Order as having equivalent distribution statuses to the Securities referred to in the preceding item:the Authorized Financial Instruments Busines Association specified by Cabinet Order.
(訂正届出書の自発的提出)
(Voluntary Submission of Amended Statements)
第七条第四条第一項から第三項まで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 7If, on or after the day on which a notification under Article 4, paragraphs (1) to (3) inclusive is filed and before the day on which that notification comes into effect, a material particular that is required to be stated in a statement or other document under Article 5, paragraph (1) or paragraph (6) changes or any other circumstance arises that is specified by Cabinet Office Ordinance as necessitating that the content of such documents be amended in the public interest or for the protection of investors, the person filing the notification (or, if it is after a company is incorporated through the issuance of the Securities for which the notification was filed, the company; the same applies hereinafter) must submit an amended statement to the Prime Minister. The same also applies in the absence of such a reason, if the person filing the notification finds there to be something in the statement or other document that necessitates an amendment.
(届出の効力発生日)
(Effective Date of Notifications)
第八条第四条第一項から第三項まで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)A notification under Article 4, paragraphs (1) to (3) inclusive comes into effect on the day on which 15 days have elapsed since the day on which the Prime Minister accepted the statement under Article 5, paragraph (1) (or, if the particulars referred to in the proviso to Article 5, paragraph (1) are not stated in the statement, the amended statement under the preceding Article which is connected with said particulars; the same applies 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 if an amended statement under the preceding Article is submitted within the period set forth in the preceding paragraph, the statement set forth in Article 5, paragraph (1) is deemed to be accepted by the Prime Minister on the day that the Prime Minister accepts the amended statement.
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、又は第四条第一項から第三項まで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、同条第一項から第三項まで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又は当該翌日に、その効力を生ずる。
(3)If the Prime Minister finds that the statement or other documents under Article 5, paragraph (1) or paragraph (6) or the preceding Article are easily understandable to the public or finds that information about the particulars set forth in Article 5, paragraph (1), item (ii) with regard to the person that submitted the statement and other documents is already widely available to the public, the Prime Minister may designate a period for the person which is shorter than that referred to in paragraph (1), or may notify the person that the notification under Article 4, paragraphs (1) to (3) inclusive will become effective immediately or on the day after the day on which the Prime Minister accepts the statement referred to in paragraph (1). In such a case, a notification under Article 4, paragraphs (1) to (3) inclusive becomes effective on the day on which the shorter period has elapsed if a shorter period has been designated, or immediately or on the following day if the person has been so notified.
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 provisions of paragraph (2) apply mutatis mutandis if a shorter period is designated as 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 an Amended Statement Due to a Formal Deficiency, 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)If the Prime Minister finds a formal deficiency in a statement or other document under Article 5, paragraph (1) or paragraph (6) or Article 7, or finds such statement or other document to insufficiently state a material particular that is required to be stated, the Prime Minister may order the person that submitted it to submit an amended statement. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act (Act No. 88 of 1993), the Prime Minister must conduct a hearing.
前項の規定による処分があつた場合においては、第四条第一項から第三項まで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)Notwithstanding the provisions of the preceding Article, if the disposition under the preceding paragraph has been reached, the notification under Article 4, paragraphs (1) to (3) inclusive becomes effective on the day on which the period designated by the Prime Minister has elapsed.
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) inclusive of the preceding Article apply mutatis mutandis in the case referred to in the preceding paragraph.
第一項の規定による処分は、第四条第一項から第三項まで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 reached on or after the day on which the notification under Article 4, paragraphs (1) to (3) inclusive becomes effective; provided, however, that this does not apply to any amended statement submitted pursuant to 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 an Amended Statement and Order Suspending the Validity of a Notification Due to a False Statement, etc.)
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、第四条第一項から第三項まで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)If the Prime Minister discovers that a Registration Statement contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, the Prime Minister, at any time, may order the person submitting the Registration Statement to submit an amended statement, and if the Prime Minister finds it to be necessary, the Prime Minister may order the suspension of the validity of a notification under Article 4, paragraphs (1) to (3) inclusive. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.
前条第二項及び第三項の規定は、第四条第一項から第三項まで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 apply mutatis mutandis if an order to submit an amended statement under the preceding paragraph is issued before the notification under Article 4, paragraphs (1) to (3) inclusive 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、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、同項の規定による停止命令を解除するものとする。
(3)If an order for suspension under paragraph (1) is issued and an amended statement under that paragraph is submitted, and if the Prime Minister finds the amended statement to be appropriate, the Prime Minister is to cancel the order for suspension under that 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 Validity of Notifications Made Within One Year After the Submission of a Registration Statement Containing a False 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)If a Registration Statement contains a false statement about a material particular and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may issue an order against the person submitting the Registration Statement with regard to said Registration Statement or with regard to any other statement as set forth in Article 5, paragraph (1), Shelf Registration Statement as set forth in Article 23-3, paragraph (1), or Shelf Registration Supplements as set forth in Article 23-8, paragraph (1) which the person submitting said Registration Statement submits within one year of the day on which the person submitted said Registration Statement, ordering the suspension of the validity of the notification or of the Shelf Registration under the relevant Shelf Registration Statement or Shelf Registration Supplements, or may extend the period stipulated in Article 8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 23-5, paragraph (1)), for the period that the Prime Minister considers appropriate in the public interest or for the protection of investors. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.
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)If a disposition under the preceding paragraph is reached and the Prime Minister finds that the content of an amended statement submitted pursuant to Article 7 or paragraph (1) of the preceding Article in relation to the false statement referred to in the preceding paragraph is appropriate, and that allowing the acquisition or sale of Securities issued by the person that submitted the Registration Statement through a Public Offering or Secondary Distribution will not compromise the public interest or the protection of investors, the Prime Minister may cancel the disposition under the preceding paragraph.
(訂正届出書の写しの金融商品取引所等への提出)
(Submission of a Copy of an Amended Statement to a 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 provisions of Article 6 apply mutatis mutandis when an amended statement is submitted pursuant to Article 7, Article 9, paragraph (1) or Article 10, paragraph (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 the Prospectus and Prohibition against the Use of a Prospectus Containing a False Statement)
第十三条その募集又は売出し(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。)及び特定投資家等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、第二項本文又は第三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(同条第七項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)The Issuer of Securities whose Public Offering or Secondary Distribution (including General Solicitation Involving Securities Acquired by a Qualified Institutional Investor (excluding anything falling under the category of a Secondary Distribution of Securities) and also including General Solicitation Involving Securities Acquired by a Professional Investor excluding anything falling under the category of a Secondary Distribution of Securities); hereinafter the same applies in this Article and paragraphs (2) to (4) inclusive and paragraph (6) of Article 15) is subject to the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2) or the main clause of Article 4, paragraph (3), shall prepare a Prospectus for such Public Offering or Secondary Distribution. The same applies to an Issuer of Securities whose Secondary Distribution (excluding one with a total distribution value of less than 100 million yen or one that falls under the categories specified by Cabinet Office Ordinance) falls under a Case In Which Disclosure Has Been Made (meaning a Case In Which Disclosure Has Been Made as referred to in Article 4, paragraph (7); hereinafter the same applies in this Chapter) (such Securities are hereinafter referred to as "Securities for Which Disclosure Has Already Been Made" 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)For the category of cases set forth in one of the following items, the details of the particulars that are specified in that item must be stated in the Prospectus referred to in the preceding paragraph; provided, however, that if a statement under the main clause of Article 5, paragraph (1) has been submitted pursuant to the proviso to Article 5, paragraph (1), without the issue price or any other particular specified by Cabinet Office Ordinance being stated among those in item (i) of that paragraph (hereinafter referred to as the "Issue Price, etc." in this paragraph and Article 15, paragraph (5)), the Prospectus in the case set forth in item (i), below, is not required to state the Issue Price, etc.:
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)if the Prospectus must be delivered pursuant to the main clause of Article 15, paragraph (2): for a category of Securities specified in the following sub-item (a) or (b), the particulars set forth in the relevant sub-item:
その募集又は売出しにつき第四条第一項本文、第二項本文又は第三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 whose Public Offering or Secondary Distribution is subject to the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3): the following particulars:
(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 those set forth in the items of Article 5, paragraph (1), the particulars specified by Cabinet Office Ordinance as having a very 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.particulars specified by Cabinet Office Ordinance other than those set forth in the items of Article 5, paragraph (1).
既に開示された有価証券 次に掲げる事項
(b)Securities for Which Disclosure Has Already Been Made: the following particulars:
(1)イ(1)に掲げる事項
1.the particulars set forth in sub-item (a)1., 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.particulars specified by Cabinet Office Ordinance other than those set forth in the items of Article 5, paragraph (1).
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)if the Prospectus must be delivered pursuant to Article 15, paragraph (3): for a category of Securities specified in the following sub-item (a) or (b), the particulars specified in the relevant sub-item:
その募集又は売出しにつき第四条第一項本文、第二項本文又は第三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 whose Public Offering or Secondary Distribution is subject to the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3): the following particulars:
(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 those set forth in the items of Article 5, paragraph (1), the particulars specified by Cabinet Office Ordinance as having a 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.particulars specified by Cabinet Office Ordinance other than those set forth in the items of Article 5, paragraph (1).
既に開示された有価証券 次に掲げる事項
(b)Securities for Which Disclosure Has Already Been Made: the following particulars:
(1)イ(1)に掲げる事項
1.the particulars set forth in sub-item (a)1., 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.particulars specified by Cabinet Office Ordinance other than those set forth in the items of Article 5, paragraph (1).
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)if the Prospectus must be delivered pursuant to the main clause of Article 15, paragraph (4):the particulars stated in the amended statement 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)If, in a Prospectus under item (i) or (ii) of the preceding paragraph that a person submitting a notification to which the provisions of Article 5, paragraph (4) apply (including as applied mutatis mutandis pursuant to paragraph (5) of that Article; the same shall apply hereinafter) is required to prepare or that a person satisfying all of the requirements specified in the items of Article 5, paragraph (4) is required to prepare in connection with Securities for Which Disclosure Has Already Been Made, the relevant person has stated that reference should be made to the Reference Documents, said person is deemed to have stated the particulars set forth in Article 5, paragraph (1), item (ii).
何人も、第四条第一項本文、第二項本文若しくは第三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)It is prohibited for any person to use a Prospectus referred to in paragraph (1) that contains a false statement or omits a statement as to a detail that is required to be stated, for a Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3), or for a Public Offering or Secondary Distribution of Securities for Which Disclosure Has Already Been Made.
何人も、第四条第一項本文、第二項本文若しくは第三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)It is prohibited for any person to make a false or misleading representation in documents, drawings, sounds, or other materials (this includes anything that shows the contents of information that has been recorded in electronic or magnetic records (meaning records used in computer data processing which are created in electronic form, magnetic form, or any form that is otherwise impossible to perceive through the human senses alone; the same applies hereinafter), if such materials have been prepared as electronic or magnetic records; the same applies in Article 17) other than the Prospectus referred to in paragraph (1), which are used for the purpose of a Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3) or for a Public Offering or Secondary Distribution Securities for Which Disclosure Has Already Been 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 Transactions in Securities Prior to a Notification Coming 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。)又は特定投資家等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、第二項本文又は第三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)It is prohibited for an Issuer, person that conducts a Secondary Distribution of Securities, Underwriter (including a person that, with regard to a General Solicitation Involving Securities Acquired by a Qualified Institutional Investor (except in a Case In Which Disclosure Has Been Made with regard to the Securities for which the general solicitation is issued) or with regard to a General Solicitation Involving Securities Acquired by a Professional Investor (except in a Case In Which Disclosure Has Been Made with regard to the Securities for which the general solicitation is issued), conducts any of the acts specified in the items of Article 2, paragraph (6); hereinafter the same applies in this Chapter), Financial Services Provider, registered financial institution, or Financial Instruments Intermediary to cause Securities to be acquired whose Public Offering or Secondary Distribution is subject to the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3), nor may it sell such Securities through a Public Offering or Secondary Distribution, unless the notification under the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3) has become effective.
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)When an Issuer, person that conducts a Secondary Distribution of Securities, Underwriter, Financial Services Provider, registered financial institution, or Financial Instruments Intermediary causes Securities referred to in the preceding paragraph, or Securities for Which Disclosure Has Already Been Made, to be acquired through a Public Offering or Secondary Distribution, or when it sells such Securities through a Public Offering or Secondary Distribution, it shall deliver a Prospectus that states the particulars specified in Article 13, paragraph (2), item (i) to the other person in advance or at the same time; provided, however, that this does not apply in 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)the Securities are acquired by or sold to a qualified institutional investor (unless the qualified institutional investor requests to be delivered the Prospectus by the time it acquires or is sold the Securities through the 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)the Securities are acquired by or sold to a person set forth in the following, and such person has consented not to be delivered the Prospectus (unless the consenting person requests to be delivered the Prospectus by the time it acquires or is sold the Securities through the Public Offering or Secondary Distribution):
当該有価証券と同一の銘柄を所有する者
(a)a person that already holds the same issue of Securities as the relevant 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 with the consenting person has already received the Prospectus or is reliably 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)When an Issuer, person that conducts a Secondary Distribution of Securities, Underwriter, Financial Services Provider, registered financial institution, or Financial Instruments Intermediary causes Securities referred to in paragraph (1) (limited to those specified by Cabinet Order; hereinafter the same applies in this paragraph), or Securities for Which Disclosure Has Already Been Made, to be acquired through a Public Offering or Secondary Distribution, or when it sells such Securities through a Public Offering or Secondary Distribution, if the counterparty requests to be delivered a Prospectus that states the particulars specified in Article 13, paragraph (2), item (ii) by the time the counterparty acquires or is sold the Securities through the Public Offering or Secondary Distribution, the Issuer, person that conducts the Secondary Distribution of Securities, Underwriter, Financial Services Provider, registered financial institution, or Financial Instruments Intermediary shall deliver said Prospectus 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)When an Issuer, person that conducts a Secondary Distribution of Securities, Underwriter, Financial Services Provider , registered financial institution, or Financial Instruments Intermediary causes Securities referred to in paragraph (1) or Securities for Which Disclosure Has Already Been Made to be acquired through a Public Offering or Secondary Distribution, or when it sells such Securities through a Public Offering or Secondary Distribution, if an amended statement under Article 7 has been submitted in connection with the statement referred to in the main clause of Article 5, paragraph (1) for the relevant Securities, the Issuer, person that conducts the Secondary Distribution of Securities, Underwriter, Financial Services Provider registered financial institution, or Financial Instruments Intermediary shall deliver a Prospectus that states the particulars specified in Article 13, paragraph (2), item (iii) in advance, or at the same time; provided, however, that this does 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 does not apply if an indication that the Issue Price, etc. will be announced separately and the means of its announcement (limited to means specified by Cabinet Office Ordinance) are stated in a Prospectus referred to under paragraph (2) which has been delivered without the Issue Price, etc. being stated pursuant to the proviso to Article 13, paragraph (2), and if the Issue Price, etc. has actually been announced by said means.
