ja-jp	８　第二十七条の十七の規定は、第五項において準用する第二十七条の五の規定に違反して上場株券等の買付け等をした場合について準用する。この場合において、第二十七条の十七中「株券等」とあるのは「上場株券等」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。
en-us	(8) The provisions of Article 27-17 apply mutatis mutandis if a person violates the provisions of Article 27-5 as applied mutatis mutandis pursuant to paragraph (5) in purchasing, etc. Listed Share Certificates, etc. In this case, in Article 27-17, the term "Share Certificates, etc." is deemed to be replaced with "Listed Share Certificates, etc.", and any other necessary technical replacement of terms is specified by Cabinet Order.

ja-jp	（公表等の不実施又は虚偽の公表等による損害の賠償責任）
en-us	(Compensatory Liability for Damage Due to Failure to Disclose or False Disclosure)

ja-jp	第二十七条の二十二の四　前条第一項又は第二項の規定による公表又は通知（以下この条において「公表等」という。）をしなければならない重要事実についての公表等をせず、又は虚偽の公表等をした会社は、公開買付けに応じて上場株券等の売付け等をした者に対し、公表等がされず又は公表等が虚偽であることにより生じた損害を賠償する責めに任ずる。ただし、次に掲げる場合は、この限りでない。
en-us	Article 27-22-4 (1) A company that fails to make a disclosure or issue a notice under paragraph (1) or (2) of the preceding Article (hereinafter collectively referred to as "Disclosure" in this Article) with regard to a material fact requiring Disclosure, or a company that makes a false Disclosure with regard to such a fact, is liable to compensate a person that sells, etc. its Listed Share Certificates, etc. in response to the Tender Offer, for damage arising from the company's failure to make Disclosure or from its false Disclosure; provided, however, that this does not apply in the following cases:

ja-jp	一　当該公開買付けに応じて当該上場株券等の売付け等をした者が、当該会社に重要事実が生じており又は公表等の内容が虚偽であることを知つていたとき。
en-us	(i) the person that sells, etc. the Listed Share Certificates, etc. in response to the Tender Offer knows that the material fact has occurred at the company or knows that the content of the Disclosure is false; or

ja-jp	二　当該会社が、当該会社に重要事実が生じており又は公表等の内容が虚偽であることを知らず、かつ、当該公開買付け当時（前条第一項の規定による公表にあつては当該公開買付届出書の提出の時、同条第二項の規定による公表又は通知にあつては当該公開買付届出書を提出した日以後当該公開買付期間の末日までの間をいう。次項において同じ。）において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。
en-us	(ii) the company proves that it did not know that the material fact had occurred at said company or that the content of the Disclosure was false, and that in the exercise of reasonable care it could not have known this at the time of the Tender Offer (meaning when the Public Notice of the Commencement of the Tender Offer is submitted, in terms of disclosure under paragraph (1) of the preceding Article, or the period between when the Public Notice of the Commencement of the Tender Offer is submitted and the last day of the Tender Offer period, in terms of the disclosure or notice under Article 27-22-3, paragraph (2); the same applies in the following paragraph).

ja-jp	２　前項本文の規定の適用がある場合において、当該公開買付け当時における当該会社の役員は、当該会社と連帯して同項の規定による賠償の責めに任ずる。ただし、当該役員が、当該会社に重要事実が生じており又は公表等の内容が虚偽であることを知らず、かつ、当該公開買付け当時において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。
en-us	(2) In a case to which the main clause of the preceding paragraph is applicable, an officer of a company at the time of a Tender Offer is jointly and severally liable with the company for compensation under the preceding paragraph; provided, however, that this does not apply if the officer proves that the officer did not know that the material fact had occurred at the company or that the content of the Disclosure was false, and in the exercise of reasonable care could not have known this at the time of the Tender Offer.

ja-jp	第二章の三　株券等の大量保有の状況に関する開示
en-us	Chapter II-3 Disclosure of the Status of Large-Volume Holdings in Share Certificates, etc.

ja-jp	（大量保有報告書の提出）
en-us	(Submission of Statements of Large-Volume Holdings)

ja-jp	第二十七条の二十三　株券、新株予約権付社債券その他の政令で定める有価証券（以下この項において「株券関連有価証券」という。）で金融商品取引所に上場されているもの（流通状況がこれに準ずるものとして政令で定める株券関連有価証券を含む。）の発行者である法人が発行者（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。第二十七条の三十第二項を除き、以下この章及び第二十七条の三十の十一第四項において同じ。）である対象有価証券（当該対象有価証券に係るオプション（当該オプションの行使により当該行使をした者が当該オプションに係る対象有価証券の売買において買主としての地位を取得するものに限る。）を表示する第二条第一項第十九号に掲げる有価証券その他の当該対象有価証券に係る権利を表示するものとして政令で定めるものを含む。以下この章及び第二十七条の三十の十一第四項において「株券等」という。）の保有者で当該株券等に係るその株券等保有割合が百分の五を超えるもの（以下この章において「大量保有者」という。）は、内閣府令で定めるところにより、株券等保有割合に関する事項、取得資金に関する事項、保有の目的その他の内閣府令で定める事項を記載した報告書（以下「大量保有報告書」という。）を大量保有者となつた日から五日（日曜日その他政令で定める休日の日数は、算入しない。第二十七条の二十五第一項及び第二十七条の二十六において同じ。）以内に、内閣総理大臣に提出しなければならない。ただし、第四項に規定する保有株券等の総数に増加がない場合その他の内閣府令で定める場合については、この限りでない。
en-us	Article 27-23 (1) A holder of Subject Securities (including what is specified by Cabinet Order as indicating a right connected to Securities set forth in Article 2, paragraph (1), item (xix) and other Securities specified by Cabinet Order that indicate an Option on Subject Securities (limited to an Option that causes the person that exercises it to acquire the position of the buyer in a purchase and sale of the Subject Securities linked to the Option (hereinafter collectively referred to as "Share Certificates, etc." in this Chapter and Article 27-30-11, paragraph (4))) issued by a corporation (or, with regard to the Securities specified by Cabinet Office Ordinance, a person specified by Cabinet Office Ordinance; hereinafter the same applies in this Chapter and Article 27-30-11, paragraph (4), except for Article 27-30, paragraph (2)) that is the Issuer of share certificates, corporate bond certificates with share options, and other Securities specified by Cabinet Order (hereinafter referred to as the "Share-related Securities" in this paragraph) that are listed on a Financial Instruments Exchange (including the Share-related Securities specified by Cabinet Order as having equivalent distribution statuses to said Securities), and whose Ownership Ratio of Share Certificates, etc. with respect to the relevant Share Certificates, etc. exceeds five percent (such a holder is hereinafter referred to as a "Large-Volume Holder" in this Chapter) must submit a statement in which it states the particulars of its Ownership Ratio of Share Certificates, etc., the particulars of the funds for the acquisition, the purpose of the holdings, and any other particulars specified by Cabinet Office Ordinance (such a statement is hereinafter referred to as a "Statement of Large-Volume Holdings") to the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, within five days from the date on which it becomes a Large-Volume Holder (Sundays and other holidays specified by Cabinet Order are not included for the purpose of counting days; the same applies in Article 27-25, paragraph (1) and Article 27-26); provided, however, that this does not apply if the total number of Share Certificates, etc. held which are provided for in paragraph (4) does not increase, nor does it apply in any other case specified by Cabinet Office Ordinance.

ja-jp	２　前項の「対象有価証券」とは、株券、新株予約権付社債券その他の有価証券のうち政令で定めるものをいう。
en-us	(2) The term "Subject Securities" as used in the preceding paragraph means the share certificates, corporate bond certificates with share options, and other Securities specified by Cabinet Order.

ja-jp	３　第一項の保有者には、自己又は他人（仮設人を含む。）の名義をもつて株券等を所有する者（売買その他の契約に基づき株券等の引渡請求権を有する者その他これに準ずる者として政令で定める者を含む。）のほか、次に掲げる者を含むものとする。ただし、第一号に掲げる者については、同号に規定する権限を有することを知つた日において、当該権限を有することを知つた株券等（株券等に係る権利を表示する第二条第一項第二十号に掲げる有価証券その他の内閣府令で定める有価証券を含む。以下この項及び次条において同じ。）に限り、保有者となつたものとみなす。
en-us	(3) The holder referred to in paragraph (1) includes the following persons, in addition to persons that own Share Certificates, etc. in their own names or in the name of another person (or under a fictitious name) (including a person that holds the right to request the delivery of Share Certificates, etc. under a purchase and sale contract or any other contract, or any other person specified by Cabinet Order as being equivalent); provided, however, that the person set forth in item (i) is deemed to become a holder on the day on which that person comes to know that the person has the authority prescribed in that item, only within the scope of the Share Certificates, etc. (including the Securities set forth in Article 2, paragraph (1), item (xx) indicating the rights to Share Certificates, etc., and other Securities specified by Cabinet Office Ordinance; hereinafter the same applies in this paragraph and the following Article) regarding which the person comes to know that said that person has that authority:

ja-jp	一　金銭の信託契約その他の契約又は法律の規定に基づき、株券等の発行者の株主としての議決権その他の権利を行使することができる権限又は当該議決権その他の権利の行使について指図を行うことができる権限を有する者（次号に該当する者を除く。）であつて、当該発行者の事業活動を支配する目的を有する者
en-us	(i) a person that has the authority to exercise voting rights or any other rights as a shareholder in the Issuer of the Share Certificates, etc., or to give instructions as to the exercise of said voting rights or any other rights, based on a money trust contract or any other contract or the provisions of the law (except for a person that falls under the following item), and that has the aim of controlling the business activities of said Issuer; or

ja-jp	二　投資一任契約その他の契約又は法律の規定に基づき、株券等の投資をするのに必要な権限を有する者
en-us	(ii) a person that has the necessary authority to invest in Share Certificates, etc., based on a Discretionary Investment Contract or any other contract or the provisions of the law.

ja-jp	４　第一項の「株券等保有割合」とは、株券等の保有者（同項に規定する保有者をいう。以下この章において同じ。）の保有（前項各号に規定する権限を有する場合を含む。以下この章において同じ。）に係る当該株券等（その保有の態様その他の事情を勘案して内閣府令で定めるものを除く。以下この項において同じ。）の数（株券については株式の数を、その他のものについては内閣府令で定める数をいう。以下この章において同じ。）の合計から当該株券等の発行者が発行する株券等のうち、第百六十一条の二第一項に規定する信用取引その他内閣府令で定める取引の方法により譲渡したことにより、引渡義務（共同保有者に対して負うものを除く。）を有するものの数を控除した数（以下この章において「保有株券等の数」という。）に当該発行者が発行する株券等に係る共同保有者の保有株券等（保有者及び共同保有者の間で引渡請求権その他の政令で定める権利が存在するものを除く。）の数を加算した数（以下この章において「保有株券等の総数」という。）を、当該発行者の発行済株式の総数又はこれに準ずるものとして内閣府令で定める数に当該保有者及び共同保有者の保有する当該株券等（株券その他の内閣府令で定める有価証券を除く。）の数を加算した数で除して得た割合をいう。
en-us	(4) The term " Ownership Ratio of Share Certificates, etc." as used in paragraph (1) means the ratio arrived at when the number of Share Certificates, etc. issued by the Issuer of the relevant Share Certificates, etc., which the holder (meaning a holder as set forth in paragraph (1); hereinafter the same applies in this Chapter) is obligated to transfer (excluding those that the holder is obligated to transfer to a Joint Holder) due to having acquired them through a margin transaction provided for in Article 161-2, paragraph (1) or any other transaction method specified by Cabinet Office Ordinance, is deducted from the total number of Share Certificates, etc. (excluding the Share Certificates, etc. that are specified by Cabinet Office Ordinance in consideration of the manner in which they are held or any other circumstance; hereinafter the same applies in this paragraph) held by the holder of the relevant Share Certificates, etc. (meaning the number of represented shares, if they are share certificates, or the number specified by Cabinet Office Ordinance, if they are other Securities; hereinafter the same applies in this Chapter) (this includes if the holder has the authority set forth in the items of the preceding paragraph with regard to those Share Certificates, etc.; hereinafter the same applies in this Chapter) (the number of Share Certificates, etc. after this deduction is hereinafter referred to as the "Number of Share Certificates, etc. Held" in this Chapter); the Number of Share Certificates, etc. Held by Joint Holders of the Share Certificates, etc. issued by that Issuer (excluding those for which a right to request delivery or any other right specified by Cabinet Order exists between the holder and a Joint Holder) is added (the number of Share Certificates, etc. after this addition is hereinafter referred to as the "Total Number of Share Certificates, etc. Held" in this Chapter); and this is divided by the sum of either the total number of the Issuer's issued shares or the number specified by Cabinet Office Ordinance as being equivalent to this, and the number of Share Certificates, etc. that are held by the holder and the Joint Holders (excluding share certificates and other Securities that are specified by Cabinet Office Ordinance).

ja-jp	５　前項の「共同保有者」とは、株券等の保有者が、当該株券等の発行者が発行する株券等の他の保有者と共同して当該株券等を取得し、若しくは譲渡し、又は当該発行者の株主としての議決権その他の権利を行使することを合意している場合における当該他の保有者をいう。
en-us	(5) The term "Joint Holder" as used in the preceding paragraph means the other holder of the relevant Share Certificates, etc., in a case in which the holder of Share Certificates, etc. has agreed to jointly acquire or transfer said Share Certificates, etc., or to jointly exercise voting rights and other rights as the Issuer's shareholder, together with another holder of Share Certificates, etc. issued by the Issuer of the relevant Share Certificates, etc.

ja-jp	６　株券等の保有者と当該株券等の発行者が発行する株券等の他の保有者が、株式の所有関係、親族関係その他の政令で定める特別の関係にある場合においては、当該他の保有者を当該保有者に係る第四項の共同保有者とみなす。ただし、当該保有者又は他の保有者のいずれかの保有株券等の数が内閣府令で定める数以下である場合においては、この限りでない。
en-us	(6) If a first holder of Share Certificates, etc. and another holder of Share Certificates, etc. that are issued by the Issuer of the relevant Share Certificates, etc. are related to each other through a shareholding relationship, familial relationship, or other special relationship specified by Cabinet Order, the other holder is deemed to be a Joint Holder referred to in paragraph (4) in relation to that holder; provided, however, that this does not apply if the Number of Share Certificates, etc. Held by either the first holder or the other holder is the number specified by Cabinet Office Ordinance or less.

ja-jp	（株券保有状況通知書の作成及び交付）
en-us	(Preparation and Delivery of a Written Notice of Shareholding Status)

ja-jp	第二十七条の二十四　前条第三項第二号に掲げる者は、当該株券等の発行者の株主としての議決権その他の権利を行使することができる権限又は当該議決権その他の権利の行使について指図を行うことができる権限を有する顧客に対して、内閣府令で定めるところにより、毎月一回以上、当該株券等の保有状況について説明した通知書を作成し、交付しなければならない。
en-us	Article 27-24 A person set forth in paragraph (3), item (ii) of the preceding Article, pursuant to the provisions of Cabinet Office Ordinance, shall prepare a written notice that accounts for the status of holdings in the relevant Share Certificates, etc. and deliver it to customers that have the authority to exercise their voting rights or any other rights as shareholders in the Issuer of those Share Certificates, etc. or to give instructions as to the exercise of their voting rights or any other rights, at least once a month.