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から第三項まで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 apply mutatis mutandis if the remainder of the Securities referred to in paragraph (1) that are not acquired by any person through a Public Offering or Secondary Distribution (excluding Securities that fall under any of the categories specified in Article 24, paragraph (1), items (i) and (ii)) is caused to be acquired or is sold other than through a Public Offering or Secondary Distribution within three months (excluding, if an order for suspension under Article 10, paragraph (1) or Article 11, paragraph (1) has been issued, the period from the day on which the order for suspension was issued until the day on which the order was canceled) from the day on which the notification under Article 4, paragraphs (1) to (3) inclusive for the Public Offering or Secondary Distribution came into effect.
(違反行為者の賠償責任)
(Compensatory Liability of Violators)
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 violates the preceding Article in causing Securities to be acquired is liable to compensate the person that acquires the Securities for damage arising from the violation.
(虚偽記載のある目論見書等を使用した者の賠償責任)
(Compensatory Liability of a Person Using a Prospectus Containing a False Statement)
第十七条第四条第一項本文、第二項本文若しくは第三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 17A person that, in a Public Offering or Secondary Distribution of Securities that is subject to the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2) or the main clause of Article 4, paragraph (3) or of Securities for Which Disclosure Has Already Been Made, causes Securities to be acquired while using a Prospectus referred to in Article 13, paragraph (1) that contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, or while using materials that contain a false or misleading representation about a material particular, or that omit a representation of material fact that is necessary to prevent them from being misleading, is liable to compensate for damage sustained by a person that acquires the Securities without knowing that the statement is false or has been omitted, that the representation is false or misleading, or that a representation has been omitted; provided, however, that this does not apply if the person that would be liable to compensate proves it did not know, and in the exercise of reasonable care could not have known, that the statement was false or had been omitted, or that the representation was false or misleading.
(虚偽記載のある届出書の届出者等の賠償責任)
(Compensatory Liability of the Person Submitting a Registration Statement Containing a False Statement)
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 Registration Statement contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, the person that submitted the Registration Statement is liable to compensate for damage sustained by a person that acquires the Securities through the Public Offering or Secondary Distribution; provided, however, that this does not apply if the person that acquires the Securities knows that the statement is false or has been omitted at the time the person offers 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 applies mutatis mutandis if a Prospectus referred to in Article 13, paragraph (1) contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading.In this case, in the preceding paragraph, the phrase "the person that submitted the Registration Statement" is deemed to be replaced with "the Issuer that prepared the Prospectus" and the phrase "through the Public Offering or Secondary Distribution" is deemed to be replaced with "through the Public Offering or Secondary Distribution after receiving the Prospectus."
(虚偽記載のある届出書の届出者等の賠償責任額)
(Amount of Compensatory Liability Person Submitting a Registration Statement That Contains a False 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 compensation for which a person is liable pursuant to the preceding Article is the amount calculated by deducting the amount specified in each of the following items from the amount that the claimant paid to acquire the Securities:
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)the market value of the Securities at the time the claimant claims damages pursuant to the preceding Article (or, if they have no market value, their estimated disposal value at such time); 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)the disposal value of the Securities, if they were 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)If the person that would be liable to compensate pursuant to the preceding Article proves that the whole or part of the damage sustained by the claimant is due to circumstances other than the decline in the value of the Securities that would have arisen from the Registration Statement or the Prospectus containing a false statement about a material particular, omitting a statement as to a material particular that is required to be stated, or omitting a statement of material fact that is necessary to prevent it from being, the person is not liable for the whole or such part of the compensation.
(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 of the Right to Claim Compensation from the Person Submitting a Registration Statement That Contains a False 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から第三項まで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 20A claim for compensation under Article 18 extinguishes if compensation is not claimed within three years of when the claimant comes to know, or in exercise of reasonable care could have come to know, that the Registration Statement or the Prospectus includes a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading. The same applies if compensation is not claimed within seven years (excluding, if an order for suspension under Article 10, paragraph (1) or Article 11, paragraph (1) has been issued, the period from the day on which the order for suspension is issued to the day on which the order is canceled) of the time that the notification under Article 4, paragraphs (1) to (3) inclusive for the relevant Public Offering or Secondary Distribution of the Securities comes into effect or the Prospectus is delivered.
(虚偽記載のある届出書の提出会社の役員等の賠償責任)
(Compensatory Liability of the Officers, etc. of a Company Submitting a Statement That Contains a False Statement)
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つていたときは、この限りでない。
Article 21(1)If a Registration Statement contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, the following persons are liable to compensate a person that acquires the relevant Securities through a Public Offering or Secondary Distribution, for damage arising from the statement being false or having been omitted; provided, however, that this does not apply if the person that acquires the Securities knows that the statement is false or has been omitted at the time the person offers to acquire 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 that, at the time of submission of the Registration Statement, is an officer (meaning a director, accounting advisor, company auditor, executive officer, or a person equivalent thereto; the same applies hereinafter, except in Article 163 to Article 167 inclusive) of the company that submitted the Registration Statement, or an incorporator of said company (limited to cases in which the Registration Statement was submitted before the incorporation 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 subject to the Secondary Distribution (or, if the holder had acquired the Securities from their previous holder by entering into a contract specifying that the Securities would be sold through a Secondary Distribution, the previous holder that is the other party to the contract);
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)a certified public accountant or the auditing firm that, in the audit certification provided for in Article 193-2, paragraph (1) in connection with the Registration Statement, certifies a statement in the documents under the audit certification which is false or has been omitted, as not being false or as not having been omitted; 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 Services Provider or registered financial institution that concludes the Original Underwriting Contract with the Issuer of the Securities subject to the Public Offering or with either 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 set forth in one of the following items is not liable for the compensation set forth in that paragraph, if said person proves the particular set forth in the relevant item:
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)the person specified in item (i) or (ii) of the preceding paragraph:it did not know, and in the exercise of reasonable care could not have known, that the statement was false or had been omitted;
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:it did not intentionally or negligently provide such inappropriate certification; 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 person or firm specified in item (iv) of the preceding paragraph:it did not know, and, with respect to parts other than the part involving documents related to financial accounting provided for in Article 193-2, paragraph (1), in the exercise of reasonable care it could not have known, that the statement was false or had been omitted.
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 apply mutatis mutandis if a Prospectus referred to in Article 13, paragraph (1) contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading.In this case, in paragraph (1), the phrase "through the relevant Public Offering or Secondary Distribution" is deemed to be replaced with "through the relevant Public Offering or Secondary Distribution after receipt of the Prospectus", the phrase "the company that submitted the Registration Statement" is deemed to be replaced with "the company that prepared the Prospectus", the phrase "at the time of submission" is deemed to be replaced with "at the time of preparation", and the phrase "was submitted" is deemed to be replaced with "was prepared".
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 "Original Underwriting Contract" as used in paragraph (1), item (iv) means either of the following contracts as concluded for a Public Offering or Secondary Distribution of Securities:
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 stipulating that the Underwriter will acquire all or part of the relevant Securities from the Issuer or holder (excluding a Financial Services Provider or registered financial institution; the same applies in the following item), with the aim 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 stipulating that if no other person acquires all or part of the relevant Securities, the Underwriter will acquire those that remain from the Issuer or holder.
(虚偽記載等のある書類の提出者の賠償責任)
(Compensatory Liability of a Person Submitting a Document That Contains a False 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 a document set forth in one of the items of Article 25, paragraph (1) (excluding items (v) and (ix)) (hereinafter referred to as a "Document" in this Article) contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, the person submitting the Document is liable to compensate a person that, during the period the Document is being made available for public inspection as required by Article 25, paragraph (1), acquires Securities issued by the person submitting the Document (excluding a document set forth in Article 25, paragraph (1), item (xii)) or by a person whose Parent Company, etc. (meaning a Parent Company, etc. as defined by Article 24-7, paragraph (1)) is the person submitting the Document (limited to a document set forth in Article 25, paragraph (1), item (xii)) other than through a Public Offering or Secondary Distribution, for damage arising from the statement being false or having been omitted (hereinafter collectively referred to as being a "False Statement, etc." in this Article), to an extent not exceeding the amount calculated in accordance with the rule provided in Article 19, paragraph (1); provided, however, that this does not apply if the person that acquires the Securities knows of the False 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, if the fact that a false statement, etc. in the relevant Document is contained is disclosed , a person that has acquired the relevant Securities within the one year prior to the day of the disclosure of the existence of the false statement, etc. (hereinafter referred to as the "Disclosure Date" in this paragraph) and that continues to hold the Securities on the Disclosure Date, may assert the amount calculated by deducting the average market value (or, if no market value exists, the estimated disposal value; hereinafter the same applies in this paragraph) during the one month after the Disclosure Date from the average market value during one month prior to the Disclosure Date, to be the amount of damage arising from the Document's False Statement, etc.
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 "disclosure of the existence of a false statement, etc." as used in the preceding paragraph means that the person submitting the Document or a person that has statutory authority over the person submitting the Document has taken measures to put the material particular that is required to be stated and that the Document's false statement, etc. concerns or the material fact that is necessary to prevent the Document from being misleading in connection with the same, into a form that allows for a large number of persons to learn of it through public inspection provided in Article 25, paragraph (1) or through 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), if the person that would be liable to compensate proves that the whole or part of the damage sustained by the claimant was due to circumstances other than the decline in the value of the Securities that could have arisen from the Document's false statement, etc., the person is not liable for the whole or such part of the compensation.
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 a case referred to in paragraph (2) other than one referred to in the preceding paragraph, if the court finds that the whole or part of the damage sustained by the claimant was due to circumstances other than the decline in the value of the Securities that could have arisen from the Document's false statement, etc., but that it is extremely difficult to prove the amount of damage arising from such other circumstances due to the nature thereof, based on the entire import of oral arguments and the results of an examination of evidence, the court may determine an appropriate amount as the amount of damage for which the relevant person is not liable to compensate.
(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 of the Right to Claim Compensation from a Person Submitting a Document That Contains a False 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から第三項まで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 21-3The provisions of Article 20 apply mutatis mutandis to a claim for compensation under the preceding Article.In this case, in Article 20, the phrase "Article 18" is deemed to be replaced with "Article 21-2", the phrase "the Registration Statement or the Prospectus" is deemed to be replaced with "a document set forth in one of the items of Article 25, paragraph (1) (excluding items (v) and (ix))", the phrase "three years" is deemed to be replaced with "two years", and the phrase "within seven years (excluding, if an order for suspension under Article 10, paragraph (1) or Article 11, paragraph (1) has been issued, the period from the day on which the order for suspension is issued to the day on which the order is canceled) of the time that the notification under Article 4, paragraphs (1) to (3) inclusive for the relevant Public Offering or Secondary Distribution of the Securities comes into effect or the Prospectus is delivered" is deemed to be replaced with "within five years of the time that 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)
(Compensatory Liability of the Officers, etc. of a Company Submitting a Statement That Contains a False Statement, etc.)
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)If a Registration Statement contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, persons set forth in Article 21, paragraph (1), items (i) and (iii) are liable to compensate a person that, without knowing that the statement is false or has been omitted, acquires Securities issued by the person submitting the Registration Statement other than through a Public Offering or Secondary Distribution, for damage arising from the statement being false or having been omitted.
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)The provisions of Article 21, paragraph (2), items (i) and (ii) apply mutatis mutandis to a person that would be liable for the compensation set forth in the preceding paragraph.
(届出書の真実性の認定等の禁止)
(Prohibition on Presuming the Veracity of a Registration Statement)
第二十三条何人も、有価証券の募集又は売出しに関し、第四条第一項から第三項まで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 deem, based on a notification under Article 4, paragraphs (1) to (3) inclusive for a Public Offering or Secondary Distribution of Securities having been made and having come into effect, nor based on the an order for suspension under Article 10, paragraph (1) or Article 11, paragraph (1) having been canceled, that the Prime Minister certifies a statement contained in the Registration Statement submitted for the notification to be true and accurate, that the Prime Minister certifies that the Registration Statement does not omit a statement as to a material particular, or that the Prime Minister guarantees or recognizes 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 a representation that is in violation of the provisions of 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 When Reference Should Be Made to 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 the application of Article 7, Articles 9 to 11 inclusive, Articles 17 to 21 inclusive, Article 22, and the preceding Article if a statement to which Article 5, paragraph (4) is applicable is submitted or an amended statement is submitted in connection with such a statement, or if a Prospectus to which Article 13, paragraph (3) is applicable is prepared, in Article 7, the phrase "a statement or other document under Article 5, paragraph (1) or paragraph (6)" is deemed to be replaced with "a statement or other document under Article 5, paragraph (1) or paragraph (6) (including the Reference Documents for the statement, if it is one to which Article 5, paragraph (4) is applicable (including as applied mutatis mutandis pursuant to Article 5, paragraph (5); the same applies in Articles 9 to 11 inclusive); the same applies in this Article)"; in Article 9, paragraph (1), the phrase "a statement or other document under Article 5, paragraph (1) or paragraph (6) or Article 7" is deemed to be replaced with "a statement or other document under Article 5, paragraph (1) or paragraph (6) or Article 7 (including the Reference Documents for the statement or amended statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7 that has been submitted in connection with such a statement)"; in Article 10, paragraph (1), the term "Registration Statement" is deemed to be replaced with "Registration Statement (including the Reference Documents for the statement or amended statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7, paragraph (1) of the preceding Article or this paragraph which has been submitted in connection with such a statement)"; in Article 10, paragraph (3), the term "amended statement" is deemed to be replaced with "amended statement (including the Reference Documents for the amended statement, if it is connected with a statement to which Article 5, paragraph (4) is applicable)"; in Article 11, paragraph (1), the phrase "a Registration Statement contains" is deemed to be replaced with "a Registration Statement (or a Registration Statement or Reference Documents for that Registration Statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7, Article 9, paragraph (1) or paragraph (1) of the preceding Article which has been submitted in connection with such a statement) contains"; in Article 11, paragraph (2), the term "amended statement" is deemed to be replaced with "amended statement (including the Reference Documents for the amended statement, if it is connected with a statement to which Article 5, paragraph (4) is applicable)"; in Article 17, the term "Prospectus" is deemed to be replaced with "Prospectus (including the Reference Documents for the Prospectus, if it is a Prospectus to which Article 13, paragraph (3) is applicable)"; in Article 18, paragraph (1), the phrase "a Registration Statement contains" is deemed to be replaced with "a Registration Statement (or a Registration Statement or Reference Documents for that Registration Statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) which has been submitted in connection with such a statement) contains"; in Article 18, paragraph (2), the phrase "a Prospectus referred to in Article 13, paragraph (1) contains" is deemed to be replaced with "a Prospectus referred to in Article 13, paragraph (1) (or a Prospectus or Reference Documents for that Prospectus, if it is a Prospectus to which Article 13, paragraph (3) is applicable) contains"; in Article 19, paragraph (2) and the first sentence of Article 20, the term "Registration Statement" is deemed to be replaced with "Registration Statement (including the Reference Documents for the Registration Statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) which has been submitted in connection with such a statement)" and the term "Prospectus" is deemed to be replaced with "Prospectus (or a Prospectus or Reference Documents for that Prospectus, if it is a Prospectus to which Article 13, paragraph (3) is applicable)"; in Article 21, paragraph (1), the phrase "a Registration Statement contains" is deemed to be replaced with "a Registration Statement (or a Registration Statement or Reference Documents for that Registration Statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) which has been submitted in connection with such a statement) contains"; in Article 21, paragraph (3), the phrase "a Prospectus referred to in Article 13, paragraph (1) contains" is deemed to be replaced with "a Prospectus referred to in Article 13, paragraph (1) (or a Prospectus or Reference Documents for the Prospectus, if it is a Prospectus to which Article 13, paragraph (3) is applicable) contains"; in Article 22, paragraph (1), the phrase "a Registration Statement contains" is deemed to be replaced with "a Registration Statement (or a Registration Statement or Reference Documents for that Registration Statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) which has been submitted in connection with such a statement) contains"; and in paragraph (1) of the preceding Article, the term "Registration Statement" is deemed to be replaced with "Registration Statement (including the Reference Documents for the statement or amended statement, if it is a statement to which Article 5, paragraph (4) is applicable or an amended statement under Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) which has been submitted in connection with such a statement)."
(発行登録書の提出)
(Submission of a Shelf Registration Statement)
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(募集又は売出しを予定している有価証券が新株予約権証券である場合にあつては、発行予定額に当該新株予約権証券に係る新株予約権の行使に際して払い込むべき金額の合計額を合算した金額が一億円以上となる場合を含む。)においては、内閣府令で定めるところにより、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残高の上限、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又は有価証券交付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。)、特定投資家向け有価証券の売出し(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四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)If an Issuer of Securities that is planning a Public Offering or Secondary Distribution satisfies the requirements specified in Article 5, paragraph (4) and the total issue value or the total distribution value of the Securities for which the Issuer is planning the Public Offering or Secondary Distribution (hereinafter referred to as the "Planned Amount of Issuance") is 100 million yen or more (if the Securities for which the Issuer is planning the Public Offering or Secondary Distribution are share option certificates, this includes when the amount calculated by adding the total amount to be paid in upon the exercise of share options under said share option certificates to the Planned Amount of Issuance is 100 million yen or more), the Issuer of Securities may register said Public Offering or Secondary Distribution of Securities by submitting a document that, pursuant to the provisions of Cabinet Office Ordinance, states the particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors, including the period for which the Issuer is planning the Public Offering or Secondary Distribution of the Securities (hereinafter referred to as the "Planned Issuance Period"), the class of the Securities, the Planned Amount of Issuance or the maximum outstanding balance, and the names of principal Financial Services Providers and registered financial institution Institutions that plan to underwrite the Securities (such document is hereinafter referred to as a "Shelf Registration Statement") to the Prime Minister; provided, however, that this does not apply if the Issuer is planning a Secondary Distribution or Securities that have been the subject of a solicitation with a view to issuing new securities or a solicitation with a view to delivering existing securities that fell under the category of an Exclusive Solicitation to Qualified Institutional Investors set forth in Article 23-13, paragraph (1) (limited to an Exclusive Solicitation to Qualified Institutional Investors to which the main clause of Article 23-13, paragraph (1) is applicable) (excluding a Case In Which Disclosure Has Been Made with regard to the Securities), a Secondary Distribution of Securities for Professional Investors (excluding a Case In Which Disclosure Has Been Made with regard to the Securities), or a Secondary Distribution of Securities that have been the subject of a solicitation with a view to issuing new securities that fell under the category of a Solicitation to a Small Number of Investors set forth in Article 23-13, paragraph (4) (limited to a Solicitation to a Small Number of Investors to which the main clause of Article 23-13, paragraph (4) is applicable) (excluding a Case In Which Disclosure Has Been Made for 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 applies only if, in addition to the particulars specified by Cabinet Office Ordinance which are referred to in said paragraph, the Shelf Registration Statement referred to in said paragraph states, pursuant to the provisions of Cabinet Office Ordinance, that reference should be made to the latest Reference Documents for said Issuer with regard to the particulars set forth in Article 5, paragraph (1), item (ii), and only if such Shelf Registration Statement is accompanied by the documents that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the 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、第四条第一項から第三項までの規定は、適用しない。
(3)The provisions of Article 4, paragraph (1) to (3) inclusive do not apply to a Public Offering or Secondary Distribution of the Securities for which a registration under 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 that is the Issuer of Securities for which a Shelf Registration has been made may continue to submit Annual Reports and accompanying documents under Article 24, paragraph (1) (including as applied mutatis mutandis pursuant to Article 24, paragraph (5); hereinafter the same applies in this paragraph), even after the obligation to submit an Annual Report under Article 24, paragraph (1) extinguishes, if their submission is necessary to satisfy the requirements set forth in Article 5, paragraph (4).
(訂正発行登録書の提出)
(Submission of an 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、発行予定額又は発行残高の上限の増額、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 23-4If, on or after the day on which a Shelf Registration was made and before the day on which the Shelf Registration ceases to be effective, new documents are submitted that are of the same type as the Reference Documents to which the Shelf Registration Statement states, pursuant to paragraph (2) of the preceding Article, that reference should be made or any other circumstance arises that is specified by Cabinet Office Ordinance as necessitating that the content of the Shelf Registration Statement and accompanying documents (hereinafter collectively referred to as "Shelf Registration Documents" in this Article) be amended in the public interest or for the protection of investors, the person that made the Shelf Registration (hereinafter referred to as the "Shelf Registrant") must submit an Amended Shelf Registration Statement to the Prime Minister pursuant to the provisions of Cabinet Office Ordinance. The same also applies in the absence of such a circumstance, if the Shelf Registrant finds there to be something in the Shelf Registration Documents that necessitates an amendment. In this, the Shelf Registrant may not make an amendment in order to increase the Planned Amount of Issuance or the maximum outstanding balance, change the Planned Issuance Period, or change any other particular specified by Cabinet Office Ordinance.
(発行登録書の効力発生日)
(Effective Date of a 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)The provisions of Article 8 apply mutatis mutandis to effectuation of a Shelf Registration Statement.In this case, in Article 8, paragraph (1), the phrase "the statement under Article 5, paragraph (1) (or, if the particulars referred to in the proviso to Article 5, paragraph (1) are not stated in the statement, the amended statement under the preceding Article which is connected with said particulars; the same applies in the following paragraph)" is deemed to be replaced with "Shelf Registration Statement provided for in Article 23-3, paragraph (1) (hereinafter referred to as a 'Shelf Registration Statement' in this Article to Article 23 inclusive)"; in Article 8, paragraph (2), the phrase "an amended statement under the preceding Article" is deemed to be replaced with "an Amended Shelf Registration Statement under Article 23-4" and the phrase "the statement set forth Article 5, paragraph (1)" is deemed to be replaced with "the Shelf Registration Statement"; and in Article 8, paragraph (3), the phrase "statement or other document under Article 5, paragraph (1) or, paragraph (6) or the preceding Article" is deemed to be replaced with "Shelf Registration Statement and accompanying documents or an Amended Shelf Registration Statement under Article 23-4 submitted before the day on which the Shelf Registration prescribed in Article 23-3, paragraph (3) (hereinafter referred to as a 'Shelf Registration' in this Article to Article 23) comes into effect" and the phrase "person submitting the statement and other documents" is deemed to be replaced with "person submitting that document".
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)If, pursuant to the preceding Article, an Amended Shelf Registration Statement is submitted on or after the day on which a Shelf Registration comes into effect and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order the suspension of the validity of the Shelf Registration during a fixed period of no longer than 15 days designated thereby.
(発行登録に係る有価証券の発行予定期間)
(Planned Issuance Period for Securities under Shelf Registration)
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 Issuance Period for Securities under Shelf Registration is the period that is specified by Cabinet Office Ordinance of up to two years from the day on which 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 ceases to be effective on the day on which the Planned Issuance Period under the preceding paragraph has elapsed.
(発行登録取下届出書の提出)
(Submission of a 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)If a Public Offering or Secondary Distribution has ended for Securities comprising the entire Planned Amount of Issuance before the day on which the Planned Issuance Period set forth in paragraph (1) of the preceding Article elapses, the Shelf Registrant shall withdraw the Shelf Registration by submitting a written withdrawal of Shelf Registration in which it indicates this to the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance.
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)Notwithstanding the provisions of paragraph (2) of the preceding Article, in a case referred to in the preceding paragraph, the Shelf Registration ceases to be effective on the day on which the Prime Minister accepts the written withdrawal of Shelf Registration.
(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)It is prohibited for an Issuer, person that engages in the Secondary Distribution of Securities, Underwriter, Financial Services Provider , or registered financial institution to cause Securities whose Public Offerings or Secondary Distributions have been registered in advance through a Shelf Registration to be acquired through Public Offerings or Secondary Distributions, or to sell such Securities through Public Offerings or Secondary Distributions, unless the Shelf Registration has come into effect and a document stating the total issue value or total distribution value, conditions of issuance or distribution of the Securities, and any other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors (hereinafter referred to as "Shelf Registration Supplement") has been submitted to the Prime Minister for each Public Offering or Secondary Distribution, pursuant to the provisions of Cabinet Office Ordinance; provided however, that this does not apply to Public Offerings or Secondary Distributions specified by Cabinet Office Ordinance if the total issue value or total distribution value 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 provisions of the preceding paragraph, the Issuer, person that engages in the Secondary Distribution of Securities, Underwriter, Financial Services Provider , or registered financial institution may cause short-term corporate bonds provided for in Article 66, item (i) of the Act on Book-entry Transfer of Corporate Bonds, etc. or any other bonds, etc. specified by Cabinet Order that are among the book-entry bonds, etc. set forth in Article 129, paragraph (1) of that Act (limited to those with an outstanding balance that is made available for public inspection by the Book-Entry Transfer Institution (meaning a Book-Entry Transfer Institution provided for in Article 2, paragraph (2) of that Act) that deals in the relevant book-entry bonds, etc.), whose Public Offerings or Secondary Distributions have been registered in advance through a Shelf Registration, to be acquired through Public Offerings or Secondary Distributions or to sell such bonds, etc. through Public Offerings or Secondary Distributions, if the Shelf Registration has 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)If a Public Offering or Secondary Distribution of Securities will be made only to shareholders that are stated or recorded in the shareholder register as of a certain date, the Shelf Registration Supplement for said Public Offering or Secondary Distribution must be submitted by 10 days prior to that date; provided, however, that this does not apply in the cases that are specified by Cabinet Office Ordinance in consideration of the issue price or distribution price or other circumstances.