ja-jp	（大量保有報告書に係る変更報告書の提出）
en-us	(Submission of a Statement of Changes to a Statement of Large-Volume Holdings)

ja-jp	第二十七条の二十五　大量保有報告書を提出すべき者は、大量保有者となつた日の後に、株券等保有割合（第二十七条の二十三第四項に規定する株券等保有割合をいう。以下この章において同じ。）が百分の一以上増加し又は減少した場合（保有株券等の総数の増加又は減少を伴わない場合を除く。以下この章において同じ。）その他の大量保有報告書に記載すべき重要な事項の変更として政令で定めるものがあつた場合は、内閣府令で定めるところにより、その日から五日以内に、当該変更に係る事項に関する報告書（以下「変更報告書」という。）を内閣総理大臣に提出しなければならない。ただし、株券等保有割合が百分の一以上減少したことによる変更報告書で当該変更報告書に記載された株券等保有割合が百分の五以下であるものを既に提出している場合その他の内閣府令で定める場合については、この限りでない。
en-us	Article 27-25 (1) If, after the day on which a person that is required to submit a Statement of Large-Volume Holdings has become a Large-Volume Holder, the Ownership Ratio of Share Certificates, etc. (meaning the Ownership Ratio of Share Certificates, etc. set forth in Article 27-23, paragraph (4); hereinafter the same applies in this Chapter) has increased or decreased by one percent or more (unless this is not linked to an increase or decrease in the Total Number of Share Certificates, etc. Held by said person; hereinafter the same applies in this Chapter), or if there has been any other change that is specified by Cabinet Order as a change in a material particular that is required to be stated in the Statement of Large-Volume Holdings, such person must submit a report on the particulars of the change (hereinafter referred to as a "Statement of Changes") to the Prime Minister, within five days after the day of the change, pursuant to the provisions of Cabinet Office Ordinance; provided, however, that this does not apply if a Statement of Changes has already been submitted due to a decrease of one percent or more in the Ownership Ratio of Share Certificates, etc., and in this it is stated that the Ownership Ratio of Share Certificates, etc. is five percent or less, nor does it apply in other cases specified by Cabinet Office Ordinance.

ja-jp	２　株券等保有割合が減少したことにより変更報告書を提出する者は、短期間に大量の株券等を譲渡したものとして政令で定める基準に該当する場合においては、内閣府令で定めるところにより、譲渡の相手方及び対価に関する事項についても当該変更報告書に記載しなければならない。
en-us	(2) In a case that falls under the criteria specified by Cabinet Order as a case in which a large number of Share Certificates, etc. have been transferred within a short period, a person that submits a Statement of Changes due to a decrease in the Ownership Ratio of Share Certificates, etc. must also state in said Statement of Changes the particulars of the party to which the Share Certificates, etc. have been transferred and the consideration received, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　大量保有報告書又は変更報告書を提出する日の前日までに、新たに変更報告書を提出しなければならない事由が生じた場合には、当該変更報告書は、第一項本文の規定にかかわらず、提出されていないこれらの書類の提出と同時に内閣総理大臣に提出しなければならない。
en-us	(3) Notwithstanding the provisions of the main clause of paragraph (1), if, by the day before that on which a person submits a Statement of Large-Volume Holdings or a Statement of Changes, any cause requiring the person to submit a new Statement of Changes has arisen, the person must submit the new Statement of Changes to the Prime Minister at the same time as the person submits these unsubmitted documents.

ja-jp	４　大量保有報告書又は変更報告書を提出した者は、これらの書類に記載された内容が事実と相違し、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不十分であり、若しくは欠けていると認めるときは、訂正報告書を内閣総理大臣に提出しなければならない。
en-us	(4) If a person that has submitted a Statement of Large-Volume Holdings or a Statement of Changes finds that its content conflicts with the facts of the matter, that such a document insufficiently states or omits a statement as to a material particular that is required to be stated, or that such a document insufficiently states or omits a statement as to a material fact that is necessary to prevent it from being misleading, said person shall submit an amended report to the Prime Minister.

ja-jp	（特例対象株券等の大量保有者による報告の特例）
en-us	(Special Provisions for Statements by Large-Volume Holders of Share Certificates, etc. Subject to Special Provisions)

ja-jp	第二十七条の二十六　金融商品取引業者（第二十八条第一項に規定する第一種金融商品取引業を行う者又は同条第四項に規定する投資運用業を行う者に限る。以下この条において同じ。）、銀行その他の内閣府令で定める者（第三項に規定する基準日を内閣総理大臣に届け出た者に限る。）が保有する株券等で当該株券等の発行者の事業活動に重大な変更を加え、又は重大な影響を及ぼす行為として政令で定めるもの（第四項及び第五項において「重要提案行為等」という。）を行うことを保有の目的としないもの（株券等保有割合が内閣府令で定める数を超えた場合及び保有の態様その他の事情を勘案して内閣府令で定める場合を除く。）又は国、地方公共団体その他の内閣府令で定める者（第三項に規定する基準日を内閣総理大臣に届け出た者に限る。）が保有する株券等（以下この条において「特例対象株券等」という。）に係る大量保有報告書は、第二十七条の二十三第一項本文の規定にかかわらず、株券等保有割合が初めて百分の五を超えることとなつた基準日における当該株券等の保有状況に関する事項で内閣府令で定めるものを記載したものを、内閣府令で定めるところにより、当該基準日から五日以内に、内閣総理大臣に提出しなければならない。
en-us	Article 27-26 (1) Notwithstanding the provisions of the main clause of Article 27-23, paragraph (1), a Statement of Large-Volume Holdings in Share Certificates, etc. that a Financial Services Provider (limited to one that engages in Type I Financial Instruments Business provided for in Article 28, paragraph (1), or that engages in Investment Management provided for in paragraph (4) of that Article; hereinafter the same applies in this Article), a bank, or any other person specified by Cabinet Office Ordinance (limited to one that has notified the Prime Minister of the reference date provided for in paragraph (3)) holds, but which it does not hold for the purpose of performing an act specified by Cabinet Order as something that materially changes or materially influences the business activities of the Issuer of said Share Certificates, etc. (such an act is referred to as a "Material Proposal" in paragraphs (4) and (5)) (unless the Ownership Ratio of Share Certificates, etc. exceeds the ratio specified by Cabinet Office Ordinance and excluding any other cases that are specified by Cabinet Office Ordinance in consideration of the manner in which the Share Certificates, etc. are held and other circumstances), or which are held by the State, local government, or any other person specified by Cabinet Office Ordinance (limited to those that have notified the Prime Minister of the reference date provided for in paragraph (3)) (such Share Certificates, etc. are hereinafter collectively referred to as "Share Certificates, etc. Subject to Special Provisions" in this Article) must be submitted to the Prime Minister with a statement of the particulars specified by Cabinet Office Ordinance with regard to the status of Share Certificate, etc. holdings as of the reference date on which the Ownership Ratio of Share Certificates, etc. comes to exceed five percent for the first time, within five days from said reference date, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　特例対象株券等に係る変更報告書（当該株券等が特例対象株券等以外の株券等になる場合の変更に係るものを除く。）は、第二十七条の二十五第一項本文の規定にかかわらず、次の各号に掲げる場合の区分に応じ当該各号に定める日までに、内閣府令で定めるところにより、内閣総理大臣に提出しなければならない。
en-us	(2) Notwithstanding the provisions of the main clause of Article 27-25, paragraph (1), a Statement of Changes for Share Certificates, etc. Subject to Special Provisions (excluding a Statement of Changes for a change that occurs if the relevant Share Certificates, etc. come to fall under a category other than Share Certificates, etc. Subject to Special Provisions) must be submitted to the Prime Minister by the date that is specified in the relevant of the following items for the category of cases set forth in that item, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　前項の大量保有報告書に係る基準日の後の基準日における株券等保有割合が当該大量保有報告書に記載された株券等保有割合より百分の一以上増加し又は減少した場合その他の当該大量保有報告書に記載すべき重要な事項の変更として政令で定めるものがあつた場合　当該後の基準日から五日以内
en-us	(i) if the Ownership Ratio of Share Certificates, etc. as of the reference date that comes after the reference date of the Statement of Large-Volume Holdings set forth in the preceding paragraph increases or decreases by one percent or more from the Ownership Ratio of Share Certificates, etc. that is stated in said Statement of Large-Volume Holdings, or if there has been any other change that is specified by Cabinet Order as a change in a material particular that is required to be stated in said Statement of Large-Volume Holdings: within five days from the later reference date;

ja-jp	二　変更報告書に係る基準日の後の基準日における株券等保有割合が当該変更報告書に記載された株券等保有割合より百分の一以上増加し又は減少した場合その他の当該大量保有報告書に記載すべき重要な事項の変更として政令で定めるものがあつた場合　当該後の基準日から五日以内
en-us	(ii) if the Ownership Ratio of Share Certificates, etc. as of the reference date that comes after the reference date of the Statement of Changes increases or decreases by one percent or more from the Ownership Ratio of Share Certificates, etc. that was stated in said Statement of Changes, or if there has been any other change that is specified by Cabinet Order as a change in a material particular that is required to be stated in the Statement of Large-Volume Holdings: within five days from the later reference date;

ja-jp	三　株券等保有割合が内閣府令で定める数を下回り当該株券等が特例対象株券等になつた場合　当該特例対象株券等になつた日から五日以内
en-us	(iii) if the Ownership Ratio of Share Certificates, etc. falls below the ratio specified by Cabinet Office Ordinance, and the relevant Share Certificates, etc. have become Share Certificates, etc. Subject to Special Provisions: within five days from the date on which the Share Certificates, etc. become Share Certificates, etc. Subject to Special Provisions; and

ja-jp	四　前三号に準ずる場合として内閣府令で定める場合　内閣府令で定める日
en-us	(iv) a case specified by Cabinet Office Ordinance as being equivalent to any of the preceding three items: the date specified by Cabinet Office Ordinance.

ja-jp	３　前二項の基準日とは、政令で定めるところにより毎月二回以上設けられる日の組合せのうちから特例対象株券等の保有者が内閣府令で定めるところにより内閣総理大臣に届出をした日をいう。
en-us	(3) The reference date referred to in the preceding two paragraphs means the date on which a Holder of Share Certificates, etc. Subject to Special Provisions notifies the Prime Minister pursuant to the provisions of Cabinet Office Ordinance, from among the combinations of two or more days in each month designated pursuant to the provisions of Cabinet Order.

ja-jp	４　第一項の規定にかかわらず、同項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、その株券等保有割合が百分の五を超えることとなつた日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の大量保有報告書を内閣総理大臣に提出しなければならない。
en-us	(4) Notwithstanding the provisions of paragraph (1), if the Financial Services Provider, bank, or other person specified by Cabinet Office Ordinance provided for in that paragraph makes a Material Proposal within a period specified by Cabinet Order from the date on which the Ownership Ratio of Share Certificates, etc. comes to exceed five percent, it must submit the Statement of Large-Volume Holdings referred to in that paragraph to the Prime Minister by five days prior to the date on which it makes the Material Proposal, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	５　第二項の規定にかかわらず、第一項に規定する金融商品取引業者、銀行その他の内閣府令で定める者は、同項の大量保有報告書又は第二項の変更報告書を提出した後に株券等保有割合が百分の一以上増加した場合であつて、当該増加した日から政令で定める期間内に重要提案行為等を行うときは、その五日前までに、内閣府令で定めるところにより、同項の変更報告書を内閣総理大臣に提出しなければならない。
en-us	(5) Notwithstanding the provisions of paragraph (2), if the Ownership Ratio of Share Certificates, etc. of the Financial Services Provider, bank, or other person specified by Cabinet Office Ordinance provided for in paragraph (1) increases by one percent or more after the submission of the Statement of Large-Volume Holdings referred to in that paragraph or the Statement of Changes referred to in paragraph (2), and if it makes a Material Proposal within the period specified by Cabinet Order from the date of the increase, it must submit the Statement of Changes referred to in that paragraph to the Prime Minister by five days prior to the date on which it makes the Material Proposal, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	６　前条第四項の規定は、第一項若しくは第四項の大量保有報告書又は第二項若しくは前項の変更報告書について準用する。
en-us	(6) The provisions of paragraph (4) of the preceding Article apply mutatis mutandis to the Statement of Large-Volume Holdings referred to in paragraph (1) or (4), or the Statement of Changes referred to in paragraph (2) or the preceding paragraph.

ja-jp	（大量保有報告書等の写しの金融商品取引所等への提出）
en-us	(Submission of a Copy of a Statement of Large-Volume Holdings, etc. to a Financial Instruments Exchange, etc.)

ja-jp	第二十七条の二十七　株券等の保有者は、大量保有報告書若しくは変更報告書又はこれらの訂正報告書を提出したときは、遅滞なく、これらの書類の写しを当該株券等の発行者及び次の各号に掲げる株券等の区分に応じ当該各号に定める者に送付しなければならない。
en-us	Article 27-27 If a Holder of Share Certificates, etc. has submitted a Statement of Large-Volume Holdings, Statement of Changes, or amended reports in connection with them, said holder must send the copies of these documents without delay to the Issuer of the relevant Share Certificates, etc., and to the person specified in the relevant of the following items for the category of Share Certificates, etc. set forth in that item:

ja-jp	一　金融商品取引所に上場されている株券等の発行者が発行する株券等　当該金融商品取引所
en-us	(i) Share Certificates, etc. issued by an Issuer of Share Certificates, etc. listed on a Financial Instruments Exchange: said Financial Instruments Exchange; and

ja-jp	二　流通状況が前号に掲げる株券等に準ずるものとして政令で定める株券等の発行者が発行する株券等　政令で定める認可金融商品取引業協会
en-us	(ii) Share Certificates, etc. issued by an Issuer of Share Certificates, etc., which are specified by Cabinet Order as having equivalent distribution statuses to the Share Certificates, etc. set forth in the preceding item: the Authorized Financial Instruments Business Association specified by Cabinet Order.

ja-jp	（大量保有報告書等の公衆縦覧）
en-us	(Public Inspection of Statements of Large-Volume Holdings)

ja-jp	第二十七条の二十八　内閣総理大臣は、内閣府令で定めるところにより、大量保有報告書及び変更報告書並びにこれらの訂正報告書を、これらの書類を受理した日から五年間、公衆の縦覧に供しなければならない。
en-us	Article 27-28 (1) The Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, must make Statements of Large-Volume Holdings and Statements of Changes, as well as amended reports in connection with them, available for public inspection for five years from the day on which the Prime Minister accepts these documents.

ja-jp	２　金融商品取引所及び政令で定める認可金融商品取引業協会は、前条の規定により送付された前項に規定する書類（以下この条において「縦覧書類」という。）の写しを、内閣府令で定めるところにより、その事務所に備え置き、当該縦覧書類の写しの送付を受けた日から五年間、公衆の縦覧に供しなければならない。
en-us	(2) Pursuant to the provisions of Cabinet Office Ordinance, Financial Instruments Exchanges and the Authorized Financial Instruments Business Associations specified by Cabinet Order must keep at their offices the copies of the documents prescribed in the preceding paragraph that have been sent to them pursuant to the provisions of the preceding Article (hereinafter referred to as "Public Documents" in this Article), and must make copies of them available for public inspection for five years from the day on which they receive those copies of the Public Documents.

ja-jp	３　縦覧書類に記載された取得資金に関する事項について、当該資金が銀行、協同組織金融機関その他政令で定める金融機関（以下この項において「銀行等」という。）からの借入れによる場合（内閣府令で定める場合を除く。）には、内閣総理大臣は、第一項の規定にかかわらず、当該銀行等の名称を公衆の縦覧に供しないものとし、当該縦覧書類を提出した者は、当該銀行等の名称を削除して当該縦覧書類の写しを送付するものとする。
en-us	(3) Notwithstanding the provisions of paragraph (1), with regard to the particulars of funds for acquisition as stated in a Public Document, if said funds have been borrowed from a bank, Cooperative Financial Institution, or any other financial institution specified by Cabinet Order (hereinafter collectively referred to as a "Bank, etc." in this paragraph) (excluding the cases specified by Cabinet Office Ordinance), the Prime Minister is not to make the name of the Bank, etc. available for public inspection, and the person that has submitted the Public Documents is to delete the name of the Bank, etc. before sending the copy of the Public Document.

ja-jp	４　内閣総理大臣は、次条第一項において準用する第九条第一項又は第十条第一項の規定による訂正報告書の提出命令をする場合には、第一項の規定にかかわらず、当該提出命令に係る縦覧書類について、その全部又は一部を公衆の縦覧に供しないものとすることができる。
en-us	(4) Notwithstanding the provisions of paragraph (1), if the Prime Minister issues a submission order for an amended report under Article 9, paragraph (1) or Article 10, paragraph (1) as applied mutatis mutandis pursuant to paragraph (1) of the following Article, the Prime Minister may decide not to make all or part of the Public Document that is connected with the order available for public inspection.