第四条第五項及び第六項の規定は、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、同条第五項中「当該特定募集に係る」とあるのは「当該募集若しくは売出しに係る」と、「当該特定募集が」とあるのは「当該募集又は売出しが」と、同条第六項中「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四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、第一項第三号に掲げる有価証券の売出しで当該有価証券の発行者その他の内閣府令で定める者以外の者が行うもの及び同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)The provisions of Article 4, paragraphs (5) and (6) apply mutatis mutandis to a Public Offering or Secondary Distribution of Securities to which the proviso to paragraph (1) is applicable.In this case, in Article 4, paragraph (5), the phrase "in a Specified Public Offering" is deemed to be replaced with "in a Public Offering or Secondary Distribution" and the phrase "apply to said Specified Public Offering" is deemed to be replaced with "apply to said Public Offering or Secondary Distribution"; and in Article 4, paragraph (6), the phrase "the Securities in the Specified Public Offering, etc.," is deemed to be replaced with "said Securities", the phrase "the Specified Public Offering, etc. begins" is deemed to be replaced with "the Public Offering or Secondary Distribution begins", the phrase "a written notice of the Specified Public Offering, etc." is deemed to be replaced with "a written notice of the Public Offering or Secondary Distribution", and the phrase "a Secondary Distribution of Securities set forth in paragraph (4) whose total distribution value is less than 100 million yen in a Case In Which Disclosure Has Been Made, nor to a Secondary Distribution of Securities as set forth in paragraph (1), item (iii) conducted by a person other than the Issuer of said Securities or a person specified by Cabinet Office Ordinance, nor to a Public Offering or Secondary Distribution of Securities as set forth in item (v) of that paragraph whose total issue value" is deemed to be replaced with "a Public Offering or Secondary Distribution whose total issue value".
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)As well as stating, pursuant to the provisions of Cabinet Office Ordinance and in addition to the particulars specified by Cabinet Office Ordinance which are referred to in paragraph (1), that reference should be made to the latest Reference Documents on the Issuer with regard to the particulars set forth in Article 5, paragraph (1), item (ii), the Shelf Registration Supplements referred to in paragraph (1) must be accompanied by the documents that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest for the 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 an Amended Shelf Registration Statement Due to a Formal Deficiency, 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)If the Prime Minister finds a formal deficiency in a Shelf Registration Statement (including Reference Documents for that Registration Statement) or accompanying document or in an Amended Shelf Registration Statement under Article 23-4 (including Reference Documents for that Amended Registration Statement), or finds one of these documents to insufficiently state a material particular that is required to be stated therein, the Prime Minister may order the person submitting the document to submit an Amended Shelf Registration Statement. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.
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)Notwithstanding the provisions of Article 8 as applied mutatis mutandis pursuant to Article 23-5, paragraph (1), if a disposition under the preceding paragraph is reached before the day on which the Shelf Registration comes into effect, the Shelf Registration comes into effect on the day on which the period designated by the Prime Minister elapses following the day on which the Prime Minister accepts the Shelf Registration Statement for that Shelf Registration.
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 a case referred to in the preceding paragraph, if an Amended Shelf Registration Statement under Article 23-4 is submitted during the period designated by the Prime Minister, the Shelf Registration Statement is deemed to have been accepted by the Prime Minister on the day on which 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 a case referred to in the preceding paragraph, if the Prime Minister finds that an Amended Shelf Registration Statement under Article 23-4 is easily understandable to the public or finds that information about the particulars set forth in Article 5, paragraph (1), item (ii) with regard to the person that submitted the Amended Shelf Registration Statement is already widely available to the public, the Prime Minister may designate a period that is shorter than that which the Prime Minister has designated as under paragraph (2). In such a case, the Shelf Registration comes into effect on the day on which 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 provisions of paragraph (3) apply mutatis mutandis if the shorter period under the preceding paragraph is designated and an Amended Shelf Registration Statement under Article 23-4 is submitted 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 an Amended Shelf Registration Statement Due to a False 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)If the Prime Minister finds that a Shelf Registration Statement (including Reference Documents for that Shelf Registration Statement) or accompanying document, an Amended Shelf Registration Statement under Article 23-4 or paragraph (1) of the preceding Article (including Reference Documents for that Amended Shelf Registration Statement), or a Shelf Registration Supplement (including a Reference Document for a Shelf Registration Supplement) or accompanying document contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading, the Prime Minister, at any time, may order the person submitting the document to submit an Amended Shelf Registration Statement. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.
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)The provisions of paragraphs (2) to (5) inclusive of the preceding Article apply mutatis mutandis if an order is issued to submit an Amended Shelf Registration Statement under the preceding paragraph before the day on which 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)If the Prime Minister finds it to be necessary upon reaching a disposition under paragraph (1) on or after the day that a Shelf Registration comes into effect the Prime Minister may order the suspension of the validity 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)If an order for suspension under the preceding paragraph is issued and an Amended Shelf Registration Statement under paragraph (1) is submitted, and if the Prime Minister finds the Amended Shelf Registration Statement to be appropriate, the Prime Minister cancels the order for suspension 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 apply mutatis mutandis if the Prime Minister finds that an Amended Shelf Registration Statement submitted pursuant to paragraph (1) (including Reference Documents referenced therein) contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading.
(虚偽記載による発行登録の効力の停止等)
(Suspension of the Validity of a Shelf Registration Due to a False 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)If a Shelf Registration Statement or an accompanying document, an Amended Shelf Registration Statement under Article 23-4, Article 23-9, paragraph (1) or paragraph (1) of the preceding Article (including as applied mutatis mutandis pursuant to Article 23-10, paragraph (5)), a Shelf Registration Supplement or an accompanying document, or a Reference Document for any of the foregoing documents, contains a false statement about a material particular and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may issue an order against the person submitting that document, with regard to any Shelf Registration Statement or accompanying document, Amended Shelf Registration Statement, or Shelf Registration Supplement or accompanying document (hereinafter collectively referred to as a "Shelf Registration Document, etc." in this Article), or with regard to any statement as set forth in Article 5, paragraph (1), Shelf Registration Statement, or Shelf Registration Supplement, that the person submitting the relevant Shelf Registration Document, etc. submits within one year of the day on which the person submits said Shelf Registration Document, etc., ordering the suspension of the validity of the Shelf Registration under the Shelf Registration Document, etc., the validity of the notification under such a statement, or the validity of the Shelf Registration under such a Shelf Registration Statement or Shelf Registration Supplement, or may extend the period stipulated in Article 8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 23-5, paragraph (1)), for the period that the Prime Minister considers appropriate in the public interest or for the protection of investors. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.
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)If a disposition under the preceding paragraph is reached and the Prime Minister finds that the content of an Amended Shelf Registration Statement (including Reference Documents referenced therein) submitted pursuant to Article 23-4 or paragraph (1) of the preceding Article (including as applied mutatis mutandis pursuant to Article 23-10, paragraph (5)) in relation to the false statement referred to in the preceding paragraph is appropriate, and that allowing the acquisition or sale of Securities issued by the person that submitted the Shelf Registration Documents through a Public Offering or Secondary Distribution will not compromise the public interest or the protection of investors, the Prime Minister may cancel the disposition under the preceding paragraph.
(発行登録書等に関する準用規定)
(Mutatis Mutandis Application of Relevant Provisions for Shelf Registration Statements, 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)The provisions of Article 6 apply mutatis mutandis if a Shelf Registration Statement and accompanying documents, an Amended Shelf Registration Statement under Article 23-4, Article 23-9, paragraph (1) or Article 23-10, paragraph (1) (including as applied mutatis mutandis pursuant to Article 23-10, paragraph (5)) or Shelf Registration Supplements and accompanying documents 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)The provisions of Article 13, paragraph (1) apply mutatis mutandis to the Issuer of Securities for which a Shelf Registration is filed, the main clause of Article 13, paragraph (2) applies mutatis mutandis to the Prospectus prepared by the Issuer of Securities for which a Shelf Registration is filed, and the provisions of Article 13, paragraphs (4) and (5) apply mutatis mutandis to a Public Offering or Secondary Distribution of Securities for which a Shelf Registration is filed.In this case, in the main clause of Article 13, paragraph (2), the phrase "For a category set forth in one of the following items, the details of the particulars that are specified in that item" is deemed to be replaced with "The details that are required to be stated in a Shelf Registration Statement, an Amended Shelf Registration Statement under Article 23-4, or Shelf Registration Supplements, and the details specified by 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、「第四条第一項から第三項まで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)The provisions of Article 15, paragraphs (2) and (6) apply mutatis mutandis to a Public Offering or Secondary Distribution of Securities for which a Shelf Registration is filed.In this case, in Article 15, paragraph (2), the phrase "a Prospectus that states the particulars specified in Article 13, paragraph (2), item (i)" is deemed to be replaced with "the Prospectus referred to in Article 13, paragraph (1) as applied mutatis mutandis pursuant to Article 23-12, paragraph (2)"; and in Article 15, paragraph (6), the phrase "paragraph (2) to the preceding paragraph" is deemed to be replaced with "paragraph (2)", the phrase "Article 10, paragraph (1) or Article 11, paragraph (1)" is deemed to be replaced with "Article 23-10, paragraph (3) or Article 23-11, paragraph (1)", and the phrase "the notification under Article 4, paragraphs (1) to (3) inclusive for the Public Offering or Secondary Distribution came into effect" is deemed to be replaced with "the Shelf Registration Supplements are submitted for a Shelf Registration that has been filed for the Public Offering or Secondary Distribution and has already come into effect".
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)The provisions of Article 16 apply mutatis mutandis to a person that violates the provisions of Article 23-8, paragraph (1) or (2), or Article 15, paragraph (2) or (6) as applied mutatis mutandis pursuant to the preceding paragraph in causing Securities to be acquired.
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、「第四条第一項から第三項まで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「第四条第一項から第三項まで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)The provisions of Articles 17 to 21 inclusive, Article 22, and Article 23 apply mutatis mutandis to a Public Offering or Secondary Distribution of Securities for which a Shelf Registration is filed.In this case, in Article 17, the phrase "Prospectus referred to in Article 13, paragraph (1)" is deemed to be replaced with "Prospectus referred to in Article 13, paragraph (1) as applied mutatis mutandis pursuant to Article 23-12, paragraph (2) (including Reference Documents referenced therein)"; in Article 18, paragraph (1), the phrase "a Registration Statement contains" is deemed to be replaced with "Shelf Registration Documents, an Amended Shelf Registration Statement under Article 23-4, Article 23-9, paragraph (1) or Article 23-10, paragraph (1) (including as applied mutatis mutandis pursuant to Article 23-10, paragraph (5)) (hereinafter referred to as an 'Amended Shelf Registration Statement'), Shelf Registration Supplements and accompanying documents, or Reference Documents for any of these documents (hereinafter referred to as 'Shelf Registration Documents, etc.') contain", the phrase "the Registration Statement" is deemed to be replaced with "Shelf Registration Documents, Amended Shelf Registration Statement, Shelf Registration Supplements, or accompanying documents for any of these", the phrase "a Prospectus referred to in Article 13, paragraph (1) contains" in Article 18, paragraph (2) is deemed to be replaced with "a Prospectus referred to in Article 13, paragraph (1) (including Reference Documents for that Prospectus) contains"; in Article 19, paragraph (2), the phrase "the Registration Statement" is deemed to be replaced with "the Shelf Registration Documents, etc." and the phrase "the Prospectus" is deemed to be replaced with "the Prospectus (including Reference Documents for that Prospectus)"; in Article 20, the phrase "the Registration Statement" is deemed to be replaced with "the Shelf Registration Documents, etc.", the phrase "the Prospectus contains" is deemed to be replaced with "the Prospectus (including Reference Documents for that Prospectus) contains", the phrase "Article 10, paragraph (1) or Article 11, paragraph (1)" is deemed to be replaced with "Article 23-10, paragraph (3) or Article 23-11, paragraph (1)", and the phrase "from the time that the notification under Article 4, paragraphs (1) to (3) inclusive for the relevant Public Offering or Secondary Distribution of the Securities comes into effect" is deemed to be replaced with "from the time that the Shelf Registration Supplements are submitted for a Shelf Registration that has been filed for the relevant Public Offering or Secondary Distribution and has already come into effect"; in the non-itemized part of Article 21, paragraph (1), the phrase "a Registration Statement contains" is deemed to be replaced with "Shelf Registration Documents, etc. contain"; in items (i) and (iii) of Article 21, paragraph (1), the phrase "the Registration Statement" is deemed to be replaced with "the Shelf Registration Documents, Amended Shelf Registration Statement, Shelf Registration Supplements, or accompanying documents for any of these"; in Article 21, paragraph (3), the phrase "a Prospectus referred to in Article 13, paragraph (1) contains" is deemed to be replaced with "Prospectus referred to in Article 13, paragraph (1) (including Reference Documents for that Prospectus)"; in Article 22, paragraph (1), the phrase "a Registration Statement contains" is deemed to be replaced with "the Shelf Registration Documents, etc. contain" and the phrase "the Registration Statement" is deemed to be replaced with "the Shelf Registration Documents, Amended Shelf Registration Statement, Shelf Registration Supplements, or accompanying documents for any of these"; and in Article 23, the phrase "a notification under Article 4, paragraphs (1) to (3) inclusive for a Public Offering or Secondary Distribution of Securities having been made and having come into effect" is deemed to be replaced with "a Shelf Registration having come into effect and Shelf Registration Supplements for it having been submitted (or, for a Public Offering or Secondary Distribution of Securities referred to in Article 23-8, paragraph (2), based on the Shelf Registration for it having come into effect)", the phrase "Article 10, paragraph (1) or Article 11, paragraph (1)" is deemed to be replaced with "Article 23-10, paragraph (3) or Article 23-11, paragraph (1)", the phrase "the Registration Statement" is deemed to be replaced with "the Shelf Registration Documents, etc."; and the term "the notification" is deemed to be replaced with "the Shelf Registration".