ja-jp	５　前項の場合において、内閣総理大臣は、大量保有者及び第二項の規定により当該縦覧書類の写しを公衆の縦覧に供する金融商品取引所又は同項の政令で定める認可金融商品取引業協会に対し、当該縦覧書類の全部又は一部を公衆の縦覧に供しないこととした旨を通知するものとする。
en-us	(5) In a case referred to in the preceding paragraph, the Prime Minister is to notify a Large-Volume Holder, and the Financial Instruments Exchange or the Authorized Financial Instruments Business Association specified by Cabinet Order that is referred to in paragraph (2), that makes copies of Public Documents available for public inspection pursuant to the provisions of paragraph (2), that the Prime Minister has decided that all or part of the Public Document will not be made available for public inspection.

ja-jp	６　前項の規定により金融商品取引所又は認可金融商品取引業協会が内閣総理大臣からの通知を受けたときは、その時以後、当該通知に係る縦覧書類については、第二項の規定は、適用しない。
en-us	(6) If a Financial Instruments Exchange or an Authorized Financial Instruments Business Association receives a notice from the Prime Minister pursuant to the provisions of the preceding paragraph, the provisions of paragraph (2) do not apply after that time to the Public Document to which the notice pertains.

ja-jp	（大量保有報告書等の訂正報告書の提出命令）
en-us	(Order to Submit an Amended Report in Connection with a Statement of Large-Volume Holdings, etc.)

ja-jp	第二十七条の二十九　第九条第一項及び第十条第一項の規定は、大量保有報告書及び変更報告書について準用する。この場合において、同項中「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、「提出」と読み替えるものとする。
en-us	Article 27-29 (1) The provisions of Article 9, paragraph (1) and Article 10, paragraph (1) apply mutatis mutandis to Statements of Large-Volume Holdings and Statements of Changes. In this case, in Article 10, paragraph (1), 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 statement".

ja-jp	２　前二条の規定は、前項において準用する第九条第一項又は第十条第一項の規定により大量保有報告書又は変更報告書につき訂正報告書が提出された場合について準用する。
en-us	(2) The provisions of the preceding two Articles apply mutatis mutandis if an amended report in connection with a Statement of Large-Volume Holdings or a Statement of Changes has been submitted pursuant to the provisions of Article 9, paragraph (1) or Article 10, paragraph (1), as applied mutatis mutandis pursuant to the preceding paragraph.

ja-jp	（大量保有報告書の提出者等に対する報告の徴取及び検査）
en-us	(Collection of Reports and Inspection of a Person Submitting a Statement of Large-Volume Holdings, etc.)

ja-jp	第二十七条の三十　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、大量保有報告書を提出した者若しくは提出すべきであると認められる者若しくはこれらの共同保有者（第二十七条の二十三第五項に規定する共同保有者をいう。）その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をしてその者の帳簿書類その他の物件を検査させることができる。
en-us	Article 27-30 (1) Whenever 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 a person that has submitted a Statement of Large-Volume Holdings, a person that is found to be required to submit the same, a Joint Holder (meaning a Joint Holder as prescribed in Article 27-23, paragraph (5)) of either of such persons, or any other concerned party or witness to submit reports or materials that should serve as a reference, and may have the relevant officials inspect that person's books and documents or any other articles.

ja-jp	２　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、大量保有報告書に係る株券等の発行者である会社又は参考人に対し、参考となるべき報告又は資料の提出を命ずることができる。
en-us	(2) Whenever 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 company that is the Issuer of Share Certificates, etc. to which a Statement of Large-Volume Holdings pertains or a witness, to submit reports or materials that should serve as a reference.

ja-jp	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
en-us	Chapter II-4 Special Provisions, etc. on Carrying Out Procedures Via an Electronic Data Processing System for Disclosure

ja-jp	（開示用電子情報処理組織の定義）
en-us	(Definition of Electronic Data Processing Systems for Disclosure)

ja-jp	第二十七条の三十の二　この章において「開示用電子情報処理組織」とは、内閣府の使用に係る電子計算機（入出力装置を含む。以下この章において同じ。）と、第五条第一項（第二十七条において準用する場合を含む。）、第七条（第二十四条の二第一項、第二十四条の四の三第一項（第二十四条の四の八第二項及び第二十四条の五の二第二項において準用する場合を含む。）、第二十四条の四の五第一項、第二十四条の四の七第四項、第二十四条の五第五項及び第二十四条の七第三項（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。）、第二十四条の六第二項並びに第二十七条において準用する場合を含む。）、第九条第一項（同項後段を除き、第二十四条の二第一項、第二十四条の四の三第一項（第二十四条の四の八第二項及び第二十四条の五の二第二項において準用する場合を含む。）、第二十四条の四の五第一項、第二十四条の四の七第四項、第二十四条の五第五項及び第二十四条の七第三項（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。）、第二十四条の六第二項並びに第二十七条において準用する場合を含む。）、第十条第一項（同項後段を除き、第二十四条の二第一項、第二十四条の四の三第一項（第二十四条の四の八第二項及び第二十四条の五の二第二項において準用する場合を含む。）、第二十四条の四の五第一項、第二十四条の四の七第四項、第二十四条の五第五項及び第二十四条の七第三項（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。）、第二十四条の六第二項並びに第二十七条において準用する場合を含む。）、第二十三条の三第一項若しくは第四項（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。）、第二十三条の四（第二十七条において準用する場合を含む。）、第二十三条の七第一項（第二十七条において準用する場合を含む。）、第二十三条の八第一項（第二十七条において準用する場合を含む。）、第二十三条の九第一項（同項後段を除き、第二十七条において準用する場合を含む。）、第二十三条の十第一項（同項後段を除き、同条第五項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十四条第一項若しくは第三項（これらの規定を同条第五項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十四条の四の二第一項若しくは第二項（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（これらの規定を第二十四条の四の八第一項及び第二十四条の五の二第一項において準用し、並びに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。）並びに第二十七条において準用する場合を含む。）、第二十四条の四の四第一項若しくは第二項（これらの規定を同条第三項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十四条の四の七第一項若しくは第二項（これらの規定を同条第三項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十四条の五第一項（同条第三項（第二十七条において準用する場合を含む。）において準用する場合を含む。）若しくは第四項（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。）、第二十四条の六第一項、第二十四条の七第一項若しくは第二項（これらの規定を同条第六項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十五条第四項（第二十七条において準用する場合を含む。）、第二十七条の三第二項（第二十七条の二十二の二第二項において準用する場合を含む。）、第二十七条の八第一項から第四項まで（同項後段を除き、これらの規定を第二十七条の十第八項及び第十二項、第二十七条の十三第三項並びに第二十七条の二十二の二第二項及び第七項において準用する場合を含む。）、第二十七条の十第一項若しくは第十一項、第二十七条の十一第三項（第二十七条の二十二の二第二項において準用する場合を含む。）若しくは第二十七条の十三第二項（第二十七条の二十二の二第二項において準用する場合を含む。）、第二十七条の二十三第一項、第二十七条の二十五第一項、第三項若しくは第四項、第二十七条の二十六各項若しくは第二十七条の二十九第一項において準用する第九条第一項（同項後段を除く。）若しくは第十条第一項（同項後段を除く。）の規定による手続（これらの手続により書類を提出する場合に添付しなければならないものの提出を含む。以下この章において「電子開示手続」という。）又は第四条第六項（第二十三条の八第四項（第二十七条において準用する場合を含む。）において準用する場合を含む。）若しくは第二十七条の五第二号の規定による手続その他政令で定める手続（これらの手続により書類を提出する場合に添付しなければならないものの提出を含む。以下この章において「任意電子開示手続」という。）を行う者の使用に係る入出力装置並びに金融商品取引所及び政令で定める認可金融商品取引業協会の使用に係る入出力装置とを電気通信回線で接続した電子情報処理組織をいう。
en-us	Article 27-30-2 The term "Electronic Data Processing System for Disclosure" as used in this Chapter means an electronic data processing system through which a computer used by the Cabinet Office (including its input and output devices; hereinafter the same applies in this Chapter), and the input and output devices used by a person that carries out the procedures under the provisions of Article 5, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27); Article 7 (including as applied mutatis mutandis pursuant to Article 24-2, paragraph (1); Article 24-4-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (2) and Article 24-5-2, paragraph (2)); Article 24-4-5, paragraph (1); Article 24-4-7, paragraph (4); Article 24-5, paragraph (5) and Article 24-7, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27); Article 24-6, paragraph (2); and Article 27)); Article 9, paragraph (1) (excluding the second sentence of that paragraph, and including as applied mutatis mutandis pursuant to Article 24-2, paragraph (1); Article 24-4-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (2) and Article 24-5-2, paragraph (2)); Article 24-4-5, paragraph (1); Article 24-4-7, paragraph (4); Article 24-5, paragraph (5) and Article 24-7, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27); Article 24-6, paragraph (2); and Article 27); Article 10, paragraph (1) (excluding the second sentence of that paragraph, and including as applied mutatis mutandis pursuant to Article 24-2, paragraph (1); Article 24-4-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (2) and Article 24-5-2, paragraph (2)); Article 24-4-5, paragraph (1); Article 24-4-7, paragraph (4); Article 24-5, paragraph (5) and Article 24-7, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27); Article 24-6, paragraph (2); and Article 27); Article 23-3, paragraph (1) and (4) (including as applied mutatis mutandis pursuant to Article 27); Article 23-4 (including as applied mutatis mutandis pursuant to Article 27); Article 23-7, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27); Article 23-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27); Article 23-9, paragraph (1) (excluding the second sentence of that paragraph, and including as applied mutatis mutandis pursuant to Article 27); Article 23-10, paragraph (1) (excluding the second sentence of that paragraph, and including as applied mutatis mutandis pursuant to Article 23-10, paragraph (5) (including as applied mutatis mutandis pursuant to Article 27); and Article 27), Article 24, paragraph (1) and (3) (including as applied mutatis mutandis pursuant to Article 24, paragraph (5) (including as applied mutatis mutandis pursuant to Article 27) and Article 27); Article 24-4-2, paragraph (1) and (2) (including as applied mutatis mutandis pursuant to Article 24-2, paragraph (3) (including as applied mutatis mutandis pursuant to Article 24-2, paragraph (4)) and Article 24-2, paragraph (4) (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (1) and Article 24-5-2, paragraph (1), and including as applied mutatis mutandis pursuant to Article 27) and Article 27); Article 24-4-4, paragraph (1) and (2) (including as applied mutatis mutandis pursuant to Article 24-4-4, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27) and Article 27); Article 24-4-7, paragraph (1) and (2) (including as applied mutatis mutandis pursuant to Article 24-4-7, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27) and Article 27); Article 24-5, paragraph (1) (including as applied mutatis mutandis pursuant to Article 24-5, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27); Article 24-5, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27); Article 24-6, paragraph (1); Article 24-7, paragraph (1) and (2) (including as applied mutatis mutandis pursuant to Article 24-7, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27); and Article 27); Article 25, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27); Article 27-3, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); Article 27-8, paragraphs (1) to (4) inclusive (excluding the second sentence of paragraph (4), and including as applied mutatis mutandis pursuant to Article 27-10, paragraphs (8) and (12); Article 27-13, paragraph (3); and Article 27-22-2, paragraphs (2) and (7)); Article 27-10, paragraph (1) and (11); Article 27-11, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); Article 27-13, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); Article 27-23, paragraph (1); Article 27-25, paragraphs (1), (3), and (4); the paragraphs of Article 27-26; or the provisions of Article 9, paragraph (1) (excluding the second sentence of that paragraph) and Article 10, paragraph (1) (excluding the second sentence of that paragraph) as applied mutatis mutandis pursuant to Article 27-29, paragraph (1) (including the submission of anything that must accompany documents if they are submitted via these procedures; hereinafter referred to as "Electronic Disclosure" in this Chapter); or the procedures under Article 4, paragraph (6) (including as applied mutatis mutandis pursuant to Article 23-8, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27)), the procedures prescribed in Article 27-5, item (ii), and other procedures specified by Cabinet Order (including the submission of anything that must accompany documents if they are submitted through these procedures; hereinafter referred to as "Voluntary Electronic Disclosure" in this Chapter) are connected over a telecommunications line, or an electronic data processing system through which a computer used by the Cabinet Office and the input and output devices used by a Financial Instruments Exchange or by a Authorized Financial Instruments Business Association designated by Cabinet Order are connected over a telecommunications line.

ja-jp	（電子開示手続の開示用電子情報処理組織の使用）
en-us	(Use of an Electronic Data Processing System for Disclosure for Electronic Disclosure)

ja-jp	第二十七条の三十の三　電子開示手続を行う者は、政令で定めるところにより、開示用電子情報処理組織を使用して行わなければならない。
en-us	Article 27-30-3 (1) A person that carries out Electronic Disclosure must use an Electronic Data Processing System for Disclosure to do so, pursuant to the provisions of Cabinet Order.

ja-jp	２　任意電子開示手続を行う者は、政令で定めるところにより、開示用電子情報処理組織を使用して行うことができる。
en-us	(2) A person that carries out Voluntary Electronic Disclosure may use an Electronic Data Processing System for Disclosure to do so, pursuant to the provisions of Cabinet Order.

ja-jp	３　前二項の規定により行われた電子開示手続又は任意電子開示手続は、前条の電子計算機に備えられたファイル（以下この章において単に「ファイル」という。）への記録がされた時に内閣府に到達したものとみなす。
en-us	(3) Electronic Disclosure or Voluntary Electronic Disclosure that is carried out pursuant to the provisions of the preceding two paragraphs is deemed to reach the Cabinet Office when it is recorded in a file stored on the computer referred to in the preceding Article (hereinafter simply referred to as the "File" in this Chapter).

ja-jp	４　第一項又は第二項の規定により行われた電子開示手続又は任意電子開示手続については、これらの手続を文書をもつて行うものとして規定した金融商品取引法令の規定に規定する文書をもつて行われたものとみなして、金融商品取引法令の規定を適用する。
en-us	(4) Electronic Disclosure or Voluntary Electronic Disclosure that is carried out pursuant to the provisions of paragraph (1) or (2) is deemed to have been carried out using the paper documents specified in the provisions of the Financial Instruments and Exchange Act and Related Regulations which stipulate that these procedures are to be carried out using paper documents, and the Financial Instruments and Exchange Act and Related Regulations apply.

ja-jp	５　電子開示手続及び任意電子開示手続については、行政手続等における情報通信の技術の利用に関する法律（平成十四年法律第百五十一号）第三条の規定は、適用しない。
en-us	(5) The provisions of Article 3 of the Act on the Utilization of Information and Communications Technology in Administrative Procedures (Act No. 151 of 2002) do not apply to Electronic Disclosure and Voluntary Electronic Disclosure.

ja-jp	（開示用電子情報処理組織を使用できない場合の特例）
en-us	(Special Provisions for Times When an Electronic Data Processing System for Disclosure Is Unusable)

ja-jp	第二十七条の三十の四　電子開示手続を行う者は、電気通信回線の故障その他の事由により開示用電子情報処理組織を使用して当該電子開示手続を行うことができない場合には、前条第一項の規定にかかわらず、政令で定めるところにより、内閣総理大臣の承認を得て、開示用電子情報処理組織の使用に代えて、磁気ディスク（これに準ずる方法により一定の事項を確実に記録しておくことができる物を含む。以下この章において同じ。）の提出によりその電子開示手続を行うことができる。
en-us	Article 27-30-4 (1) Notwithstanding the provisions of paragraph (1) of the preceding Article, if a person that carries out Electronic Disclosure is unable to carry out Electronic Disclosure through the use of an Electronic Data Processing System for Disclosure due to a failure in telecommunication lines or any other cause, the person may carry out Electronic Disclosure by submitting a magnetic disk (including anything on which it is possible to reliably record specific particulars through use of a similar means; hereinafter the same applies in this Chapter), instead of using an Electronic Data Processing System for Disclosure, with the approval of the Prime Minister and pursuant to the provisions of Cabinet Order.

ja-jp	２　開示用電子情報処理組織を使用して任意電子開示手続を行う者は、電気通信回線の故障その他の事由により開示用電子情報処理組織を使用して当該任意電子開示手続を行うことができない場合には、政令で定めるところにより、内閣総理大臣の承認を得て、開示用電子情報処理組織の使用に代えて、磁気ディスクの提出によりその任意電子開示手続を行うことができる。
en-us	(2) If a person that carries out Voluntary Electronic Disclosure by use of an Electronic Data Processing System for Disclosure is unable to carry out Voluntary Electronic Disclosure using an Electronic Data Processing System for Disclosure due to a failure in telecommunication lines or any other cause, said person may carry out Voluntary Electronic Disclosure by submitting a magnetic disk, instead of using an Electronic Data Processing System for Disclosure, with an approval of the Prime Minister and pursuant to the provisions of Cabinet Order.

ja-jp	３　内閣総理大臣は、前二項の規定により電子開示手続又は任意電子開示手続が磁気ディスクの提出により行われたときは、当該磁気ディスクに記録された事項を、直ちに、内閣府令で定めるところにより、ファイルに記録しなければならない。この場合において、ファイルへの記録がされた時に内閣府に到達したものとみなす。
en-us	(3) If Electronic Disclosure or Voluntary Electronic Disclosure is carried out through the submission of a magnetic disk pursuant to the provisions of the preceding two paragraphs, the Prime Minister must immediately record the particulars recorded on that magnetic disk into the File, pursuant to the provisions of Cabinet Office Ordinance. In this, the particulars recorded on the magnetic disk are deemed to reach the Cabinet Office when those particulars are recorded into the File.

ja-jp	４　前条第四項の規定は、前三項の規定により行われた電子開示手続又は任意電子開示手続について準用する。
en-us	(4) The provisions of paragraph (4) of the preceding Article apply mutatis mutandis to Electronic Disclosure or Voluntary Electronic Disclosure carried out pursuant to the provisions of the preceding three paragraphs.

ja-jp	（開示用電子情報処理組織の故障等の場合の特例）
en-us	(Special Provisions for Times When an Electronic Data Processing System for Disclosure Malfunctions, etc.)

ja-jp	第二十七条の三十の五　次の各号のいずれかに該当する場合であつて、内閣総理大臣が承認するときは、第二十七条の三十の三第一項の規定は、適用しない。
en-us	Article 27-30-5 (1) The provisions of Article 27-30-3, paragraph (1) do not apply to a case that falls under one of the following items, if the Prime Minister gives approval:

ja-jp	一　第二十七条の三十の二の電子計算機の故障その他政令で定める事由があると認められるとき。
en-us	(i) it is found that there has been a malfunction in the computer referred to in Article 27-30-2 or there are otherwise found to be grounds specified by Cabinet Order; or

ja-jp	二　開示用電子情報処理組織を使用して電子開示手続を行うことが著しく困難であると認められるとき。
en-us	(ii) it is found to be extremely difficult for the relevant person to carry out Electronic Disclosure using an Electronic Data Processing System for Disclosure.

ja-jp	２　前項の承認に係る手続については、内閣府令で定める。
en-us	(2) The procedures for the approval referred to in the preceding paragraph are specified by Cabinet Office Ordinance.

ja-jp	（金融商品取引所等に対する書類の写しの提出等に代わる通知）
en-us	(Notice in Lieu of the Submission, etc. of Copies of Documents to a Financial Instruments Exchange, etc.)

ja-jp	第二十七条の三十の六　電子開示手続又は任意電子開示手続を行う者は、これらの手続を開示用電子情報処理組織を使用して行つた場合（磁気ディスクの提出によりこれらの手続を行つた場合を含む。）には、第六条（第十二条、第二十三条の十二第一項、第二十四条第七項、第二十四条の二第三項、第二十四条の四の二第五項（第二十四条の四の八第一項及び第二十四条の五の二第一項において準用する場合を含む。）、第二十四条の四の三第二項（第二十四条の四の八第二項及び第二十四条の五の二第二項において準用する場合を含む。）、第二十四条の四の四第五項、第二十四条の四の五第二項、第二十四条の四の七第五項及び第二十四条の五第六項（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。）、第二十四条の六第三項並びに第二十七条において準用する場合を含む。）、第二十四条の七第四項（同条第六項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十七条の三第四項（第二十七条の八第六項（第二十七条の十三第三項において準用する場合を含む。）、第二十七条の十一第四項、第二十七条の十三第三項並びに第二十七条の二十二の二第二項及び第三項において準用する場合を含む。）、第二十七条の十第九項（同条第十項において準用する場合を含む。）及び第十三項（同条第十四項において準用する場合を含む。）、第二十七条の二十二の二第四項（同条第八項において準用する場合を含む。）又は第二十七条の二十七（第二十七条の二十九第二項において準用する場合を含む。）の規定にかかわらず、これらの規定により金融商品取引所又は政令で定める認可金融商品取引業協会に提出し、又は送付しなければならないものとされている書類の写しに代えて、当該書類の写しに係る第二十五条第一項各号（第二十七条において準用する場合を含む。）に掲げる書類又は第二十七条の十四第一項（第二十七条の二十二の二第二項において準用する場合を含む。）若しくは第二十七条の二十七（第二十七条の二十九第二項において準用する場合を含む。）に規定する書類に記載すべき事項（第二十七条の二十八第三項（第二十七条の二十九第二項において準用する場合を含む。）の規定により公衆の縦覧に供しないものとされている部分を除く。）をこれらの者に通知するものとする。ただし、第二十五条第四項（第二十七条において準用する場合を含む。）の規定により公衆の縦覧に供しないものとされている部分については、通知しないことができる。
en-us	Article 27-30-6 (1) Notwithstanding the provisions of Article 6 (including as applied mutatis mutandis pursuant to Article 12; Article 23-12, paragraph (1); Article 24, paragraph (7); Article 24-2, paragraph (3); Article 24-4-2, paragraph (5) (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (1) and Article 24-5-2, paragraph (1)); Article 24-4-3, paragraph (2) (including as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (2) and Article 24-5-2, paragraph (2)); Article 24-4-4, paragraph (5); Article 24-4-5, paragraph (2); Article 24-4-7, paragraph (5) and Article 24-5, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27); Article 24-6, paragraph (3); and Article 27)); Article 24-7, paragraph (4) (including as applied mutatis mutandis pursuant to Article 24-7, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27) and Article 27); Article 27-3, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27-8, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27-13, paragraph (3)); Article 27-11, paragraph (4); Article 27-13, paragraph (3); and Article 27-22-2, paragraphs (2) and (3)); Article 27-10, paragraph (9) (including as applied mutatis mutandis pursuant to Article 27-10, paragraph (10)); and Article 27-10, paragraph (13) (including as applied mutatis mutandis pursuant to Article 27-10, paragraph (14)); Article 27-22-2, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (8)); and Article 27-27 (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)); if a person that carries out Electronic Disclosure or Voluntary Electronic Disclosure has carried out such procedures using an Electronic Data Processing System for Disclosure (including if the person has carried out those procedures by submission of a magnetic disk), in lieu of copies of the documents that are required to be submitted or sent to a Financial Instruments Exchange or to an Authorized Financial Instruments Business Association specified by Cabinet Order pursuant to the provisions referred to above, that person is to notify these persons of the particulars, as per the copies of those documents (excluding the parts that are not to be made available for public inspection pursuant to the provisions of Article 27-28, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)), that are required to be stated in the documents set forth in the items of Article 25, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) or the documents prescribed in Article 27-14, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) or Article 27-27 (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)); provided, however, that the person may elect not to notify these persons of a part that is not to be made available for public inspection pursuant to the provisions of Article 25, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27).

ja-jp	２　前項の規定による通知は、ファイルへの記録がされた時に前項の電子開示手続又は任意電子開示手続を行つた者から発せられたものとみなし、当該記録がされた後通常その出力に要する時間が経過した時に当該通知の相手方に到達したものと推定する。
en-us	(2) The notice under the provisions of the preceding paragraph is deemed to have been sent by a person that has carried out the Electronic Disclosure or Voluntary Electronic Disclosure referred to in the preceding paragraph at the time it is recorded in the File, and is presumed to have reached the addressee of the notice at the time that the period normally required to output it has elapsed after its recording.

ja-jp	（開示用電子情報処理組織を使用して手続が行われた場合の公衆縦覧）
en-us	(Public Inspection When Procedures Are Carried Out by Use of an Electronic Data Processing System for Disclosure)

ja-jp	第二十七条の三十の七　内閣総理大臣は、電子開示手続又は任意電子開示手続が開示用電子情報処理組織を使用して行われた場合（磁気ディスクの提出によりこれらの手続が行われた場合を含む。）には、政令で定めるところにより、第二十五条第一項（第二十七条において準用する場合を含む。）、第二十七条の十四第一項（第二十七条の二十二の二第二項において準用する場合を含む。）又は第二十七条の二十八第一項（第二十七条の二十九第二項において準用する場合を含む。）に規定する書類についてファイルに記録されている事項（第二十五条第四項（第二十七条において準用する場合を含む。）又は第二十七条の二十八第三項（第二十七条の二十九第二項において準用する場合を含む。）の規定により公衆の縦覧に供しないものとされている部分及び特定部分を除く。）又は当該事項を記載した書類を公衆の縦覧に供するものとする。
en-us	Article 27-30-7 (1) If Electronic Disclosure or Voluntary Electronic Disclosure has been carried out by use of an Electronic Data Processing System for Disclosure (including if such procedures have been carried out through the submission of a magnetic disk), the Prime Minister is to make the particulars (excluding the parts that are not to be made available for public inspection pursuant to the provisions of Article 25, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27) or Article 27-28, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)) and also excluding the Specified Portion) that have been recorded into the File in connection with the documents prescribed in Article 25, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27); Article 27-14, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); or Article 27-28, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)), or documents stating those particulars, available for public inspection, pursuant to the provisions of Cabinet Order,.

ja-jp	２　前項の「特定部分」とは、第二十五条第六項（第二十七条において準用する場合を含む。）、第二十七条の十四第五項（第二十七条の二十二の二第二項において読み替えて準用する場合を含む。）又は第二十七条の二十八第四項の規定により公衆の縦覧に供しないものとされた部分をいう。
en-us	(2) The term "Specified Portion" as used in the preceding paragraph means the portion of a document that is not to be made available for public inspection pursuant to the provisions of Article 25, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27), Article 27-14, paragraph (5) (including as applied mutatis mutandis through the replacement of certain terms pursuant to Article 27-22-2, paragraph (2)), or Article 27-28, paragraph (4).

ja-jp	３　第一項の規定による書類の公衆の縦覧については、行政手続等における情報通信の技術の利用に関する法律第五条の規定は、適用しない。
en-us	(3) The provisions of Article 5 of the Act on the Utilization of Information and Communications Technology in Administrative Procedures do not apply to the public inspection of documents under the provisions of paragraph (1).

ja-jp	４　第一項の規定により同項に規定するファイルに記録されている事項又は当該事項を記載した書類を公衆の縦覧に供した場合には、第二十五条第一項（第二十七条において準用する場合を含む。）、第二十七条の十四第一項（第二十七条の二十二の二第二項において準用する場合を含む。）又は第二十七条の二十八第一項（第二十七条の二十九第二項において準用する場合を含む。）に規定する書類について、これらの規定により公衆の縦覧に供されたものとみなして、金融商品取引法令の規定を適用する。
en-us	(4) If the particulars that have been recorded into the File set forth in paragraph (1) or documents stating those particulars are made available for public inspection pursuant to the provisions of paragraph (1), the documents prescribed in Article 25, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27); Article 27-14, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); and Article 27-28, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)) are deemed to have been made available for public inspection pursuant to those provisions, and the provisions of the Financial Instruments and Exchange Act and Related Regulations apply.

ja-jp	５　第一項の場合において、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、第二十五条第六項各号（第二十七条において準用する場合を含む。）若しくは第二十七条の十四第五項各号（第二十七条の二十二の二第二項において読み替えて準用する場合を含む。）に掲げる処分をし、又は第二十七条の二十八第四項に規定する提出命令を発した旨その他第一項に規定する事項に関連する情報であつて投資者の投資判断に重要な影響を及ぼすもの（次項において「重要参考情報」という。）を、当該事項に併せて、公衆の縦覧に供することができる。
en-us	(5) In a case referred to in paragraph (1), if the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may make an indication of having rendered a disposition set forth in one of the items of Article 25, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27) or in one of the items of Article 27-14, paragraph (5) (including as applied mutatis mutandis through the replacement of certain terms pursuant to Article 27-22-2, paragraph (2)), an indication of having issued a submission order under Article 27-28, paragraph (4), or any other information with a bearing on the particulars set forth in paragraph (1), which has a material influence on investors' investment decisions (hereinafter referred to as "Material Reference Information" in the following paragraph) available for public inspection, together with the relevant particulars.

ja-jp	６　前項の場合において、内閣総理大臣は、次条第一項の規定により当該重要参考情報に係る同項に規定する事項を公衆の縦覧に供する金融商品取引所又は同項の政令で定める認可金融商品取引業協会及び第二十五条第二項（第二十七条において準用する場合を含む。）若しくは第二十七条の十四第二項（第二十七条の二十二の二第二項において準用する場合を含む。）又は第二十七条の三十の十の規定により当該重要参考情報に係る同条に規定する事項を公衆の縦覧に供する者に対し、前項の規定により重要参考情報を公衆の縦覧に供した旨を通知するものとする。
en-us	(6) In a case referred to in the preceding paragraph, the Prime Minister is to notify the Financial Instruments Exchange or the Authorized Financial Instruments Business Association specified by Cabinet Order referred to in paragraph (1) of the following Article, that makes the particulars set forth in that paragraph that involve Material Reference Information available for public inspection pursuant to the provisions of that paragraph, and the person that makes the particulars set forth in the relevant Article that involve Material Reference Information available for public inspection pursuant to the provisions of Article 25, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27) and Article 27-14, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) or Article 27-30-10, that the Material Reference Information has been made available for public inspection pursuant to the provisions of the preceding paragraph.

ja-jp	（金融商品取引所等による公衆縦覧）
en-us	(Public Inspection by a Financial Instruments Exchange, etc.)

ja-jp	第二十七条の三十の八　第二十七条の三十の六の規定により通知を受けた金融商品取引所及び政令で定める認可金融商品取引業協会は、政令で定めるところにより、第二十五条第三項（第二十七条において準用する場合を含む。）、第二十七条の十四第三項（第二十七条の二十二の二第二項において準用する場合を含む。）又は第二十七条の二十八第二項（第二十七条の二十九第二項において準用する場合を含む。）に規定する書類の写しに係る第二十七条の三十の六の規定により通知された事項（第二十五条第四項（第二十七条において準用する場合を含む。）の規定により公衆の縦覧に供しないものとされている部分及び特定部分（前条第二項に規定する特定部分をいう。第二十七条の三十の十において同じ。）を除く。）又は当該事項を記載した書類を公衆の縦覧に供するものとする。
en-us	Article 27-30-8 (1) A Financial Instruments Exchange or an Authorized Financial Instruments Business Association specified by Cabinet Order which has been notified pursuant to the provisions of Article 27-30-6 is to make the particulars (excluding the parts that are not to be made available for public inspection pursuant to the provisions of Article 25, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27) and also excluding the Specified Portion (meaning the Specified Portion prescribed in paragraph (2) of the preceding Article; the same applies in Article 27-30-10) of which it has been notified pursuant to the provisions of Article 27-30-6 in connection with the copies of documents prescribed in Article 25, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27); Article 27-14, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); or Article 27-28, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)), or the documents stating those particulars, available for public inspection, pursuant to the provisions of Cabinet Order.