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 the provisions of Article 17, Article 18, paragraph (2) and Article 21, paragraph (3) as applied mutatis mutandis pursuant to the preceding paragraph do not apply to Securities referred to in Article 23-8, paragraph (2).
(適格機関投資家向け勧誘の告知等)
(Notification, etc. of Exclusive Solicitation to Qualified Institutional Investors)
第二十三条の十三有価証券発行勧誘等又は有価証券交付勧誘等のうち、次の各号に掲げる場合に該当するもの(第二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多数の者から除かれる適格機関投資家を相手方とするものに限り、第四号に掲げる場合にあつては同条第四項第一号の規定により多数の者から除かれる適格機関投資家を相手方とするものに限る。以下この条において「適格機関投資家向け勧誘」という。)を行う者は、当該適格機関投資家向け勧誘が当該各号に掲げる場合のいずれかに該当することにより当該適格機関投資家向け勧誘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、当該適格機関投資家向け勧誘に係る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又は譲渡価額の総額が一億円未満の適格機関投資家向け勧誘で内閣府令で定める場合に該当するときは、この限りでない。
Article 23-13(1)A person that issues a solicitation with a view to issuing new securities or a solicitation with a view to delivering existing securities which falls under a case set forth in the following items (in item (ii), limited to a solicitation issued to qualified institutional investors that are excluded from the large number of persons pursuant to the provisions of Article 2, paragraph (3), item (i), and in a case set forth in item (iv), limited a solicitation issued to qualified institutional investors that are excluded from the large number of persons pursuant to paragraph (4), item (i) of that Article; hereinafter collectively referred to as "Exclusive Solicitation to Qualified Institutional Investors" in this Article), must notify the solicited persons that the Exclusive Solicitation to Qualified Institutional Investors falls under one of the following cases and that therefore the notification under Article 4, paragraph (1) has not been made for the Exclusive Solicitation to Qualified Institutional Investors, and of any other particular that is specified by Cabinet Office Ordinance; provided, however, that this does not apply to a Case In Which Disclosure Has Been Made with regard to the Securities that are subject to the Exclusive Solicitation to Qualified Institutional Investors nor does it apply to a case specified by Cabinet Office Ordinance that constitutes an Exclusive Solicitation to Qualified Institutional Investors with a total issue value or transfer value of less than 100 million yen:
第二条第三項第二号イに掲げる場合
(i)a case set forth in Article 2, paragraph (3), item (ii), sub-item (a);
第二条第三項第二号ハに掲げる場合(同項第一号の規定により多数の者から適格機関投資家を除くことにより同号に掲げる場合に該当しないこととなる場合に限る。)
(ii)a case set forth in Article 2, paragraph (3), item (ii), sub-item (c) (but only if it comes to no longer fall under the category of case set forth in item (i) of that paragraph, due to the qualified institutional investors' being excluded from the large number of persons pursuant to that item);
第二条第四項第二号イに掲げる場合
(iii)a case set forth in Article 2, paragraph (4), item (ii), sub-item (a);
第二条第四項第二号ハに掲げる場合(同項第一号の規定により多数の者から適格機関投資家を除くことにより同号に掲げる場合に該当しないこととなる場合に限る。)
(iv)a case set forth in Article 2, paragraph (4), item (ii), sub-item (c) (but only if it comes to no longer fall under the category of case set forth in item (i) of that paragraph, due to the qualified institutional investors' being excluded from the large number of persons pursuant to that item);
第二条の二第四項第二号イに掲げる場合
(v)a case set forth in Article 2-2, paragraph (4), item (ii), sub-item (a); or
第二条の二第五項第二号イに掲げる場合
(vi)a case set forth in Article 2-2, paragraph (5), item (ii), sub-item (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を行う者は、当該適格機関投資家向け勧誘により有価証券を取得させ、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)If a person that issues an Exclusive Solicitation to Qualified Institutional Investors to which the main clause of the preceding paragraph is applicable causes Securities to be acquired or sells Securities through that Exclusive Solicitation to Qualified Institutional Investors, such person must deliver a document stating the particulars for which notice is required to be given pursuant to the preceding paragraph to the other party in advance of, or at the same time as, the acquisition or sale.
次の各号に掲げる行為を行う者は、その相手方に対して、内閣府令で定めるところにより、当該各号に定める事項を告知しなければならない。ただし、当該行為に係る有価証券に関して開示が行われている場合は、この限りでない。
(3)A person performing an act set forth in one of the following items must notify the person solicited of the particulars provided for in the relevant item, pursuant to the provisions of Cabinet Office Ordinance; provided, however, that this does not apply to a Case In Which Disclosure Has Been Made for the Securities with regard to which such act was performed:
特定投資家向け取得勧誘又は特定投資家向け売付け勧誘等当該特定投資家向け取得勧誘又は当該特定投資家向け売付け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
(i)the Exclusive Solicitation of Offers to Acquire Targeting Professional Investors or an exclusive Offer to Sell, etc. to Professional Investors:that a notification under Article 4, paragraph (1) has not been given for the Exclusive Solicitation of Offers to Acquire Targeting Professional Investors or exclusive Offer to Sell, etc. to Professional Investors, and any other particular specified by Cabinet Office Ordinance; and
特定投資家向け有価証券の有価証券交付勧誘等であつて、特定投資家向け売付け勧誘等及び特定投資家等取得有価証券一般勧誘(第四条第三項本文の規定の適用を受けるものに限る。)のいずれにも該当しないもの当該特定投資家向け有価証券に関して開示が行われている場合に該当しないことその他の内閣府令で定める事項
(ii)solicitation with a view to delivering existing securities which is connected with Securities for Professional Investors and which does not fall under the category of either an exclusive Offer to Sell, etc. to Professional Investors or a General Solicitation Involving Securities Acquired by a Professional Investor (limited to those to which the main clause of Article 4, paragraph (3) is applicable):that the solicitation does not fall under a Case In Which Disclosure Has Been Made in connection with the Securities for Professional Investors, and any other particular specified by Cabinet Office Ordinance.
有価証券発行勧誘等又は有価証券交付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(第二条第一項第九号に掲げる有価証券の有価証券発行勧誘等又は有価証券交付勧誘等その他政令で定めるものを除き、第一号イ又はロに掲げる場合にあつては適格機関投資家向け勧誘に該当するものを除く。以下この条において「少人数向け勧誘」という。)を行う者は、当該少人数向け勧誘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(第一号イ又はロに掲げる場合にあつては適格機関投資家向け勧誘に該当する場合を除く。)のいずれかに該当することにより当該少人数向け勧誘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、当該少人数向け勧誘に係る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又は譲渡価額の総額が一億円未満の少人数向け勧誘で内閣府令で定める場合に該当するときは、この限りでない。
(4)A person that issues a solicitation with a view to issuing new securities or solicitation with a view to delivering existing securities that falls under a case set forth in one of the following items for the class of Securities set forth in the relevant item (excluding a case that falls under the category of a solicitation with a view to issuing new securities or solicitation with a view to delivering existing securities for the Securities set forth in Article 2, paragraph (1), item (ix) or those specified by Cabinet Order, and in the case set forth in item (i), sub-item (a) or (b), Exclusive Solicitation to Qualified Institutional Investors is excluded; hereinafter collectively referred to as the "Solicitation to a Small Number of Investors" in this Article) must notify the solicited persons that the solicitation with a view to issuing new securities falls under a case set forth in one of the following items (for item (i), sub-item (a) or (b), this excludes a case in which the Solicitation to a Small Number of Investors falls under the category of an Exclusive Solicitation to Qualified Institutional Investors) for the class of Securities set forth in the relevant item and therefore the notification under Article 4, paragraph (1) has not been given for the solicitation with a view to issuing new securities, and of any other particular that is specified by Cabinet Office Ordinance; provided, however, that this does not apply to a Case In Which Disclosure Has Been Made with regard to the Securities that are subject to the relevant Solicitation to a Small Number of Investors, nor does it apply in a case specified by Cabinet Office Ordinance that constitutes a Solicitation to a Small Number of Investors with a total issue value or transfer value of less than 100 million yen:
第一項有価証券 次のいずれかの場合
(i)Article 2 (1) Securities: any of the following cases:
第二条第三項第二号ハに該当する場合
(a)one that falls under Article 2, paragraph (3), item (ii), sub-item (c);
第二条第四項第二号ハに該当する場合
(b)one that falls under Article 2, paragraph (4), item (ii), sub-item (c);
第二条の二第四項第二号ロに該当する場合
(c)one that falls under Article 2-2, paragraph (4), item (ii), sub-item (b);
第二条の二第五項第二号ロに該当する場合
(d)one that falls under Article 2-2, paragraph (5), item (ii), sub-item (b).
第二項有価証券 次のいずれかの場合
(ii)Article 2 (2) Securities: any of the following cases:
第二条第三項第三号に掲げる場合に該当しない場合
(a)one that does not fall under the category of cases set forth in Article 2, paragraph (3), item (iii);
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)one that does not fall under the category of cases set forth in Article 2-2, paragraph (4), item (iii).
前項本文の規定の適用を受ける少人数向け勧誘を行う者は、当該少人数向け勧誘により有価証券を取得させ、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。
(5)If a person that issues a Solicitation to a Small Number of Investors to which the main clause of the preceding paragraph is applicable causes Securities to be acquired or sells the same through the Solicitation to a Small Number of Investors, such person must deliver a document stating the particulars for which notice is required to be given pursuant to the preceding paragraph to the other party in advance of, or at the same time as, the acquisition or sale.
(有価証券報告書の提出)
(Submission of Annual Reports)
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、内国会社にあつては当該事業年度経過後三月以内(やむを得ない理由により当該期間内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ内閣総理大臣の承認を受けた期間内)、外国会社にあって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、第二項本文若しくは第三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)If Securities issued by a company (excluding regulated Securities; hereinafter the same applies in this Article, except in the following items) fall under one of the categories set forth in the following items, the company that is the Issuer of the Securities must submit, for each business year, a report stating the trade name of the company, the financial condition of the corporate group to which the company belongs and the company's own financial condition, other material particulars of the company's business, and other particulars specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors (hereinafter referred to as an "Annual Report") to the Prime Minister, within three months after the end of that business year (or, if there is a compelling reason that the company cannot submit the document within such period, within a period approved in advance by the Prime Minister pursuant to the provisions of Cabinet Office Ordinance), for a domestic company, or within the period that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors, for a foreign company, pursuant to the provisions of Cabinet Office Ordinance; provided however, that this does not apply if 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 Cabinet Order) and the numbers of holders of the Securities on the last day of that business year and on the last days of each of the business years that began within four years before the day on which the relevant business year began are smaller than the number calculated pursuant to the provisions of Cabinet Order, and the company receives the acknowledgement of the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, as a company whose non-submission of an Annual Report does not damage the public interest or result in insufficient investor protection (limited to a company that has already had five years elapse since the end of the first year of report submission (meaning the business year that includes the day on which the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), the main clause of Article 4, paragraph (3), or the main clause of Article 23-8, paragraph (1) or (2) became applicable to the Public Offering or Secondary Distribution of Securities, and if there are two or more First Years of Report Submission, this means the most recent one); nor does it apply if the Securities issued by the company fall under the category of Securities specified in item (iv) below, and the stated capital is less than 500 million yen (or, if the Securities are Rights in a Securities Investment Business, etc. that are deemed to be Securities pursuant to Article 2, paragraph (2), and the amount that is specified by Cabinet Order as the stated capital is less than the amount specified by Cabinet Order on the last day of that business year) or the number of holders of the Securities on the last day of that business year is smaller than the number specified by Cabinet Order; nor does it apply if the Securities issued by the company fall under the category of Securities specified in item (iii) or (iv) below, and the company receives the acknowledgement of the Prime Minister, pursuant to Cabinet Order, as a company whose non-submission of an Annual Report does not damage the public interest or result in insufficient investor protection:
金融商品取引所に上場されている有価証券(特定上場有価証券を除く。)
(i)Securities listed on a Financial Instruments Exchange (excluding Specified Listed Securities);
流通状況が前号に掲げる有価証券に準ずるものとして政令で定める有価証券(流通状況が特定上場有価証券に準ずるものとして政令で定める有価証券を除く。)
(ii)Securities specified by Cabinet Order as having equivalent distribution statuses to the Securities set forth in the preceding item (excluding Securities specified by Cabinet Order as having equivalent distribution statuses to Specified Listed Securities);
その募集又は売出しにつき第四条第一項本文、第二項本文若しくは第三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 to whose Public Offering or Secondary Distribution the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), the main clause of Article 4, paragraph (3), or the main clause of Article 23-8, paragraph (1) or (2) applies (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 a Securities Investment Business, etc. that are deemed to be Securities pursuant to Article 2, paragraph (2), and other Securities specified by Cabinet Order) that are issued by the company, for which the number of holders on the last day of the relevant business year or on the last day of any of the business years that began within four years before the day on which the relevant business year began is at least the number specified by Cabinet Order (or, for Rights in a Securities Investment Business, etc. that are deemed to be Securities pursuant to Article 2, paragraph (2), if the number of holders on the last day of the relevant business year is at least the number specified by Cabinet Order) (excluding Securities 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)In the Annual Report that a company must submit pursuant to the main clause of the preceding paragraph, a company that is an Issuer of Securities that fall under the category of Securities specified in item (iii) of the preceding paragraph, which has submitted a statement provided for in Article 5, paragraph (1) stating the particulars specified in Article 5, paragraph (2) with regard to a Low-Value Public Offering, etc., and which does not fall under any of the following categories, may state the particulars set forth in the main clause of the preceding paragraph that are specified by Cabinet Office Ordinance as being relevant to that company, instead of stating the particulars set forth in the main clause of the preceding paragraph:
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 that has already submitted an Annual Report stating the particulars set forth in the main clause of the preceding paragraph, a Quarterly Report under Article 24-4-7, paragraph (1) or (2) stating the particulars set forth in Article 24-4-7, paragraph (1), or a Semiannual Report stating the particulars set forth in Article 24-5, paragraph (1); and
第四条第一項本文、第二項本文又は第三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又は提出しなければならない者(前号に掲げる者を除く。)
(ii)a person that has submitted or is required to submit a statement provided for in Article 5, paragraph (1) stating the particulars set forth in Article 5, paragraph (1), item (ii) for a Public Offering or Secondary Distribution of Securities to which the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3) applies (other than a person 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)If the Securities issued by a company to which the main clause of paragraph (1) does not apply, come to fall under a category of Securities specified in items (i) to (iii) inclusive of that paragraph (except in the cases specified by Cabinet Office Ordinance), the company must submit an Annual Report to the Prime Minister without delay for the business year immediately prior to the business year that includes the day on which the Securities come to fall under such category, pursuant to the provisions of Cabinet Office Ordinance.