ja-jp	２　前項の規定により同項に規定する通知された事項又は当該事項を記載した書類を公衆の縦覧に供した場合には、第二十五条第三項（第二十七条において準用する場合を含む。）、第二十七条の十四第三項（第二十七条の二十二の二第二項において準用する場合を含む。）又は第二十七条の二十八第二項（第二十七条の二十九第二項において準用する場合を含む。）に規定する書類について、これらの規定により公衆の縦覧に供されたものとみなして、金融商品取引法令の規定を適用する。
en-us	(2) If particulars under a notification that is set forth in the preceding paragraph or a document stating those particulars is made available for public inspection pursuant to the provisions of that paragraph, the documents prescribed in Article 25, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27); Article 27-14, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); and Article 27-28, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)) are deemed to have been made available for public inspection pursuant to those provisions, and the provisions of the Financial Instruments and Exchange Act and Related Regulations apply.

ja-jp	（電子情報処理組織を使用する方法等による目論見書記載事項の提供等）
en-us	(Providing, etc. Persons with the Particulars Stated in a Prospectus by Means of an Electronic Data Processing System or by Other Means)

ja-jp	第二十七条の三十の九　第十五条第二項から第四項まで（同条第六項（第二十三条の十二第三項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十三条の十二第三項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）の規定により目論見書を交付しなければならない者は、内閣府令で定める場合には、当該目論見書の交付に代えて、当該目論見書に記載された事項を電子情報処理組織を使用する方法その他の内閣府令で定める方法により提供することができる。この場合において、当該事項を提供した者は、当該目論見書を交付したものとみなす。
en-us	Article 27-30-9 (1) In the cases specified by Cabinet Office Ordinance, in lieu of delivering a Prospectus, a person that is required to deliver a Prospectus pursuant to the provisions of Article 15, paragraphs (2) to (4) inclusive (including as applied mutatis mutandis pursuant to Article 15, paragraph (6) (including as applied mutatis mutandis pursuant to Article 23-12, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27) and Article 27); Article 23-12, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27); and Article 27) may provide the relevant persons with the particulars that have been stated in the Prospectus by means of an electronic data processing system or by any other means specified by Cabinet Office Ordinance. In such a case, the person that provides the other person with those particulars is deemed to have delivered the Prospectus.

ja-jp	２　前項の規定は、第二十三条の十四第二項の規定により交付しなければならない書面、第二十七条の九第二項又は第三項（これらの規定を第二十七条の二十二の二第二項において準用する場合を含む。）の規定により交付しなければならない公開買付説明書（第二十七条の九第一項（第二十七条の二十二の二第二項において準用する場合を含む。）に規定する公開買付説明書をいい、その訂正した公開買付説明書を含む。）及び第二十七条の二十四の規定により交付しなければならない通知書について準用する。
en-us	(2) The provisions of the preceding paragraph apply mutatis mutandis to documents that are required to be delivered pursuant to the provisions of Article 23-14, paragraph (2); to a Tender Offer Explanation (meaning a Tender Offer Explanation provided for in Article 27-9, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)), and also including an amended Tender Offer Explanation) that is required to be delivered pursuant to the provisions of Article 27-9, paragraph (2) or (3) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)); and to a written notice that is required to be delivered pursuant to the provisions of Article 27-24.

ja-jp	（発行者等による公衆縦覧）
en-us	(Public Inspection by the Issuer, etc.)

ja-jp	第二十七条の三十の十　第二十五条第一項第一号から第十一号まで（第二十七条において準用する場合を含む。）に掲げる書類に係る電子開示手続を行つた者若しくは同項第十二号（第二十七条において準用する場合を含む。）に掲げる書類に係る電子開示手続を行つた者の提出子会社又は第二十七条の十四第一項（第二十七条の二十二の二第二項において準用する場合を含む。）に規定する書類に係る電子開示手続を行つた者は、内閣府令で定める場合には、第二十五条第二項（第二十七条において準用する場合を含む。）又は第二十七条の十四第二項（第二十七条の二十二の二第二項において準用する場合を含む。）の規定により公衆の縦覧に供しなければならないものとされている書類の写しに代えて、当該書類の写しに係る第二十五条第一項各号（第二十七条において準用する場合を含む。）に掲げる書類又は第二十七条の十四第一項（第二十七条の二十二の二第二項において準用する場合を含む。）に規定する書類に記載すべき事項（第二十五条第四項（第二十七条において準用する場合を含む。）の規定により公衆の縦覧に供しないものとされている部分及び特定部分を除く。）を出力装置の映像面に表示する方法その他の内閣府令で定める方法により公衆の縦覧に供することができる。この場合において、当該事項を公衆の縦覧に供した者は、当該書類の写しを公衆の縦覧に供したものとみなす。
en-us	Article 27-30-10 In a case specified by Cabinet Office Ordinance, in lieu of making the copies of the documents that are required to be made available for public inspection pursuant to the provisions of Article 25, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27) or Article 27-14, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) available for public inspection, the Subsidiary Company Submitting Annual Reports of a person that has carried out Electronic Disclosure for the documents set forth in Article 25, paragraph (1), items (i) to (xi) inclusive (including as applied mutatis mutandis pursuant to Article 27); the Subsidiary Company Submitting Annual Reports of a person that has carried out Electronic Disclosure for the documents set forth in Article 25, paragraph (1), item (xii) (including as applied mutatis mutandis pursuant to Article 27); or a person that has carried out Electronic Disclosure for the document prescribed in Article 27-14, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) may make the particulars, as per the copies of those documents (excluding the parts that are not to be made available for public inspection pursuant to the provisions of Article 25, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27) and also excluding the Specified Portion), that are required to be stated in the documents set forth in each item of Article 25, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) or the documents prescribed in Article 27-14, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)) available for public inspection by displaying those particulars on the screen of an output device or by any other means specified by Cabinet Office Ordinance. In such a case, the person that makes those particulars available for public inspection is deemed to have made the copies of those documents available for public inspection.

ja-jp	（電子情報処理組織を使用する方法等による公開買付届出書記載事項の提供等）
en-us	(Providing, etc. Persons with the Particulars Stated in a Tender Offer Statement by Means of an Electronic Data Processing System or by Other Means)

ja-jp	第二十七条の三十の十一　公開買付者（第二十七条の三第二項に規定する公開買付者をいう。以下この項及び第三項において同じ。）は、内閣府令で定める場合には、第二十七条の三第四項（第二十七条の八第六項（第二十七条の十三第三項において準用する場合を含む。）、第二十七条の十一第四項及び第二十七条の十三第三項において準用する場合を含む。）又は第二十七条の十第十三項（同条第十四項において準用する場合を含む。）の規定により当該公開買付け（第二十七条の三第一項に規定する公開買付けをいう。以下この項及び第三項において同じ。）に係る株券等の発行者（当該公開買付けに係る公開買付届出書（第二十七条の三第二項に規定する公開買付届出書をいい、その訂正届出書を含む。以下この項及び第三項において同じ。）を提出した日において、既に当該発行者の株券等に係る公開買付届出書の提出をしている者がある場合には、当該提出をしている者を含む。）に送付するものとされている書類の写しに代えて、当該書類の写しに係る公開買付届出書、公開買付撤回届出書（第二十七条の十一第三項に規定する公開買付撤回届出書をいう。）、公開買付報告書（第二十七条の十三第二項に規定する公開買付報告書をいい、その訂正報告書を含む。）及び対質問回答報告書に記載すべき事項を電子情報処理組織を使用する方法その他の内閣府令で定める方法により提供することができる。この場合において、当該公開買付者は、当該書類の写しを送付したものとみなす。
en-us	Article 27-30-11 (1) In the cases specified by Cabinet Office Ordinance, in lieu of sending the copies of the documents that a Tender Offeror (meaning a Tender Offeror as prescribed in Article 27-3, paragraph (2); hereinafter the same applies in this paragraph and paragraph (3)) is required to send to the Issuer (and to any person that has already submitted a Tender Offer Statement for the Share Certificates, etc. of that Issuer as of the day on which the Tender Offeror submits the Tender Offer Statement in connection with the relevant Tender Offer (meaning a Tender Offer Statement as prescribed in Article 27-3, paragraph (2) and including any amended statement in connection with it; hereinafter the same applies in this paragraph and paragraph (3))) of the Share Certificates, etc. that are subject to the Tender Offer (meaning a Tender Offer as prescribed in Article 27-3, paragraph (1); hereinafter the same applies in this paragraph and paragraph (3)), pursuant to the provisions of Article 27-3, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27-8, paragraph (6) (including as applied mutatis mutandis pursuant to Article 27-13, paragraph (3)); Article 27-11, paragraph (4); and Article 27-13, paragraph (3)) or Article 27-10, paragraph (13) (including as applied mutatis mutandis pursuant to Article 27-10, paragraph (14)), the Tender Offeror may provide the Issuer with the particulars, as per the copies of those documents, that are required to be stated in the Tender Offer Notification, Written Tender Offer Withdrawal Notice (meaning a Written Tender Offer Withdrawal Notice as prescribed in Article 27-11, paragraph (3)), Tender Offer Report (meaning a Tender Offer Report as prescribed in Article 27-13, paragraph (2) and including any amended report in connection with it), and Tender Offeror's Answer, by means of an electronic data processing system or by any other means specified by Cabinet Office Ordinance. In such a case, the Tender Offeror is deemed to have sent the copies of those documents.

ja-jp	２　公開買付者（第二十七条の二十二の二第二項において準用する第二十七条の三第二項に規定する公開買付者をいう。以下この項において同じ。）は、内閣府令で定める場合には、第二十七条の二十二の二第二項又は第三項において準用する第二十七条の三第四項の規定により当該公開買付け（第二十七条の二十二の二第二項において準用する第二十七条の三第一項に規定する公開買付けをいう。以下この項において同じ。）に係る公開買付届出書（第二十七条の二十二の二第二項において準用する第二十七条の三第二項に規定する公開買付届出書をいい、その訂正届出書を含む。）を提出した日において、既に当該公開買付者である会社が発行者である株券等に係る公開買付届出書（第二十七条の三第二項に規定する公開買付届出書をいう。）の提出をしている者がある場合において送付するものとされている書類の写しに代えて、当該公開買付けに係る公開買付届出書（第二十七条の二十二の二第二項において準用する第二十七条の三第二項に規定する公開買付届出書をいい、その訂正届出書を含む。）に記載すべき事項を電子情報処理組織を使用する方法その他の内閣府令で定める方法により提供することができる。この場合において、当該公開買付者は、当該書類の写しを送付したものとみなす。
en-us	(2) In the cases specified by Cabinet Office Ordinance, in lieu of sending the copies of the documents that a Tender Offeror (meaning a Tender Offeror as prescribed in Article 27-3, paragraph (2) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2); hereinafter the same applies in this paragraph) is required to send pursuant to the provisions of Article 27-3, paragraph (4) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2) or (3) if a person has already submitted a Tender Offer Statement (meaning a Tender Offer Statement as prescribed in Article 27-3, paragraph (2)) for Share Certificates, etc. issued by the company that is the Tender Offeror, as of the date on which the Tender Offeror submits the Tender Offer Statement (meaning a Tender Offer Statement as prescribed in Article 27-3, paragraph (2) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2), and including any amended statement in connection with it) in the relevant Tender Offer (meaning a Tender Offer as prescribed in Article 27-3, paragraph (1) as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2); hereinafter the same applies in this paragraph), the Tender Offeror may provide the relevant person with the particulars for that Tender Offer that are required to be stated in the Tender Offer Statement (meaning the Tender Offer Statement prescribed in Article 27-3, paragraph (2) as applied mutatis mutandis to Article 27-22-2, paragraph (2), and including any amended statement in connection with it) by means of an electronic data processing system or by any other means specified by Cabinet Office Ordinance. In such a case, the Tender Offeror is deemed to have sent the copies of those documents.

ja-jp	３　公開買付けに係る対象者は、内閣府令で定める場合には、第二十七条の十第九項（同条第十項において準用する場合を含む。）の規定により当該公開買付けに係る公開買付者（当該公開買付けに係る意見表明報告書（その訂正報告書を含む。以下この項において同じ。）を提出した日において、当該公開買付者以外の者で既に当該公開買付けに係る発行者の株券等に係る公開買付届出書の提出をしている者がある場合には、当該提出をしている者を含む。）に送付するものとされている書類の写しに代えて、当該意見表明報告書に記載すべき事項を電子情報処理組織を使用する方法その他の内閣府令で定める方法により提供することができる。この場合において、当該公開買付けに係る対象者は、当該書類の写しを送付したものとみなす。
en-us	(3) In the cases specified by Cabinet Office Ordinance, in lieu of sending the copies of the documents that the Target Company of a Tender Offer is required to send to the Tender Offeror that is involved in the relevant Tender Offer pursuant to the provisions of Article 27-10, paragraph (9) (including as applied mutatis mutandis pursuant to Article 27-10, paragraph (10)) (and to any person other than the Tender Offeror that has already submitted a Tender Offer Statement for the Share Certificates, etc. of the Issuer that are subject to said Tender Offer as of the day on which the Target Company submits the Target Company's Position Statement in connection with the relevant Tender Offer (including any amended reports in connection with it; hereinafter the same applies in this paragraph)),the Target Company may provide the Tender Offeror with the particulars that are required to be stated in the Target Company's Position Statement by means of an electronic data processing system or by any other means specified by Cabinet Office Ordinance. In such a case, the Target Company of the Tender Offer is deemed to have sent the copies of those documents.

ja-jp	４　株券等の保有者は、内閣府令で定める場合には、第二十七条の二十七（第二十七条の二十九第二項において準用する場合を含む。）の規定により当該株券等の発行者である会社に送付するものとされている書類の写しに代えて、当該書類の写しに係る第二十七条の二十七（第二十七条の二十九第二項において準用する場合を含む。）に規定する書類に記載すべき事項（第二十七条の二十八第三項（第二十七条の二十九第二項において準用する場合を含む。）の規定により公衆の縦覧に供しないものとされている部分を除く。）を電子情報処理組織を使用する方法その他の内閣府令で定める方法により提供することができる。この場合において、当該株券等の保有者は、当該書類の写しを送付したものとみなす。
en-us	(4) , In the cases specified by Cabinet Office Ordinance, in lieu of sending the copies of the documents that the holder of Share Certificates, etc. is required to send to the company that is the Issuer of those Share Certificates, etc. pursuant to the provisions of Article 27-27 (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)), the holder of the Share Certificates, etc. may provide the company with the particulars, as per the copies of those documents, that are required to be stated in the documents prescribed in Article 27-27 (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2)) (excluding parts that are not to be made available for public inspection pursuant to the provisions of Article 27-28, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27-29, paragraph (2))) by means of an electronic data processing system or by any other means specified by Cabinet Office Ordinance. In such a case, the holder of Share Certificates, etc. is deemed to have delivered the copies of those documents.

ja-jp	第二章の五　特定証券情報等の提供又は公表
en-us	Chapter II-5 Provision or Disclosure of Specified Information on Securities, etc.