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)Necessary particulars relevant to the calculation of the number of holders set forth in paragraph (1), item (iv) are specified by 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、第二項本文若しくは第三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 apply mutatis mutandis if regulated Securities issued by a company fall under a category specified in an item of paragraph (1).In this case, in the main clause paragraph (1), the phrase "the company that is the Issuer of the Securities" is deemed to be replaced with "the company that is the Issuer of the Securities (other than a person specified by Cabinet Office Ordinance, for Securities that are specified by Cabinet Office Ordinance)", the phrase "excluding regulated Securities" is deemed to be replaced with "limited to regulated Securities", the phrase "the trade name of the company, the financial condition of the corporate group to which the company belongs and the company's own financial condition, other material particulars of the company's business" is deemed to be replaced with "the status of the company's asset accounting in connection with asset management and other similar business conducted by the company, other material particulars of the company's assets", the phrase "for each business year" is deemed to be replaced with "for each of the periods of time specified by Cabinet Office Ordinance for the regulated Securities (hereinafter referred to as a "Specified Period" in this Article)", and the phrase "that business year" is deemed to be replaced with "that Specified Period"; in the proviso to that paragraph, the phrase "this does not apply if 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 Cabinet Order) and the numbers of holders of the Securities on the last day of that business year and on the last days of each of the business years that began within four years before the day on which that business year began are smaller than the number calculated pursuant to the provisions of Cabinet Order, and the company receives the acknowledgement of the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, as a company whose non-submission of an Annual Report does not damage the public interest or result in insufficient investor protection (limited to a company that has already had five years elapse since the end of the first year of report submission (meaning the business year that includes the day on which the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), the main clause of Article 4, paragraph (3), or the main clause of Article 23-8, paragraph (1) or (2) became applicable to the Public Offering or Secondary Distribution of Securities, and if there are two or more First Years of Report Submission, this means the most recent one); nor does it apply if the Securities issued by the company fall under the category of Securities specified in item (iv) below" is deemed to be replaced with "this does not apply if the regulated Securities issued by the company fall under the category of Securities specified in item (iv) below" and the phrase "or the number of holders of the Securities on the last day of that business year is smaller than the number specified by Cabinet Order; nor" is deemed to be replaced with "; nor"; in item (iv) of paragraph (1), the phrase "share certificates, Rights in a Securities Investment Business, etc. that are deemed to be Securities pursuant to Article 2, paragraph (2)" is deemed to be replaced with "Rights in a Securities Investment Business, etc. that are deemed to be Securities pursuant to Article 2, paragraph (2)" and the phrase "for which the number of holders on the last day of the relevant business year or on the last day of any of the business years that began within four years before the day on which the relevant business year began is at least the number specified by Cabinet Order (or, for Rights in a Securities Investment Business, etc. that are deemed to be Securities pursuant to Article 2, paragraph (2), if the number of holders on the last day of the relevant business year is at least the number specified by Cabinet Order)" is deemed to be replaced with "for which the number of holders on the last day of the relevant Specified Period is at least the number specified by Cabinet Order"; in paragraph (2), the phrase "Securities that fall" is deemed to be replaced with "regulated Securities that fall"; in paragraph (3), the phrase "the main clause of paragraph (1)" is deemed to be replaced with "the main clause of paragraph (1) as applied mutatis mutandis pursuant to paragraph (5)", the phrase "business year" is deemed to be replaced with "Specified Period", and the phrase "the day on which the Securities came to fall under" is deemed to be replaced with "the day on which the regulated Securities came to fall under"; and any other necessary technical replacement of terms is specified by 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 Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors must accompany an Annual 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)The provisions of Article 6 apply mutatis mutandis if an Annual Report and accompanying documents are submitted pursuant to paragraphs (1) to (3) inclusive (including as 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 a case that is specified by Cabinet Office Ordinance as one in which this does not damage the public interest or result in insufficient investor protection, instead of an Annual Report under paragraph (1) and the documents that are required to accompany it pursuant to paragraph (6) (hereinafter collectively referred to as an "Annual Report, etc." in this Article), a foreign company that is required to submit an Annual Report pursuant to paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13) inclusive) (including a foreign company that has submitted an Annual Report pursuant to Article 23-3, paragraph (4); hereinafter referred to as a "Reporting Foreign Company"), may submit a document that is similar to an Annual Report, etc., but that has been prepared in English and disclosed in a foreign state (meaning that it is made available for public inspection in the relevant foreign state based on the laws and regulations of that state (including the rules provided by the operator of a foreign Financial Instruments Market or other person specified by Cabinet Office Ordinance); the same applies in Article 24-4-7, paragraph (6) and Article 24-5, paragraph (7)) (such a document is hereinafter referred to as a "Foreign Company Report" 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)A Japanese translation of the summary of the particulars stated in a Foreign Company Report that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors, as well as documents stating the particulars not stated in a Foreign Company Report that are specified by Cabinet Office Ordinance as necessary and appropriate for the public interest or for the protection of investors, and other documents specified by Cabinet Office Ordinance (such documents are hereinafter collectively referred to as "Supplementary Documents" in this Article and paragraph (4) of the following Article) must accompany a Foreign Company Report, as specified by 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「内国会社にあつては当該事業年度経過後三月以内(やむを得ない理由により当該期間内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ内閣総理大臣の承認を受けた期間内)、外国会社にあつて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、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「「内国会社にあつては当該事業年度経過後三月以内(やむを得ない理由により当該期間内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ内閣総理大臣の承認を受けた期間内)、外国会社にあつて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)If a Reporting Foreign Company submits a Foreign Company Report and its Supplementary Documents instead of an Annual Report, etc. pursuant to the preceding two paragraphs, in paragraph (1), the phrase "within three months after the end of that business year (or, if there is a compelling reason that the company cannot submit the document within such period, within a period approved in advance by the Prime Minister pursuant to the provisions of Cabinet Office Ordinance), for a domestic company, or within the period that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors, for a foreign company" is deemed to be replaced with "within the period that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors" and in paragraph (5), the phrase "in the main clause of paragraph (1), the term 'that business year' is deemed to be replaced with 'that Specified Period' " is deemed to be replaced with "the phrase 'within three months after the end of that business year (or, if there is a compelling reason that the company cannot submit the document within such period, within a period approved in advance by the Prime Minister pursuant to the provisions of Cabinet Office Ordinance), for a domestic company, or within the period that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors, for a foreign company' is deemed to be replaced with 'within the period that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors following the Specified Period has elapsed' ".
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)If a Reporting Foreign Company submits a Foreign Company Report and its Supplementary Documents pursuant to paragraphs (8) and (9), the Foreign Company Report and Supplementary Documents are deemed to be an Annual Report, their submission is deemed to be the submission of an Annual Report, etc., and the provisions of this Act and orders based on this Act (hereinafter referred to as the "Financial Instruments and Exchange Act and Related Regulations" in this Chapter to Chapter II-4 inclusive) apply.
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)If the Prime Minister finds that a Reporting Foreign Company that has submitted a Foreign Company Report does not satisfy the requirements referred do in paragraph (8) for being allowed to submit a Foreign Company Report, the Prime Minister must notify the Reporting Foreign Company of this. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.
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 provisions of paragraph (1), if a Reporting Foreign Company receives a notice under the preceding paragraph, it must submit an Annual Report under the provisions of paragraph (1) within the period that is specified by Cabinet Order as necessary and in the public interest or for the protection of investors, with the day on which the notice is made as the first day for the calculation of that period.
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)If, pursuant to the provisions of Cabinet Office Ordinance, a company that is required to submit an Annual Report pursuant to paragraph (1) (but only as applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this Article) submits the documents stating a part of the particulars specified by Cabinet Office Ordinance that are provided for in paragraph (1) (limited to documents prepared based on laws and regulations or the rules of a Financial Instruments Exchange (including anything specified by Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as "Documents Substituted for Part of an Annual Report" in this paragraph and the following paragraph) together with an Annual Report to the Prime Minister, with regard to the application of paragraphs (1) and (2) to cases in which a company receives the acknowledgement of the Prime Minister, pursuant to Cabinet Office Ordinance, as one whose doing so does not damage the public interest or result in insufficient investor protection, in paragraph (1), the phrase "other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors" is deemed to be replaced with "other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors (other than the particulars stated in the Documents Substituted for Part of the Annual Report prescribed in paragraph (14))" and in paragraph (2), the phrase "the particulars set forth in the main clause of the preceding paragraph" is deemed to be replaced with "the particulars set forth in the main clause of the preceding paragraph (other than the particulars stated in Documents Substituted for Part of the Annual Report provided for 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)If Documents Substituted for Part of an Annual Report are submitted together with an Annual Report referred to in paragraph (1) as it applies through the replacement of certain terms pursuant to the preceding paragraph, the Documents Substituted for Part of the Annual Report are deemed to form a part of the Annual Report, the submission of the Documents Substituted for Part of the Annual Report is deemed to be the submission of the Documents Substituted for Part of the Annual Report as a part of the Annual Report, and the provisions of the Financial Instruments and Exchange Act and Related Regulations apply.
(訂正届出書に関する規定の準用)
(Mutatis Mutandis Application of Provisions on Amended Statements)
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「第四条第一項から第三項まで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、第四条第一項から第三項まで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)The provisions of Article 7, Article 9, paragraph (1), and Article 10, paragraph (1) apply mutatis mutandis to an Annual Report and accompanying documents.In this case, in Article 7, the phrase "If, on or after the day on which a notification under Article 4, paragraphs (1) to (3) inclusive is filed and before the day on which that notification comes into effect, a material particular that is required to be stated in a statement or other document under Article 5, paragraph (1) or paragraph (6) changes" is deemed to be replaced with "If a material particular that is required to be stated in an Annual Report or accompanying document changes", the phrase "the person filing the notification" is deemed to be replaced with "the person submitting the Annual Report", and the term "amended statement" is deemed to be replaced with "amended report"; in Article 9, paragraph (1), the phrase "the person that submitted it" is deemed to be replaced with "the person that submitted the Annual Report" and the term "amended statement" is deemed to be replaced with "amended report"; and in Article 10, paragraph (1), the phrase "the person submitting the Registration Statement" is deemed to be replaced with "the person submitting the amended report" and the phrase "to submit an amended statement, and if the Prime Minister finds it to be necessary, the Prime Minister may order the suspension of the validity of a notification under Article 4, paragraphs (1) to (3) inclusive" is deemed to be replaced with "to submit an amended report".
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)If a company that is an Issuer of Securities submits an amended report, pursuant to Article 7 or Article 10, paragraph (1) as applied mutatis mutandis pursuant to the preceding paragraph, with regard to a material particular for inclusion in its Annual Report, it must give public notice of this pursuant to the provisions of 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)The provisions of Article 6 apply mutatis mutandis if an amended report is submitted in connection with an Annual Report or accompanying document, pursuant to Article 7, Article 9, paragraph (1) or Article 10, paragraph (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)The provisions of paragraphs (8), (9) and (11) of the preceding Article apply mutatis mutandis if a Reporting Foreign Company submits an amended report in connection with the Foreign Company Report and Supplementary Documents that the company has submitted pursuant to Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) as applied mutatis mutandis through the replacement of 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 Validity of Notifications Made Within One Year After the Submission of an Annual Report Containing a False 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 24-3The provisions of Article 11 apply mutatis mutandis to any statement specified in Article 5, paragraph (1), Shelf Registration Statement, or Shelf Registration Supplements that a person that has submitted an Annual Report (including any amended report in connection with it; the same applies in the following Article) that contained a false statement with regard to a material particular, submits within one year from the day on which that person submits an amended report in connection with that false statement pursuant to Article 7 as applied mutatis mutandis pursuant to paragraph (1) of the preceding Article, or is ordered to submit an amended report in connection with that false statement pursuant to Article 10, paragraph (1) as applied mutatis mutandis pursuant to Article 24-2, paragraph (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)
(Compensatory Liability of the Officers, etc. of a Company Submitting an Annual Report That Contains a False Statement)
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 24-4The provisions of Article 22 apply mutatis mutandis if an Annual Report contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading.In this case, in Article 22, paragraph (1), the phrase "has acquired Securities issued by the person submitting the Registration Statement other than through a Public Offering or Secondary Distribution" is deemed to be replaced with "has acquired Securities issued by the person submitting the 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 a Confirmation Letter for the Content of Statements in an Annual 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 that is required to submit an Annual Report under Article 24, paragraph (1) (including a company that has submitted an Annual Report under Article 23-3, paragraph (4); the same applies in the following paragraph) and which is the Issuer of Securities set forth in Article 24, paragraph (1), item (i), or any other company specified by Cabinet Order, must submit a letter to the Prime Minister in which it confirms that the content of statements in the Annual Report is appropriate and in accordance with the Financial Instruments and Exchange Act and Related Regulations (hereinafter referred to as a "Confirmation Letter" in this and the following Articles), together with said Annual Report (or a Foreign Company Report, if the company submits a Foreign Company Report instead of the Annual Report, etc. set forth in Article 24, paragraph (8), pursuant to that paragraph), pursuant to the provisions of Cabinet Office Ordinance.