ja-jp	（特定証券情報の提供又は公表）
en-us	(Provision or Disclosure of Specified Information on Securities)

ja-jp	第二十七条の三十一　特定投資家向け取得勧誘その他第四条第一項本文の規定の適用を受けない有価証券発行勧誘等のうち政令で定めるもの（以下この条及び第六章の二において「特定取得勧誘」という。）又は特定投資家向け売付け勧誘等（当該特定投資家向け売付け勧誘等に係る有価証券が特定投資家向け有価証券に該当する場合であつて、少数の者を相手方として行う場合として政令で定める場合に該当するものを除く。）その他第四条第一項本文、第二項本文若しくは第三項本文の規定の適用を受けない有価証券交付勧誘等のうち政令で定めるもの（以下この条及び第六章の二において「特定売付け勧誘等」という。）は、当該特定取得勧誘又は特定売付け勧誘等（以下「特定勧誘等」という。）に係る有価証券の発行者が、当該有価証券及び当該発行者に関して投資者に明らかにされるべき基本的な情報として内閣府令で定める情報（以下「特定証券情報」という。）を、次項に定めるところにより、当該特定勧誘等が行われる時までに、その相手方に提供し、又は公表しているものでなければ、することができない。
en-us	Article 27-31 (1) An Issuer may not issue an Exclusive Solicitation of Offers to Acquire Targeting Professional Investors or any other category of solicitation with a view to issuing new securities specified by Cabinet Order which is not subject to the application of the main clause of Article 4, paragraph (1) (hereinafter referred to as "Exclusive Solicitation of Offers to Acquire" in this Article and Chapter VI-2) or an exclusive Offer to Sell, etc. to Professional Investors (unless the Securities subject to the relevant exclusive Offer to Sell, etc. to Professional Investors fall under the category of Securities for Professional Investors, and the exclusive Offer to Sell, etc. to Professional Investors falls under the category of a case specified by Cabinet Order as one in which a small number of persons are the other parties) or any other category of solicitation with a view to delivering existing securities specified by Cabinet Order that is not subject to the application of 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) (hereinafter referred to as a "Specified Offer to Sell, etc." in this Article and Chapter VI-2) unless the Issuer of the Securities that are subject to the Exclusive Solicitation of Offers to Acquire or the Specified Offer to Sell, etc. (hereinafter collectively referred to as "Specified Solicitation, etc.") has provided to the solicited person, or has disclosed, information specified by Cabinet Office Ordinance as the basic information about the Securities and the Issuer that must be disclosed to investors (hereinafter referred to as "Specified Information on Securities"), prior to the Specified Solicitation, etc. and pursuant to the provisions of the following paragraph.

ja-jp	２　特定証券情報の提供又は公表をしようとする発行者は、当該特定証券情報を、内閣府令で定めるところにより、自ら若しくは他の者に委託して提供し、又はインターネットの利用その他の方法により公表しなければならない。
en-us	(2) An Issuer seeking to provide or disclose Specified Information on Securities must provide the Specified Information on Securities itself or entrust another party to do so, or must disclose such information using the Internet or through other means, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　次条第一項の規定により既に内閣府令で定める期間継続して発行者情報（同項に規定する発行者情報をいう。以下この項において同じ。）を公表している発行者は、前項の規定により特定証券情報を提供し、又は公表しようとする場合において、当該特定証券情報に、内閣府令で定めるところにより、その者に係る直近の発行者情報及び同条第三項に規定する訂正発行者情報（以下「参照情報」という。）を参照すべき旨を表示したときは、特定証券情報のうち発行者に関する情報として内閣府令で定める情報の提供又は公表をしたものとみなす。
en-us	(3) When an Issuer that has been disclosing Information on the Issuer (meaning Information on the Issuer as prescribed in paragraph (1) of the following Article; hereinafter the same applies in this paragraph) continuously for the period specified by Cabinet Office Ordinance pursuant to the provisions of paragraph (1) of the following Article seeks to provide or disclose Specified Information on Securities pursuant to the provisions of the preceding paragraph, and the Issuer has indicated in said Specified Information on Securities, pursuant to the provisions of Cabinet Office Ordinance, that reference should be made to the latest Information on the Issuer and to the Amended Information on the Issuer set forth in paragraph (3) of that Article with respect that that Issuer (hereinafter referred to as "Reference Information"), the Issuer is deemed to have provided or disclosed the information specified by Cabinet Office Ordinance as information about the Issuer that is part of the Specified Information on Securities.

ja-jp	４　第二項の規定により特定証券情報の提供又は公表をした発行者は、当該提供又は公表をした日から一年を経過する日までの間（公益又は投資者保護に欠けることがないものと認められる場合として内閣府令で定める場合には、内閣府令で定める期間）において、当該特定証券情報に訂正すべき事項があるときは、内閣府令で定めるところにより、これを訂正する旨の情報（以下「訂正特定証券情報」という。）の提供又は公表をしなければならない。
en-us	(4) If, between the day on which an Issuer that provides or discloses Specified Information on Securities pursuant to the provisions of paragraph (2), provides or discloses that information and the day on which one year has elapsed since that day (or, in the cases specified by Cabinet Office Ordinance as those in which it is found not to damage the public interest or result in insufficient investor protection, within the period specified by Cabinet Office Ordinance), there is a particular requiring amendment in the Specified Information on Securities, the Issuer must provide or disclose information indicating that it is amending that particular (hereinafter referred to as "Amended Specified Information on Securities"), pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	５　第二項の規定により特定証券情報の公表をした発行者は、当該特定証券情報の公表をした日から一年を経過する日までの間（公益又は投資者保護に欠けることがないものと認められる場合として内閣府令で定める場合には、内閣府令で定める期間）、当該特定証券情報（訂正特定証券情報を公表した場合には、当該訂正特定証券情報を含む。）を継続して公表しなければならない。
en-us	(5) An Issuer that has disclosed Specified Information on Securities pursuant to the provisions of paragraph (2) must continue to disclose such Specified Information on Securities (if any Amended Specified Information on Securities has been disclosed, such Amended Specified Information on Securities is included), until one year has elapsed since the date that it disclosed the Specified Information on Securities (or, in the cases specified by Cabinet Office Ordinance as those in which it is found not to damage the public interest or result in insufficient investor protection, for the period specified by Cabinet Office Ordinance).

ja-jp	（発行者情報の提供又は公表）
en-us	(Provision or Disclosure of Information on the Issuer)

ja-jp	第二十七条の三十二　次の各号に掲げる発行者は、内閣府令で定めるところにより、当該発行者に関する情報として内閣府令で定める情報（以下「発行者情報」という。）を、事業年度（発行者が会社以外の者である場合その他の内閣府令で定める場合にあつては、内閣府令で定める期間。第四項、第百七十二条の十一第一項及び第百八十五条の七第二十九項第五号において同じ。）ごとに一回以上、当該各号に定める有価証券を所有する者に提供し、又は公表しなければならない。ただし、流通性その他の事情を勘案し、公益又は投資者保護に欠けることがないものと認められる場合として内閣府令で定める場合は、この限りでない。
en-us	Article 27-32 (1) The Issuer set forth in each of the following items, pursuant to the provisions of Cabinet Office Ordinance, must provide the holders of the Securities set forth in the relevant item with the information about that Issuer that is specified by Cabinet Office Ordinance (hereinafter referred to as "Information on the Issuer") or disclose the same, at least once each business year (if the Issuer is not a company or in any other cases specified by Cabinet Office Ordinance, the period specified by Cabinet Office Ordinance; the same applies in paragraph (4), Article 172-11, paragraph (1) and Article 185-7, paragraph (29), item (v)); provided, however, that this does not apply in the cases that are specified by Cabinet Office Ordinance as those in which, in consideration of liquidity and other circumstances, not doing so is found not to damage the public interest or result in insufficient investor protection:

ja-jp	一　特定投資家向け有価証券の発行者　当該発行者の発行する特定投資家向け有価証券
en-us	(i) an Issuer of Securities for Professional Investors: Securities for Professional Investors issued by the Issuer; or

ja-jp	二　前条第二項に定めるところにより特定証券情報の提供又は公表をした発行者（前号に掲げるものを除く。）　当該提供又は公表をした特定証券情報に係る有価証券
en-us	(ii) an Issuer that has provided or disclosed Specified Information on Securities pursuant to the provisions of paragraph (2) of the preceding Article (excluding the Issuer specified in the preceding item): the Securities to which the provided or disclosed Specified Information on Securities pertains.

ja-jp	２　特定投資家向け有価証券に該当しなかつた有価証券が特定投資家向け有価証券に該当することとなつたとき（内閣府令で定める場合を除く。）は、当該有価証券の発行者は、遅滞なく、内閣府令で定めるところにより、発行者情報を、当該有価証券を所有する者に提供し、又は公表しなければならない。
en-us	(2) If Securities that did not fall under the category of Securities for Professional Investors have come to fall under this category (except in a case specified by Cabinet Office Ordinance), the Issuer of such Securities must provide the holder of such Securities with the Information on the Issuer or disclose the same, without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　発行者情報に訂正すべき事項があるときは、第一項各号に掲げる発行者は、内閣府令で定めるところにより、これを訂正する旨の情報（以下「訂正発行者情報」という。）を提供し、又は公表しなければならない。
en-us	(3) If there is a particular that is required to be amended in the Information on the Issuer, an Issuer set forth in one of the items of paragraph (1) must provide or disclose information indicating that it is amending that particular (hereinafter referred to as the "Amended Information on the Issuer"), pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	４　第一項又は第二項の規定により発行者情報の公表をした発行者は、当該発行者情報の公表をした日から当該発行者情報に係る事業年度の次の事業年度に係る発行者情報の提供又は公表をする日までの間（当該発行者情報に係る特定投資家向け有価証券が特定投資家向け有価証券でなくなつた場合その他の内閣府令で定める場合にあつては、内閣府令で定める期間）、当該発行者情報（訂正発行者情報を公表した場合には、当該訂正発行者情報を含む。）を継続して公表しなければならない。
en-us	(4) An Issuer that has disclosed the Information on the Issuer pursuant to the provisions of paragraph (1) or (2) must continue to disclose such Information on the Issuer (if any Amended Information on the Issuer has been disclosed, such Amended Information on the Issuer is included), from the date on which it discloses that Information on the Issuer until the date on which it provides or discloses the Information on the Issuer for the business year following that in which it discloses the relevant Information on the Issuer (if Securities for Professional Investors to which the Information on the Issuer pertains come to no longer fall under the category of Securities for Professional Investors or in any other case specified by Cabinet Office Ordinance, for the period specified by Cabinet Office Ordinance).

ja-jp	（外国証券情報の提供又は公表）
en-us	(Provision or Disclosure of Foreign Securities Information)

ja-jp	第二十七条の三十二の二　金融商品取引業者等は、第四条第一項第四号に該当する有価証券の売出し（以下「外国証券売出し」という。）により有価証券を売り付ける場合には、当該有価証券及び当該有価証券の発行者に関する情報として内閣府令で定める情報（以下「外国証券情報」という。）をあらかじめ又は同時に、その相手方に提供し、又は公表しなければならない。ただし、当該有価証券の発行者が既に当該有価証券に係る特定証券情報を公表している場合その他の内閣府令で定める場合は、この限りでない。
en-us	Article 27-32-2 (1) If a Financial Services Provider, etc. sells Securities through a Secondary Distribution of Securities falling under Article 4, paragraph (1), item (iv) (hereinafter referred to as a "Secondary Distribution of Foreign Securities"), the Financial Services Provider, etc., in advance of selling of, or at the same time as it sells such Securities, must provide the other party with the information specified by Cabinet Office Ordinance as information about the Securities and about the Issuer of the Securities (hereinafter collectively referred to as the "Foreign Securities Information"), or must disclose such information; provided, however, that this does not apply if the Issuer of the Securities has already disclosed Specified Information on Securities, etc. for the relevant Securities, nor does it apply in any other case specified by Cabinet Office Ordinance.

ja-jp	２　外国証券売出しを行つた金融商品取引業者等は、当該外国証券売出しにより有価証券を取得し、かつ、当該金融商品取引業者等に当該有価証券の保管を委託している者その他これに準ずる者として内閣府令で定める者から請求があつた場合又は投資者の投資判断に重要な影響を及ぼす事実が発生した場合として内閣府令で定める場合には、外国証券情報を提供し、又は公表しなければならない。ただし、当該有価証券に関する情報の取得の容易性、当該有価証券の保有の状況等に照らして公益又は投資者保護に欠けることがないものと認められる場合として内閣府令で定める場合は、この限りでない。
en-us	(2) If a Financial Services Provider, etc. making a Secondary Distribution of Foreign Securities is so requested by a person that acquires the Securities through the Secondary Distribution of Foreign Securities and entrusts those Securities to the custody of the Financial Services Provider, etc.; if it is so requested by a person specified by Cabinet Office Ordinance as being equivalent thereto; or in a case specified by Cabinet Office Ordinance as one in which a fact has occurred that may have a material influence on the investors' investment decisions, the Financial Services Provider, etc. must provide the Foreign Securities Information to that person or must disclose such information; provided, however that this does not apply in the cases that are specified by Cabinet Office Ordinance as those in which, in light of the availability of information on the relevant Securities, the status of holding of the Securities, and other considerations, not doing so is found not to damage the public interest or result in insufficient investor protection.

ja-jp	３　前二項の規定により外国証券情報の提供又は公表をしようとする金融商品取引業者等は、当該外国証券情報を、内閣府令で定めるところにより、自ら若しくは他の者に委託して提供し、又はインターネットの利用その他の方法により公表しなければならない。
en-us	(3) A Financial Services Provider, etc. seeking to provide or disclose Foreign Securities Information pursuant to the preceding two paragraphs must provide the Foreign Securities Information personally or entrust another party to do so, or must disclose the same using the Internet or through any other means, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（虚偽の特定証券等情報に係る賠償責任）
en-us	(Compensatory Liability in Connection with False Specified Information on Securities, etc.)