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 that is required to submit an Annual Report under Article 24, paragraph (1) may submit the Confirmation Letter provided for in the preceding paragraph voluntarily, even if it is not a company that is required to submit a Confirmation Letter together with an Annual Report (excluding companies as specified by Cabinet Order) pursuant to 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。
(3)The provisions of the preceding two paragraphs apply mutatis mutandis to a company specified by Cabinet Order that is required to submit an Annual Report under Article 24, paragraph (1) as applied mutatis mutandis pursuant to Article 24, paragraph (5) (including a company that has submitted an Annual Report under Article 23-3, paragraph (4)).
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 apply mutatis mutandis if an amended report is submitted pursuant to Article 7, Article 9, paragraph (1) and Article 10, paragraph (1) as applied mutatis mutandis through the replacement of certain terms pursuant to Article 24-2, paragraph (1). The necessary technical replacement of terms for such a case is specified by 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)The provisions of Article 6 apply mutatis mutandis if a Confirmation Letter is submitted pursuant to paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3) (including as applied mutatis mutandis pursuant to the preceding paragraph) or the preceding paragraph; hereinafter the same applies in this Article). The necessary technical replacement of terms for such a case is specified by 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)The provisions of Article 24, paragraphs (8), (9) and (11) to (13) inclusive apply mutatis mutandis if a Reporting Foreign Company submits a Confirmation Letter pursuant to paragraph (1) or (2) of this Article (limited to if a Reporting Foreign Company submits a Foreign Company Report).In this case, in Article 24, paragraph (8), the phrase "a foreign company that is required to submit an Annual Report pursuant to paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13) inclusive) (including a foreign company that has submitted an Annual Report pursuant to Article 23-3, paragraph (4); hereinafter referred to as a 'Reporting Foreign Company')" is deemed to be replaced with "a foreign company that is required to submit an Annual Report pursuant to paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13) inclusive)", the phrase "an Annual Report under paragraph (1) and the documents are required to accompany it pursuant to paragraph (6) (hereinafter collectively referred to as an 'Annual Report, etc.' in this Article)" is deemed to be replaced with "a Confirmation Letter under Article 24-4-2, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (3) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (4)) or Article 24-4-2, paragraph (4))", and the phrase "similar to an Annual Report, etc., but that has been prepared in English and disclosed in a foreign state (meaning that it is made available for public inspection in the relevant foreign state based on the laws and regulations of that state (including the rules provided by the operator of a foreign Financial Instruments Market or other person specified by Cabinet Office Ordinance); the same applies in Article 24-4-7, paragraph (6) and Article 24-5, paragraph (7))" is deemed to be replaced with "in which it has stated the particulars that are required to be stated in a Confirmation Letter"; in Article 24, paragraph (9), the phrase "documents stating the particulars not stated in the Foreign Company Report that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors, and other" is deemed to be replaced with "other"; in Article 24, paragraph (11), the term "an Annual Report, etc." is deemed to be replaced with "a Confirmation Letter under Article 24-4-2, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (3) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (4)) or Article 24-4-2, paragraph (4))"; and any other necessary technical replacement of terms is specified by Cabinet Order.
(訂正確認書の提出)
(Submission of an Amended 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「第四条第一項から第三項まで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、第四条第一項から第三項まで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)The provisions of Article 7, Article 9, paragraph (1), and Article 10, paragraph (1) apply mutatis mutandis to a Confirmation Letter.In this case, in Article 7, the phrase "If, on or after the day on which a notification under Article 4, paragraphs (1) to (3) inclusive is filed and before the day on which that notification comes into effect, a material particular that is required to be stated in a statement or other document under Article 5, paragraph (1) or paragraph (6) changes" is deemed to be replaced with "If a material particular that is required to be stated in a Confirmation Letter changes", the phrase "the person filing the notification" is deemed to be replaced with "the Person Submitting the Confirmation Letter", and the term "amended statement" is deemed to be replaced with "amended Confirmation Letter"; in Article 9, paragraph (1), the phrase "the person that submitted it" is deemed to be replaced with "the Person Submitting the Confirmation Letter" and the term "amended statement" is deemed to be replaced with "amended Confirmation Letter"; in Article 10, paragraph (1)), the phrase "the person submitting the Registration Statement" is deemed to be replaced with "the Person Submitting the Confirmation Letter" and the phrase "to submit an amended statement, and if the Prime Minister finds it to be necessary, the Prime Minister may order the suspension of the validity of a notification under Article 4, paragraphs (1) to (3) inclusive" is deemed to be replaced with "to submit an amended Confirmation Letter"; and any other necessary technical replacement of terms is specified by 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)The provisions of Article 6 apply mutatis mutandis if an amended Confirmation Letter is submitted for a Confirmation Letter pursuant to Article 7, Article 9, paragraph (1), or Article 10, paragraph (1), as applied mutatis mutandis pursuant to the preceding paragraph. The necessary technical replacement of terms for such a case is specified by 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)The provisions of Article 24, paragraphs (8), (9), and (11) apply mutatis mutandis if an amended Confirmation Letter is submitted for a Confirmation Letter that a foreign company has submitted pursuant to Article 7, Article 9, paragraph (1), or Article 10, paragraph (1), as applied mutatis mutandis through the replacement of certain terms pursuant to paragraph (1). The necessary technical replacement of terms for such a case is specified by 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)
(Evaluation of the System for Ensuring the Appropriateness of Documents and Other Information Related to Financial Accounting)
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、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)For each business year, a company required to submit an Annual Report under Article 24, paragraph (1) (including one that has submitted an Annual Report under Article 23-3, paragraph (4); the same applies in the following paragraph) which is the Issuer of Securities set forth in Article 24, paragraph (1), item (i) or which is any other company specified by Cabinet Order, shall submit a report to the Prime Minister in which the system specified by Cabinet Office Ordinance as necessary for ensuring the appropriateness of documents and other information related to the financial accounting of the corporate group to which the company belongs and of the company is evaluated pursuant to the provisions of Cabinet Office Ordinance (hereinafter referred to as an "Internal Control Report"), together with its Annual Report (or a Foreign Company Report, if the company submits a Foreign Company Report instead of the Annual Report, etc. set forth in Article 24, paragraph (8), pursuant to that paragraph), pursuant to the provisions of Cabinet Office Ordinance.
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 that is required to submit an Annual Report under Article 24, paragraph (1) but that is not required to submit an Internal Control Report together with an Annual Report pursuant to the preceding paragraph (except a company specified by Cabinet Order), may voluntarily submit the Internal Control Report 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 apply mutatis mutandis to a company specified by Cabinet Order that is required to submit an Annual Report under Article 24, paragraph (1) as applied mutatis mutandis pursuant to paragraph (5) of that Article (including a company that has submitted an Annual Report pursuant to Article 23-3, paragraph (4)).In this case, in paragraph (1), the phrase "or any other company specified by Cabinet Order" is deemed to be replaced with "or any other company specified by Cabinet Order (limited to one that is the Issuer of regulated Securities (meaning regulated Securities provided for in Article 5, paragraph (1); hereinafter the same applies in this paragraph)", the term "business year" is deemed to be replaced with "Specified Period (meaning the Specified Period provided for in Article 24, paragraph (1) as applied mutatis mutandis pursuant to Article 24, paragraph (5)) designated for the regulated Securities", the phrase "of the corporate group to which the company belongs and of the company" is deemed to be replaced with "for assets connected with the asset management and other similar business conducted by the company"; and any other necessary technical replacement of terms is specified by 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)A document stating the particulars of the system specified by Cabinet Office Ordinance which is referred to in paragraph (1), and other documents that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors, must accompany an 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)The provisions of Article 6 apply mutatis mutandis if an Internal Control Report and accompanying documents are submitted pursuant to paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3); hereinafter the same applies in this Article) and the preceding paragraph. The necessary technical replacement of terms for such a case is specified by 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)The provisions of Article 24, paragraphs (8), (9), and (11) to (13) inclusive apply mutatis mutandis if a Reporting Foreign Company submits the Internal Control Report under paragraph (1) or (2) of this Article (but only if the Reporting Foreign Company submits Foreign Company Reports).In this case, in Article 24, paragraph (8), the phrase "a foreign company that is required to submit an Annual Report pursuant to paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13) inclusive) (including a foreign company that has submitted an Annual Report pursuant to Article 23-3, paragraph (4); hereinafter referred to as a 'Reporting Foreign Company')" is deemed to be replaced with "a foreign company that is required to submit an Annual Report pursuant to paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (5); hereinafter the same applies in this paragraph to paragraph (13) inclusive)", the phrase "an Annual Report under paragraph (1) and the documents that are required to accompany it pursuant to paragraph (6) (hereinafter collectively referred to as an "Annual Report, etc." in this Article)" is deemed to be replaced with "an Internal Control Report under Article 24-4-4, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to Article 24-4-4, paragraph (3)) and documents that are required to accompany it pursuant to Article 24-4-4, paragraph (4) (hereinafter collectively referred to as an 'Internal Control Report, etc.')", and the phrase "similar to an Annual Report, etc., but that has been prepared in English and disclosed in a foreign state (meaning that it is made available for public inspection in the relevant foreign state based on the laws and regulations of that state (including the rules provided by the operator of a foreign Financial Instruments Market or other person specified by Cabinet Office Ordinance); the same applies in Article 24-4-7, paragraph (6) and Article 24-5, paragraph (7))" is deemed to be replaced with "in which it has stated the particulars that are required to be stated in an Internal Control Report, etc."; in Article 24, paragraph (9), the phrase "documents stating the particulars not stated in the Foreign Company Report that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors, and other" is deemed to be replaced with "other"; in Article 24, paragraph (11), the phrase "an Annual Report, etc." is deemed to be replaced with "an Internal Control Report, etc."; and any other necessary technical replacement of terms is specified by Cabinet Order.
(訂正内部統制報告書の提出)
(Submission of an Amended 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「第四条第一項から第三項まで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、第四条第一項から第三項まで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)The provisions of Article 7, Article 9, paragraph (1), and Article 10, paragraph (1) apply mutatis mutandis to an Internal Control Report and accompanying documents.In this case, in Article 7, the phrase "If, on or after the day on which a notification under Article 4, paragraphs (1) to (3) inclusive is filed and before the day on which that notification comes into effect, a material particular that is required to be stated in a statement or other document under Article 5, paragraph (1) or paragraph (6) changes" is deemed to be replaced with "If a material particular that is required to be stated in an Internal Control Report or accompanying document changes", the phrase "the person filing the notification" is deemed to be replaced with "the person submitting the Internal Control Report", and the term "amended statement" is deemed to be replaced with "amended report"; in Article 9, paragraph (1), the phrase "the person that submitted it" is deemed to be replaced with "the person that submitted the Internal Control Report" and the term "amended statement" is deemed to be replaced with "amended report"; in Article 10, paragraph (1)), the phrase "the person submitting the Registration Statement" is deemed to be replaced with "the person submitting the Internal Control Report" and the phrase "to submit an amended statement, and if the Prime Minister finds it to be necessary, the Prime Minister may order the suspension of the validity of a notification under Article 4, paragraphs (1) to (3) inclusive" is deemed to be replaced with "to submit an amended report"; and any other necessary technical replacement of terms is specified by 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)The provisions of Article 6 apply mutatis mutandis if an amended report is submitted pursuant to Article 7, Article 9, paragraph (1) and Article 10, paragraph (1) as applied mutatis mutandis pursuant to the preceding paragraph in connection with an Internal Control Report or accompanying document. The necessary technical replacement of terms for such a case is specified by 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)The provisions of Article 24, paragraphs (8), (9), and (11) apply mutatis mutandis if an amended report is submitted in connection with an Internal Control Report that has been submitted by a foreign company pursuant to Article 7, Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis through the replacement of certain terms pursuant to paragraph (1). The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(賠償責任に関する規定の準用)
(Mutatis Mutandis Application of Provisions on Compensatory Liability)
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 24-4-6The provisions of Article 22 apply mutatis mutandis if an Internal Control Report (including any accompanying document) contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading.In this case, in Article 22, paragraph (1), the phrase "a person that, without knowing that the statement is false or has been omitted, acquires Securities issued by the person submitting the Registration Statement other than through a Public Offering or Secondary Distribution" is deemed to be replaced with "a person that, without knowing that the statement is false or has been omitted, acquires Securities issued by the person submitting the Internal Control Report (including any amended report in connection with this)", and any other necessary technical replacement of terms is specified by Cabinet Order.
(四半期報告書の提出)
(Submission of Quarterly Reports)
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、内閣府令で定めるところにより、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(やむを得ない理由により当該期間内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ内閣総理大臣の承認を受けた期間内)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(やむを得ない理由により当該期間内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ内閣総理大臣の承認を受けた期間内)に、内閣総理大臣に提出しなければならない。
Article 24-4-7(1)For each three-month period of the business year if the business year is longer than three months (excluding periods specified by Cabinet Order; the same applies hereinafter), a company required to submit an Annual Report set forth in Article 24, paragraph (1) (including a company which submits Annual Reports under Article 23-3, paragraph (4); the same applies in the following paragraph), which is the Issuer of Securities set forth in Article 24, paragraph (1), item (i) or which is any other company specified by Cabinet Order (hereinafter, such a company is referred to as a "Listed Company, etc." in this paragraph and the following paragraph) shall submit a report (hereinafter referred to as a "Quarterly Report") stating the financial condition of the corporate group to which the company belongs and other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors (hereinafter referred to as the "Particulars for Inclusion in a Quarterly Report" in this paragraph) to the Prime Minister within the period designated by Cabinet Order but not exceeding 45 days after the three-month period (if there is a compelling reason that the company cannot submit it within such a period, within a period approved in advance by the Prime Minister pursuant to the provisions of Cabinet Office Ordinance). In this, a Listed Company, etc. conducting business specified by Cabinet Office Ordinance shall submit a Quarterly Report stating, in addition to the Particulars for Inclusion in a Quarterly Report, the financial condition of the company and other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors to the Prime Minister within the period specified by Cabinet Order but not exceeding 60 days after the three-month period (if there is a compelling reason that the company cannot submit it within such a period, within a period approved in advance by the Prime Minister pursuant to the provisions of Cabinet Office Ordinance).
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 (other than one specified by Cabinet Order) other than a Listed Company, etc. which is required to submit an Annual Report set forth in Article 24, paragraph (1) may voluntarily submit Quarterly 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 apply mutatis mutandis to a company specified by Cabinet Order which is required to submit an Annual Report under Article 24, paragraph (1) as applied mutatis mutandis pursuant to paragraph (5) of that Article (including a company that has submitted an Annual Report under Article 23-3, paragraph (4)).In this case, in paragraph (1), the phrase "specified by Cabinet Order ("is deemed to be replaced with "specified by Cabinet Order (limited to the Issuer of regulated Securities (meaning regulated Securities provided for in Article 5, paragraph (1); hereinafter the same applies in this paragraph);", the phrase "if the business year" is deemed to be replaced with "if the Specified Period (meaning a Specified Period provided for in Article 24, paragraph (1) as applied mutatis mutandis pursuant to Article 24, paragraph (5); hereinafter the same applies in this paragraph) designated for the Securities", the phrase "of the business years" is deemed to be replaced with "of the Specified Period", the phrase "the corporate group to which the company belongs" is deemed to be replaced with "asset management and other similar business conducted by the company", and the phrase "financial condition of the company" is deemed to be replaced with "asset accounting in connection with asset management and other similar business conducted by the company"; and any other necessary technical replacement of terms is specified by 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「第四条第一項から第三項まで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、第四条第一項から第三項まで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)The provisions of Articles 7, Article 9, paragraph (1), and Article 10, paragraph (1) apply mutatis mutandis to Quarterly Reports, and Article 22 applies mutatis mutandis if a Quarterly Report or the related amended report contains a false statement about a material particular, omits a statement as to a material particular that is required to be stated, or omits a statement of material fact that is necessary to prevent it from being misleading.In this case, in Article 7, the phrase "If, on or after the day on which a notification under Article 4, paragraphs (1) to (3) inclusive is filed and before the day on which that notification comes into effect, a material particular that is required to be stated in a statement or other document under Article 5, paragraph (1) or paragraph (6) changes" is deemed to be replaced with "If a material particular that is required to be stated in a Quarterly Report (meaning a Quarterly Report set forth in Article 24-4-7, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (3); hereinafter the same applies in this Article, Article 9, paragraph (1), Article 11, paragraph (1) and Article 22) changes", the phrase "the person filing the notification" is deemed to be replaced with "the person submitting the Quarterly Report", and the term "amended statement" is deemed to be replaced with "amended report"; in Article 9, paragraph (1), the phrase "the person that submitted it" is deemed to be replaced with "the person that submitted the Quarterly Report" and the term "amended statement" is deemed to be replaced with "amended report"; in Article 10, paragraph (1), the phrase "the person submitting the Registration Statement" is deemed to be replaced with "the person submitting the Quarterly Report" and the phrase "to submit an amended statement, and if the Prime Minister finds it to be necessary, the Prime Minister may order the suspension of the validity of a notification under Article 4, paragraphs (1) to (3) inclusive" is deemed to be replaced with "to submit an amended report"; in Article 22, paragraph (1), the phrase "a person that, without knowing that the statement is false or has been omitted, acquires Securities issued by the person submitting the Registration Statement other than through a Public Offering or Secondary Distribution" is deemed to be replaced with "a person that, without knowing that the statement is false or has been omitted, acquires Securities issued by the person submitting the Quarterly Report and any amended report"; in Article 22, paragraph (2), the phrase "the preceding paragraph" is deemed to be replaced with "the preceding paragraph as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (4)"; and any other necessary technical replacement of terms is specified by 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)The provisions of Article 6 apply mutatis mutandis if a Quarterly Report is submitted pursuant to paragraph (1) or (2) (including as applied mutatis mutandis pursuant to paragraph (3); the same applies in the following paragraph to paragraph (11) inclusive) or if an amended report is submitted in connection with that Report pursuant to the provisions of Article 7, Article 9, paragraph (1) or Article 10, paragraph (1) as applied mutatis mutandis pursuant to the preceding paragraph. The necessary technical replacement of terms for such a case is specified by 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 a case that is specified by Cabinet Office Ordinance as one in which this does not damage the public interest or result in insufficient investor protection, instead of the Quarterly Report under paragraph (1), a Reporting Foreign Company that is required to submit a Quarterly Report pursuant to paragraph (1) (including a Reporting Foreign Company and that submits a Quarterly Report pursuant to paragraph (2); hereinafter the same applies in this Article) may submit a document that is similar to a Quarterly Report, but that has been prepared in English and disclosed in a foreign state (such a document is hereinafter referred to as a "Foreign Company Quarterly 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)A Japanese translation of the summary of the particulars stated in a Foreign Company Quarterly Report that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors, as well as the documents stating the particulars not stated in the Foreign Company Quarterly Report that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors and other documents specified by Cabinet Office Ordinance (such documents are hereinafter collectively referred to as "Supplementary Documents" in this Article) must accompany the Foreign Company Quarterly Report, pursuant to the provisions of 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)If a Reporting Foreign Company submits a Foreign Company Quarterly Report and Supplementary Documents pursuant to the preceding two paragraphs, the Foreign Company Quarterly Report and Supplementary Documents are deemed to be a Quarterly Report, the submission of the former is deemed to be the submission of the latter, and the provisions of the Financial Instruments and Exchange Act and Related Regulations apply.
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)If the Prime Minister finds that a Reporting Foreign Company that submitted a Foreign Company Quarterly Report does not satisfy the requirements for being allowed to submit the Foreign Company Quarterly Report referred to in paragraph (6), the Prime Minister must notify the Reporting Foreign Company of this. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.
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 provisions of paragraph (1), if a Reporting Foreign Company receives a notice under the preceding paragraph, it must submit a Quarterly Report under paragraph (1) within the period that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors, with the day on which the notice is made as the first day for the calculation of that period.
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)The provisions of paragraphs (6) to (8) inclusive apply mutatis mutandis if an amended report is submitted to amend a Foreign Company Quarterly Report that has been submitted by a Reporting Foreign Company pursuant to the provisions of Article 7, Article 9, paragraph (1), or Article 10, paragraph (1), as applied mutatis mutandis through the replacement of certain terms pursuant to paragraph (4), or to amend its Supplementary Documents. The necessary technical replacement of terms for such a case is specified by 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)If, pursuant to the provisions of Cabinet Office Ordinance, a company that is required to submit a Quarterly Report pursuant to paragraph (1) (limited to as applied mutatis mutandis pursuant to paragraph (3); hereinafter the same applies in this Article) (including a company that submits the Quarterly Report under paragraph (2) (limited to as applied mutatis mutandis pursuant to paragraph (3))) submits the documents stating a part of the particulars specified by Cabinet Office Ordinance under paragraph (1) (limited to documents prepared based on laws and regulations or the rules of a Financial Instruments Exchange (including anything specified by Cabinet Office Ordinance as being similar to such rules); such documents are hereinafter referred to as "Documents Substituted for Part of a Quarterly Report" in this paragraph and the following paragraph) together with a Quarterly Report to the Prime Minister, with regard to the application of paragraph (1) to a case in which a company receives the acknowledgement of the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, as one whose doing so does not damage the public interest or result in insufficient investor protection, in paragraph (1), the phrase "other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors" is deemed to be replaced with "other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors (excluding particulars stated in Documents Substituted for Part of the Quarterly 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)If Documents Substituted for Part of a Quarterly Report are submitted together with the Quarterly Report referred to in paragraph (1) as it applies through the replacement of certain terms pursuant to the preceding paragraph, the Documents Substituted for Part of the Quarterly Report are deemed to form a part of the Quarterly Report, the submission of the Documents Substituted for Part of the Quarterly Report is deemed to be the submission of the Documents Substituted for Part of the Quarterly Report as a part of the Quarterly Report, and the provisions of the Financial Instruments and Exchange Act and Related Regulations apply.
(確認書に関する規定の四半期報告書への準用)
(Mutatis Mutandis Application of Provisions Concerning Confirmation Letters to Quarterly Reports)
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)The provisions of Article 24-4-2 apply mutatis mutandis if a Quarterly Report is submitted pursuant to paragraph (1) or (2) of the preceding Article (including as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (3)) or if an amended report is submitted pursuant to Article 7, Article 9, paragraph (1), or Article 10, paragraph (1) as applied mutatis mutandis through the replacement of certain terms pursuant to Article 24-4-7, paragraph (4).In this case, in Article 24-4-2, paragraph (1), the phrase "the content of statements in the Annual Report" is deemed to be replaced with "the content of statements in the Quarterly Report (including any amended report in connection with this; hereinafter the same applies in this Article)", the phrase "Foreign Company Report instead of the Annual Report, etc." is deemed to be replaced with "Foreign Company Quarterly Report instead of the Quarterly Report", and the phrase "or a Foreign Company Report" is deemed to be replaced with "or a Foreign Company Quarterly Report"; in Article 24-4-2, paragraph (2), the phrase "together with an Annual Report" is deemed to be replaced with "together with a Quarterly Report"; in Article 24-4-2, paragraph (6) the phrase "a Confirmation Letter under Article 24-4-2, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (3) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (4)) or Article 24-4-2, paragraph (4))" is deemed to be replaced with "a Confirmation Letter under Article 24-4-2, paragraph (1) or (2) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (3) (including as applied mutatis mutandis pursuant to Article 24-4-2, paragraph (4)) or Article 24-4-2, paragraph (4)) as applied mutatis mutandis through the replacement of certain terms pursuant to Article 24-4-8"; and any other necessary technical replacement of terms is specified by 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)The provisions of Article 24-4-3 apply mutatis mutandis if an amended Confirmation Letter is submitted for a Confirmation Letter that has been submitted pursuant to the preceding paragraph. The necessary technical replacement of terms for such a case is specified by Cabinet Order.
(半期報告書及び臨時報告書の提出)
(Submission of Semiannual Reports and Ad Hoc Reports)
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(やむを得ない理由により当該期間内に提出できないと認められる場合には、内閣府令で定めるところにより、あらかじめ内閣総理大臣の承認を受けた期間内)に、内閣総理大臣に提出しなければならない。
Article 24-5(1)If the business year of a company that is required to submit the Annual Report set forth in Article 24, paragraph (1) (including one that has submitted an Annual Report under Article 23-3, paragraph (4); the same applies in paragraph (4)) but that is not required to submit the Quarterly Report under Article 24-4-7, paragraph (1) (including one that has submitted the Quarterly Report under Article 24-4-7, paragraph (2); the same applies in paragraph (3)) is longer than six months, that company must submit, pursuant to the provisions of Cabinet Office Ordinance, a report for each business year stating financial condition of the corporate group to which it belongs and its own financial condition, other material particulars of the company's business, and other particulars that are specified by Cabinet Office Ordinance as necessary and appropriate in the public interest or for the protection of investors in connection with the first six months of the relevant business year (such a report is hereinafter referred to as a "Semiannual Report") to the Prime Minister within three months after the end of the first six months (if there is a compelling reason that the company cannot submit it within such period, within the period approved in advance by the Prime Minister pursuant to the provisions of Cabinet Office Ordinance).
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)Unless it falls under any of the categories of persons specified in the following items, a company submitting or seeking to submit an Annual Report under Article 24, paragraph (1) that states the particulars specified in paragraph (2) of that Article, may state the particulars set forth in the preceding paragraph that are specified by Cabinet Office Ordinance as being relevant to that company, instead of stating all of the particulars set forth in the preceding paragraph, in the Semiannual Report that it is required to submit pursuant to the preceding paragraph:
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 that has already submitted an Annual Report stating the particulars specified in the main clause of Article 24, paragraph (1) or a Semiannual Report stating the particulars specified in the preceding paragraph; and
第四条第一項本文、第二項本文又は第三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又は提出しなければならない者(前号に掲げる者を除く。)
(ii)a person that has submitted or is required to submit a statement under Article 5, paragraph (1) stating the particulars set forth in Article 5, paragraph (1), item (ii) for a Public Offering or Secondary Distribution of Securities to which the main clause of Article 4, paragraph (1), the main clause of Article 4, paragraph (2), or the main clause of Article 4, paragraph (3) applies (excluding a person set forth 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