ja-jp	第二十七条の三十三　第十八条第一項、第十九条、第二十条及び第二十一条（第一項第三号、第二項第二号及び第三号並びに第三項を除く。）の規定は、特定証券等情報（特定証券情報、第二十七条の三十一第三項の規定の適用を受ける特定証券情報に係る参照情報又は訂正特定証券情報（当該訂正特定証券情報に係る参照情報を含む。）をいう。以下同じ。）について準用する。この場合において、第十八条第一項中「有価証券届出書のうちに」とあるのは「特定証券等情報（第二十七条の三十三に規定する特定証券等情報をいう。以下同じ。）のうちに」と、「虚偽の記載」とあるのは「虚偽の情報」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「事実の記載」とあるのは「事実に関する情報」と、「有価証券届出書の届出者」とあるのは「特定証券等情報を提供し、又は公表した発行者」と、「募集又は売出しに応じて取得した者」とあるのは「特定証券等情報に係る特定勧誘等（第二十七条の三十一第一項に規定する特定勧誘等をいう。以下同じ。）に応じて取得した者（当該特定証券等情報が公表されていない場合にあつては、当該特定証券等情報の提供を受けた者に限る。以下この項及び第二十七条の三十三において読み替えて準用する第二十一条において同じ。）」と、「記載が虚偽」とあるのは「情報が虚偽」と、第十九条第二項中「有価証券届出書又は目論見書」とあるのは「特定証券等情報」と、「虚偽の記載」とあるのは「虚偽の情報」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「事実の記載」とあるのは「事実に関する情報」と、第二十条中「第十八条」とあるのは「第二十七条の三十三において読み替えて準用する第十八条」と、「有価証券届出書若しくは目論見書」とあるのは「特定証券等情報」と、「虚偽の記載」とあるのは「虚偽の情報」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「事実の記載」とあるのは「事実に関する情報」と、「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「特定証券等情報の提供又は公表があつた時から七年間」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」とあるのは「特定証券等情報」と、「虚偽の記載」とあるのは「虚偽の情報」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「事実の記載」とあるのは「事実に関する情報」と、「募集又は売出し」とあるのは「特定勧誘等」と、「記載が虚偽」とあるのは「情報が虚偽」と、同項第一号中「有価証券届出書を提出した会社」とあるのは「特定証券等情報を提供し、若しくは公表した発行者」と、「提出の時」とあるのは「提供若しくは公表の時」と、「当該会社の発起人」とあるのは「当該発行者の発起人その他これに準ずる者」と、「提出が会社の成立」とあるのは「提供又は公表が発行者の成立又は発足」と、同項第二号中「当該売出し」とあるのは「当該特定勧誘等（特定売付け勧誘等（第二十七条の三十一第一項に規定する特定売付け勧誘等をいう。以下この号において同じ。）であるものに限る。）」と、「その売出し」とあるのは「その特定売付け勧誘等」と、同項第四号中「募集」とあるのは「特定勧誘等（特定取得勧誘（第二十七条の三十一第一項に規定する特定取得勧誘をいう。）であるものに限る。）」と、同条第二項第一号中「又は第二号」とあるのは「、第二号又は第四号」と、「記載が虚偽」とあるのは「情報が虚偽」と、同条第四項中「有価証券の募集又は売出し」とあるのは「特定勧誘等」と、同項第一号中「有価証券を」とあるのは「特定勧誘等に係る有価証券を」と、同項第二号中「有価証券」とあるのは「特定勧誘等に係る有価証券」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。
en-us	Article 27-33 The provisions of Article 18, paragraph (1); Article 19; Article 20; and Article 21 (excluding item (iii) of paragraph (1); items (ii) and (iii) of paragraph (2); and also excluding paragraph (3)) apply mutatis mutandis to the Specified Information on Securities, etc. (meaning the Specified Information on Securities, the Reference Information in connection with Specified Information on Securities to which Article 27-31, paragraph (3) is applicable, or the Amended Specified Information on Securities (including Reference Information in connection with the Amended Specified Information on Securities; the same applies hereinafter)). In this case, in Article 18, paragraph (1), the term "a Registration Statement" is deemed to be replaced with "any Specified Information on Securities, etc. (meaning the Specified Information on Securities, etc. prescribed in Article 27-33; the same applies hereinafter)", the phrase "false statement" is deemed to be replaced with "false information", the phrase "that is required to be stated" is deemed to be replaced with "that is required to be provided or disclosed", the phrase "omits a statement of material fact" is deemed to be replaced with "omits to give information concerning a material fact", the phrase "the person that submitted the Registration Statement" is deemed to be replaced with "the Issuer that provided or disclosed the Specified Information on Securities, etc.", the phrase "person that acquires the Securities through the Public Offering or Secondary Distribution" is deemed to be replaced with "person that acquires the Securities through a Specified Solicitation, etc. (meaning a Specified Solicitation, etc. prescribed in Article 27-31, paragraph (1); the same applies hereinafter) to which the Specified Information on Securities, etc. pertains (if the Specified Information on Securities, etc. has not been disclosed, this is limited to a person that has been provided with the Specified Information on Securities, etc.; hereinafter the same applies in this paragraph and Article 21 as applied mutatis mutandis through the replacement of certain terms pursuant to Article 27-33), and the phrase "statement was false" is deemed to be replaced with the "information was false"; in Article 19, paragraph (2), the phrase "the Registration Statement or the Prospectus" is deemed to be replaced with the "Specified Information on Securities, etc.", the phrase "false statement" is deemed to be replaced with "false information", the phrase "that is required to be stated" is deemed to be replaced with "that is required to be provided or disclosed", and the phrase "omits a statement of material fact" is deemed to be replaced with "omits to give information concerning a material fact"; in Article 20, the phrase "Article 18" is deemed to be replaced with "Article 18 as applied mutatis mutandis through the replacement of certain terms pursuant to Article 27-33", the phrase "the Registration Statement or the Prospectus" is deemed to be replaced with "the Specified Information on Securities, etc.", the phrase "false statement" is deemed to be replaced with "false information", the phrase "that is required to be stated" is deemed to be replaced with "that is required to be provided or disclosed", the phrase "omits a statement of material fact" is deemed to be replaced with "omits to give information concerning a material fact", 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 seven years of the time that the Specified Information on Securities, etc. is provided or disclosed"; in the non-itemized part of Article 21, paragraph (1), the term "Registration Statement" is deemed to be replaced with "Specified Information on Securities, etc.", the phrase "false statement" is deemed to be replaced with "false information", the phrase "that is required to be stated" is deemed to be replaced with "that is required to be provided or disclosed", the phrase "omits a statement of material fact" is deemed to be replaced with "omits to give information concerning a material fact", the phrase "Public Offering or Secondary Distribution" is deemed to be replaced with "Specified Solicitation, etc.", and the phrase "statement was false" is deemed to be replaced with "information was false"; in Article 21, paragraph (1), item (i), the phrase "company that submitted the Registration Statement" is deemed to be replaced with "Issuer that has provided or disclosed the Specified Information on Securities, etc.", the phrase "at the time of submission of the Registration Statement" is deemed to be replaced with "at the time that the Specified Information on Securities, etc. was provided or disclosed", the phrase "incorporator of the company" is deemed to be replaced with "incorporator of the Issuer or any other person that can be regarded as equivalent thereto", and the phrase "the Registration Statement was submitted before the incorporation of the company" is deemed to be replaced with "the Specified Information on Securities, etc. was provided or disclosed before the establishment or inauguration of the Issuer"; in Article 21, paragraph (1), item (ii), the phrase "for which the Secondary Distribution was made" is deemed to be replaced with "for which the Specified Solicitation, etc. (limited to Specified Solicitation, etc. falling under the category of a Specified Offer to Sell, etc. (meaning a Specified Offer to Sell, etc. as prescribed in Article 27-31, paragraph (1); hereinafter the same applies in this item) was made" and the phrase "through a Secondary Distribution" is deemed to be replaced with "through a Specified Offer to Sell, etc."; in Article 21, paragraph (1), item (iv), the phrase "the Public Offering" is deemed to be replaced with "the Specified Solicitation, etc. (limited to Specified Solicitation, etc. falling under the category of an Exclusive Solicitation of Offers to Acquire (meaning an Exclusive Solicitation of Offers to Acquire as prescribed in Article 27-31, paragraph (1)); in Article 21, paragraph (2), item (i), the phrase "or (ii)" is deemed to be replaced with ", (ii), or (iv)"; in Article 21, paragraph (2), item (i), the phrase "statement was false" is deemed to be replaced with "information was false"; in Article 21, paragraph (4), the phrase "Public Offering or Secondary Distribution of Securities" is deemed to be replaced with "Specified Solicitation, etc."; in item (i) of that paragraph, the term "Securities" is deemed to be replaced with "Securities for which the Specified Solicitation, etc. was made"; in Article 21, paragraph (4), item (ii), the term "Securities" is deemed to be replaced with "Securities for which the Specified Solicitation, etc. was made"; and any other necessary technical replacement of terms is specified by Cabinet Order.

ja-jp	（虚偽の特定情報に係る賠償責任）
en-us	(Compensatory Liability in Connection with False Specified Information)

ja-jp	第二十七条の三十四　第二十一条の二から第二十二条までの規定は、特定情報（特定証券等情報又は発行者等情報（発行者情報又は訂正発行者情報をいう。以下同じ。）をいう。第二十七条の三十五において同じ。）について準用する。この場合において、第二十一条の二第一項中「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。）」とあるのは「特定情報（第二十七条の三十四に規定する特定情報をいう。以下同じ。）であつて第二十七条の三十一第二項、第四項若しくは第五項又は第二十七条の三十二の規定により公表されたもの（以下「公表情報」という。）」と、「虚偽の記載」とあるのは「虚偽の情報」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「事実の記載」とあるのは「事実に関する情報」と、「書類の提出者」とあるのは「公表情報を公表した発行者」と、「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」とあるのは「公表情報がこれらの規定により公表されている間に当該発行者の」と、「又は売出し」とあるのは「若しくは売出し又は特定勧誘等（第二十七条の三十一第一項に規定する特定勧誘等をいう。以下同じ。）」と、「記載が虚偽」とあるのは「情報が虚偽」と、「虚偽記載等」とあるのは「虚偽情報等」と、同条第二項中「書類の虚偽記載等」とあるのは「公表情報に係る虚偽情報等」と、「当該虚偽記載等」とあるのは「当該虚偽情報等」と、同条第三項中「虚偽記載等の」とあるのは「虚偽情報等の」と、「書類の提出者」とあるのは「公表情報を公表した発行者」と、「当該提出者」とあるのは「当該発行者」と、「書類の虚偽記載等」とあるのは「公表情報に係る虚偽情報等」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「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」とあるのは「内閣府令で定めるところにより」と、同条第四項及び第五項中「書類の虚偽記載等」とあるのは「公表情報に係る虚偽情報等」と、第二十一条の三中「第二十一条の二」とあるのは「第二十七条の三十四において読み替えて準用する第二十一条の二」と、「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」とあるのは「公表情報（第二十七条の三十四において読み替えて準用する第二十一条の二第一項に規定する公表情報をいう。以下同じ。）」と、「「三年間」とあるのは「二年間」と」とあるのは「「虚偽の記載」とあるのは「虚偽の情報」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「事実の記載」とあるのは「事実に関する情報」と、「三年間」とあるのは「二年間」と」と、「当該書類が提出された時から五年間」とあるのは「当該公表情報が公表された日から五年間」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「特定情報のうちに」と、「虚偽の記載」とあるのは「虚偽の情報」と、「記載すべき」とあるのは「提供し、若しくは公表すべき」と、「事実の記載」とあるのは「事実に関する情報」と、「第二十一条第一項第一号及び第三号に掲げる者」とあるのは「当該特定情報を提供し、若しくは公表した発行者の、その提供若しくは公表の時における役員（第二十一条第一項第一号に規定する役員をいう。）又は当該発行者の発起人その他これに準ずる者（その提供又は公表が発行者の成立又は発足前にされたときに限る。）」と、「記載が虚偽」とあるのは「情報が虚偽」と、「有価証券届出書の届出者が発行者である」とあるのは「特定情報を提供し、若しくは公表した発行者の」と、「募集又は売出しによらないで取得した者」とあるのは「取得した者（当該特定情報が公表されていない場合にあつては、当該特定情報の提供を受けた者に限り、当該特定情報が特定証券等情報（第二十七条の三十三に規定する特定証券等情報をいう。）である場合にあつては、募集若しくは売出し又は特定勧誘等によらないで取得した者に限る。）」と、同条第二項中「及び第二号の規定」とあるのは「の規定」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。
en-us	Article 27-34 The provisions of Articles 21-2 to 22 inclusive apply mutatis mutandis to Specified Information (meaning Specified Information on Securities, etc. or Information on the Issuer, etc. (meaning Information on the Issuer or Amended Information on the Issuer; the same applies hereinafter); the same applies in Article 27-35). In this case, in Article 21-2, paragraph (1), the phrase "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)" is deemed to be replaced with "the Specified Information (meaning the Specified Information prescribed in Article 27-34; the same applies hereinafter) disclosed pursuant to the provisions of Article 27-31, paragraph (2), (4), or (5) or Article 27-32 (hereinafter referred to as 'Disclosed Information')", the phrase "false statement" is deemed to be replaced with "false information", the phrase "that is required to be stated" is deemed to be replaced with "that is required to be provided or disclosed", the phrase "omits a statement of material fact" is deemed to be replaced with "omits to give information concerning a material fact", the phrase "the person submitting the Document" is deemed to be replaced with "the Issuer disclosing the Disclosed Information", the phrase "a person that, during the period that the Document is being made available for public inspection as required by Article 25, paragraph (1), acquires Securities issued by the person submitting that 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))" is deemed to be replaced with "a person that, during the period that the Document is being disclosed pursuant to any of these provisions, acquires Securities issued by said Issuer", the phrase "or Secondary Distribution" is deemed to be replaced with ", Secondary Distribution, or Specified Solicitation, etc. (meaning the Specified Solicitation, etc. prescribed in Article 27-31, paragraph (1); the same applies hereinafter)", the phrase "statement being false" is deemed to be replaced with "information being false", and the phrase "False Statement, etc." is deemed to be replaced with "False Information, etc."; in Article 21-2, paragraph (2), the phrase "False Statement, etc. in the relevant Document" is deemed to be replaced with "False Information, etc. that pertains to the relevant Disclosed Information" and the phrase "the day of the Disclosure of the False Statement, etc." is deemed to be replaced with "the day of the Disclosure of the False Information, etc."; in Article 21-2, paragraph (3), the phrase "Disclosure of a False Statement, etc." is deemed to be replaced with "Disclosure of False Information, etc.", the phrase "means that the person submitting the document" is deemed to be replaced with "means that the Issuer disclosing the Disclosed Information", the phrase "over the person submitting the Document" is deemed to be replaced with "over the Issuer", the phrase "that the Document's False Statement, etc. concerns" is deemed to be replaced with "that the False Statement, etc. in the Disclosed Information concerns", the phrase "that is required to be stated" is deemed to be replaced with "that is required to be provided or disclosed", and the phrase "through public inspection provided for in Article 25, paragraph (1) or through other means" is deemed to be replaced with "pursuant to the provisions of Cabinet Office Ordinance"; in Article 21-2, paragraphs (4) and (5), the phrase "the Document's False Statement, etc." is deemed to be replaced with "the False Information, etc. in the Disclosed Information"; in Article 21-3, the phrase "Article 21-2" is deemed to be replaced with "Article 21-2 as applied mutatis mutandis through the replacement of certain terms pursuant to Article 27-34", the phrase "a document set forth in one of the items of Article 25, paragraph (1) (excluding Article 25, paragraph (1), items (v) and (ix))" is deemed to be replaced with "the Disclosed Information (meaning the Disclosed Information prescribed in Article 21-2, paragraph (1) as applied mutatis mutandis through the replacement of certain terms pursuant to Article 27-34; the same applies hereinafter))", the phrase "the phrase 'three years' is deemed to be replaced with 'two years' " is deemed to be replaced with "the phrase 'false statement' is deemed to be replaced with 'false information', the phrase 'that is required to be stated' is deemed to be replaced with 'that is required to be provided or disclosed', the phrase 'omits a statement as to a material particular' is deemed to be replaced with 'omits to give information concerning a material fact', the phrase 'three years' is deemed to be replaced with 'two years' ", and the phrase "within five years of the time that the document is submitted" is deemed to be replaced with "within five years of the day on which the Disclosed Information is disclosed"; in Article 22, paragraph (1), the phrase "If a Registration Statement contains" is deemed to be replaced with "If Specified Information contains", the phrase "a false statement" is deemed to be replaced with "false information", the phrase "that is required to be stated" is deemed to be replaced with "that is required to be provided or disclosed", the phrase "omits a statement as to a material particular" is deemed to be replaced with "omits to give information concerning a material fact", the phrase "persons set forth in Article 21, paragraph (1), items (i) and (iii)" is deemed to be replaced with "a person that, at the time of the provision or disclosure of the Specified Information, is an officer (meaning an officer as prescribed in Article 21, paragraph (1), item (i)) of the Issuer that provided or disclosed said Specified Information, or an incorporator or founder of the Issuer or any other person equivalent thereto (but only if the Specified Information, etc. is provided or disclosed before the incorporation or inauguration of the Issuer)", the phrase "statement is false" is deemed to be replaced with the "information is false", the phrase "issued by the person submitting the Registration Statement" is deemed to be replaced with "of the Issuer that provided or disclosed the Specified Information", and the phrase "other than through a Public Offering or Secondary Distribution" is deemed to be replaced with "(if the Specified Information has not been disclosed, this is limited to the persons that have been provided with the Specified Information; and, if the Specified Information falls under the category of Specified Information on Securities, etc. (meaning the Specified Information on Securities, etc. prescribed in Article 27-33), this is limited to a person that has acquired such Securities other than through a Public Offering, Secondary Distribution, or Specified Solicitation, etc.)"; in Article 22, paragraph (2), the phrase "Article 21, paragraph (2), items (i) and (ii)" is deemed to be replaced with "Article 21, paragraph (2), item (i)"; and any other necessary technical replacement of terms is specified by Cabinet Order.

ja-jp	（外国証券情報に係る違反行為者の賠償責任）
en-us	(Compensatory Liability of a Violator in Connection with Foreign Securities Information)

ja-jp	第二十七条の三十四の二　第二十七条の三十二の二第一項の規定に違反して有価証券を売り付けた金融商品取引業者等は、これを買い付けた者に対し当該違反行為により生じた損害を賠償する責めに任ずる。
en-us	Article 27-34-2 (1) A Financial Services Provider, etc. that violates the provisions of Article 27-32-2, paragraph (1) in selling Securities is liable to compensate a person that purchases those Securities, for damage arising from the violation.

ja-jp	２　外国証券売出しについて、重要な事項について虚偽の情報があり、又は提供し、若しくは公表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に関する情報が欠けている外国証券情報を使用して有価証券を売り付けた金融商品取引業者等は、情報が虚偽であり、又は欠けていることを知らないで当該有価証券を買い付け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金融商品取引業者等が、情報が虚偽であり、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を証明したときは、この限りでない。
en-us	(2) A Financial Services Provider, etc. that sells Securities through a Secondary Distribution of Foreign Securities, using Foreign Securities Information that contains false information about a material particular, omits information about a material particular that is required to be provided or disclosed, or omits to give information concerning a material fact that is necessary to prevent it from being misleading, is liable to compensate for damage sustained by a person that purchases said Securities without knowing that the information is false or has been omitted; provided, however, that this does not apply if the Financial Services Provider, etc. that would be liable for such compensation proves that it did not know, and in the exercise of reasonable care could not have known, that the information was false or had been omitted.

ja-jp	３　外国証券情報であつて第二十七条の三十二の二第三項の規定により公表されたもの（以下この項において「公表情報」という。）のうちに、重要な事項について虚偽の情報があり、又は提供し、若しくは公表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に関する情報が欠けているときは、当該公表情報を公表した金融商品取引業者等は、当該公表情報が同条第三項の規定により公表されている間に情報が虚偽であり、又は欠けていることを知らないで当該金融商品取引業者等から当該公表情報に係る有価証券を募集若しくは売出し又は特定勧誘等によらないで取得した者に対し、情報が虚偽であり、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、賠償の責めに任ずべき金融商品取引業者等が、情報が虚偽であり、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を証明したときは、この限りでない。
en-us	(3) If Foreign Securities Information that is disclosed pursuant to the provisions of Article 27-32-2, paragraph (3) (hereinafter referred to as "Disclosed Information" in this paragraph) contains false information about a material particular, omits information about a material particular that is required to be provided or disclosed, or omits to give information concerning a material fact that is necessary to prevent it from being misleading, the Financial Services Provider, etc. that discloses the Disclosed Information is liable to compensate a person that, without knowing that the information is false or has been omitted, acquires Securities to which the Disclosed Information pertains from the Financial Services Provider other than through a Public Offering or Secondary Distribution or Exclusive Solicitation of Offers to Acquire, etc., during the period in which the Disclosed Information is being disclosed pursuant to paragraph (3) of that Article, for damage arising from the information being false or having been omitted; provided, however, that this does not apply if the Financial Services Provider, etc. that would be liable for such damages proves that it did not know, and in the exercise of reasonable care could not have known, that the information was false or had been omitted.

ja-jp	（特定情報の提供者等に対する報告の徴取及び検査）
en-us	(Collection of Reports and Inspection of a Provider of Specified Information)

ja-jp	第二十七条の三十五　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、特定情報を提供し、若しくは公表した発行者若しくは特定情報を提供し、若しくは公表すべきであると認められる発行者若しくは当該特定情報に係る有価証券の引受人その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をしてその者の帳簿書類その他の物件を検査させることができる。
en-us	Article 27-35 Whenever 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 an Issuer that has provided or disclosed Specified Information, an Issuer that is found to be required to provide or disclose Specified Information, the Underwriter of Securities to which Specified Information pertains, or any other concerned party or witness to submit reports or materials that should serve as a reference, and may have the relevant officials inspect that person's books and documents or any other articles of theirs.

ja-jp	第三章　金融商品取引業者等
en-us	Chapter III Financial Services Providers, etc.

ja-jp	第一節　総則
en-us	Section 1 General Provisions

ja-jp	第一款　通則
en-us	Subsection 1 General Rules

ja-jp	第二十八条　この章において「第一種金融商品取引業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
en-us	Article 28 (1) The term "Type I Financial Instruments Business" as used in this Chapter means the performance of one of the following acts in the course of trade, within the Financial Instruments Business:

ja-jp	一　有価証券（第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利を除く。）についての同条第八項第一号から第三号まで、第五号、第八号又は第九号に掲げる行為
en-us	(i) an act set forth in Article 2, paragraph (8), items (i) to (iii) inclusive, item (v), item (viii), or item (ix) with regard to Securities (excluding rights set forth in the items of Article 2, paragraph (2) that are deemed to be Securities pursuant to the provisions of that paragraph);

ja-jp	二　第二条第八項第四号に掲げる行為又は店頭デリバティブ取引についての同項第五号に掲げる行為
en-us	(ii) an act set forth in Article 2, paragraph (8), item (iv), or an act set forth in item (v) of that paragraph in relation to Over-the-Counter Derivatives Transactions;

ja-jp	三　次のイからハまでのいずれかに該当する行為
en-us	(iii) an act falling under one of the following sub-items (a) to (c) inclusive:

ja-jp	イ　有価証券の元引受けであつて、損失の危険の管理の必要性の高いものとして政令で定めるもの
en-us	(a) the Wholesale Underwriting of Securities that is specified by Cabinet Order as involving a high necessity to manage the risk of loss;

ja-jp	ロ　有価証券の元引受けであつて、イに掲げるもの以外のもの
en-us	(b) the Wholesale Underwriting of Securities other than that which is set forth in sub-item (a); or

ja-jp	ハ　第二条第八項第六号に掲げる行為であつて、有価証券の元引受け以外のもの
en-us	(c) an act set forth in Article 2, paragraph (8), item (vi) other than the Wholesale Underwriting of Securities.

ja-jp	四　第二条第八項第十号に掲げる行為
en-us	(iv) an act set forth in Article 2, paragraph (8), item (x); or

ja-jp	五　第二条第八項第十六号又は第十七号に掲げる行為
en-us	(v) an act set forth in Article 2, paragraph (8), item (xvi) or (xvii).

ja-jp	２　この章において「第二種金融商品取引業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
en-us	(2) The term "Type II Financial Instruments Business" as used in this Chapter means the performance of one of the following acts in the course of trade, within the Financial Instruments Business:

ja-jp	一　第二条第八項第七号に掲げる行為
en-us	(i) an act set forth in Article 2, paragraph (8), item (vii);

ja-jp	二　第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利についての同条第八項第一号から第三号まで、第五号、第八号又は第九号に掲げる行為
en-us	(ii) an act set forth in Article 2, paragraph (8), items (i) to (iii) inclusive, item (v), item (viii), or item (ix) with regard to rights set forth in the items of Article 2, paragraph (2) that are deemed to be Securities pursuant to the provisions of that paragraph;

ja-jp	三　第二条第八項第一号から第三号まで又は第五号に掲げる行為（前項第一号若しくは第二号又は前号に掲げるものを除く。）
en-us	(iii) an act set forth in Article 2, paragraph (8), items (i) to (iii) inclusive or item (v) (other than one that is set forth in item (i) or (ii) of the preceding paragraph or the preceding item); or

ja-jp	四　第二条第八項第十八号に掲げる行為
en-us	(iv) an act set forth in Article 2, paragraph (8), item (xviii).

ja-jp	３　この章において「投資助言・代理業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
en-us	(3) The term "Investment Advisory and Agency Services" as used in this Chapter means the performance of one of the following acts in the course of trade, within the Financial Transaction Business:

ja-jp	一　第二条第八項第十一号に掲げる行為
en-us	(i) an act set forth in Article 2, paragraph (8), item (xi); or

ja-jp	二　第二条第八項第十三号に掲げる行為
en-us	(ii) an act set forth in Article 2, paragraph (8), item (xiii).

ja-jp	４　この章において「投資運用業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいい、銀行、協同組織金融機関その他政令で定める金融機関が、当該行為のいずれかを業として行うことを含むものとする。
en-us	(4) The term "Investment Management" as used in this Chapter means the performance of one of the following acts in the course of trade, within the Financial Instruments Business, and includes the performance of such an act by a bank, by a Cooperative Financial Institution, or by any other financial institution specified by Cabinet Order, in the course of trade:

ja-jp	一　第二条第八項第十二号に掲げる行為
en-us	(i) an act set forth in Article 2, paragraph (8), item (xii);

ja-jp	二　第二条第八項第十四号に掲げる行為
en-us	(ii) an act set forth in Article 2, paragraph (8), item (xiv); or

ja-jp	三　第二条第八項第十五号に掲げる行為
en-us	(iii) an act set forth in Article 2, paragraph (8), item (xv).

ja-jp	５　この章において「有価証券等管理業務」とは、第一種金融商品取引業に係る業務のうち、第一項第五号に掲げる行為に係る業務をいう。
en-us	(5) The term "Securities, etc. Management" as used in this Chapter means services within the Type I Financial Instruments Business which are connected with the act set forth in paragraph (1), item (v).

ja-jp	６　この章において「投資助言業務」とは、投資助言・代理業に係る業務のうち、第三項第一号に掲げる行為に係る業務をいう。
en-us	(6) The term "Investment Advisory Services" as used in this Chapter means services within Investment Advisory and Agency Services which are connected with the act set forth in paragraph (3), item (i).

ja-jp	７　この章において「有価証券の元引受け」とは、第二条第八項第六号に規定する有価証券の引受けであつて、次の各号のいずれかに該当するものをいう。
en-us	(7) The term "Wholesale Underwriting of Securities" as used in this Chapter means the underwriting of Securities prescribed in Article 2, paragraph (8), item (vi) which falls under a category set forth in one of the following items:

ja-jp	一　当該有価証券を取得させることを目的として当該有価証券の全部又は一部を発行者又は所有者（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。
en-us	(i) the acquisition of all or part of the relevant Securities from the Issuer or holder (excluding Financial Services Providers and registered financial institutions; the same applies in the following item) with the aim of having other persons acquire said Securities; or

ja-jp	二　当該有価証券の全部又は一部につき他にこれを取得する者がない場合にその残部を発行者又は所有者から取得することを内容とする契約をすること。
en-us	(ii) the conclusion of 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.

ja-jp	８　この章において「有価証券関連業」とは、次に掲げる行為のいずれかを業として行うことをいう。
en-us	(8) The term "Securities Services" as used in this Chapter means the performance of one of the following acts in the course of trade:

ja-jp	一　有価証券の売買又はその媒介、取次ぎ（有価証券等清算取次ぎを除く。）若しくは代理
en-us	(i) the purchase and sale of Securities, or intermediation, brokerage (excluding Brokerage for the Clearing of Securities, etc.), or agency for the same;

ja-jp	二　取引所金融商品市場又は外国金融商品市場における有価証券の売買の委託の媒介、取次ぎ又は代理
en-us	(ii) intermediation, brokerage, or agency for entrustment of the purchase and sale of Securities on a Financial Instruments Exchange Market or foreign Financial Instruments Market;

ja-jp	三　市場デリバティブ取引のうち、次に掲げる取引
en-us	(iii) the following transactions, among Market Transactions of Derivatives:

ja-jp	イ　売買の当事者が将来の一定の時期において有価証券（有価証券に係る第二条第二十四項第五号に掲げる標準物を含み、政令で定めるものを除く。以下この号において同じ。）及びその対価の授受を約する売買であつて、当該売買の目的となつている有価証券の転売又は買戻しをしたときは差金の授受によつて決済することができる取引
en-us	(a) a transaction comprising a purchase and sale in which the parties to the purchase and sale promise to deliver and take delivery of a Security (including a standardized instrument as set forth in Article 2, paragraph (24), item (v) which is connected with a Security, other than one that is specified by Cabinet Order; hereinafter the same applies in this item) 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 or buy back the underlying Security;

ja-jp	ロ　当事者があらかじめ有価証券指標として約定する数値（以下この章において「有価証券約定数値」という。）と将来の一定の時期における現実の当該有価証券指標の数値（以下この章において「有価証券現実数値」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
en-us	(b) 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 Securities indicator upon which the parties agree in advance (hereinafter referred to as the "Agreed Figure for the Securities" in this Chapter) and the actual numerical value of the Securities indicator at a fixed time in the future (hereinafter referred to as the "Actual Figure for the Securities" in this Chapter);

ja-jp	ハ　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
en-us	(c) 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:

ja-jp	（１）　有価証券の売買
en-us	1. a purchase and sale of Securities; and

ja-jp	（２）　イ、ロ、ニ及びホに掲げる取引（ロ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。）
en-us	2. a transaction set forth in one of sub-items (a), (b), (d), or (e) (including a transaction equivalent to the transaction set forth in sub-item (b) that is prescribed by the Financial Instruments Exchange).

ja-jp	ニ　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有価証券の利率等又は有価証券指標（有価証券の利率等及びこれに基づいて算出した数値を除く。ニ及び次号ホにおいて同じ。）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利若しくは有価証券の利率等又は通貨の価格若しくは有価証券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有価証券を授受することを約するものを含む。）
en-us	(d) 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 interest rate, etc. of agreed-upon Securities or based on the rate of change in an agreed-upon Securities indicator (excluding the interest rate, etc. of Securities and numerical values calculated based on them; the same applies in this sub-item (d) and sub-item (e) of the following item) during the period they have agreed to, and the second party will pay money to the first based on an agreed-upon money rate or the interest rate, etc. of agreed-upon Securities, or based on the value of an agreed-upon currency or the rate of change in an agreed-upon Securities 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 deliver and take delivery of money or Securities equivalent to the amount they have set as the principal); and

ja-jp	ホ　イからニまで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
en-us	(e) a transaction specified by Cabinet Order which is similar to one of the transactions set forth in sub-items (a) to (d) inclusive.

ja-jp	四　店頭デリバティブ取引のうち、次に掲げる取引
en-us	(iv) the following transactions, among Over-the-Counter Derivatives Transactions:

ja-jp	イ　売買の当事者が将来の一定の時期において有価証券（政令で定めるものを除く。以下この号において同じ。）及びその対価の授受を約する売買であつて、当該売買の目的となつている有価証券の売戻し又は買戻しその他政令で定める行為をしたときは差金の授受によつて決済することができる取引
en-us	(a) a transaction comprising a purchase and sale in which the parties to the purchase and sale promise to deliver and take delivery of a Security (other than one specified by Cabinet Order; hereinafter the same applies in this item) 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 Security or if they take some other action that is specified by Cabinet Order;

ja-jp	ロ　有価証券約定数値と有価証券現実数値の差に基づいて算出される金銭の授受を約する取引又はこれに類似する取引
en-us	(b) a transaction comprising the parties' promises to pay and receive an amount of money calculated based on the difference between the Agreed Figure for the Securities and the Actual Figure for the Securities, or a transaction similar thereto;

ja-jp	ハ　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
en-us	(c) 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 other party's promise to pay the value of that option, or any transaction similar thereto:

ja-jp	（１）　有価証券の売買
en-us	1. a purchase and sale of Securities; and

ja-jp	（２）　イ、ロ、ホ及びヘに掲げる取引
en-us	2. a transaction set forth in sub-items (a), (b), (e), and (f).

ja-jp	ニ　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有価証券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有価証券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
en-us	(d) 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 Securities indicator if the second party manifests the intention to effect the transaction, and the Actual Figure of the Securities 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;

ja-jp	ホ　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有価証券の利率等若しくは有価証券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利若しくは有価証券の利率等若しくは通貨の価格若しくは有価証券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有価証券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
en-us	(e) 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 interest rate, etc. of agreed-upon Securities or based on the rate of change in an agreed-upon Securities indicator during the period they have agreed to, and the second party will pay money to the first based on an agreed-upon money rate or the interest rate, etc. of agreed-upon Securities, or based on the value of agreed-upon currencies or the rate of change in an agreed-upon Securities indicator during the period they have agreed to (including transactions comprising the parties' promise that, in addition to paying such amounts, they will also deliver and take delivery of money or Securities equivalent to the amount they have set as the principal), or any transaction similar thereto; and

ja-jp	ヘ　イからホまで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
en-us	(f) a transaction, other than what is set forth in sub-items (a) to (e) inclusive, that has an economic nature similar to these, and that 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.

ja-jp	五　外国金融商品市場において行う取引であつて、第三号に掲げる取引と類似の取引
en-us	(v) a transaction conducted on a foreign Financial Instruments Market that is similar to a transaction set forth in item (iii);

ja-jp	六　前三号に掲げる取引（以下「有価証券関連デリバティブ取引」という。）の媒介、取次ぎ（有価証券等清算取次ぎを除く。）若しくは代理又は第三号若しくは前号に掲げる取引の委託の媒介、取次ぎ若しくは代理
en-us	(vi) intermediation, brokerage (excluding Brokerage for the Clearing of Securities, etc.), or agency for a transaction set forth in one of the preceding three items (hereinafter referred to as a "Transaction of Securities-Related Derivatives") or intermediation, brokerage, or agency for the entrustment of a transaction set forth in item (iii) or the preceding item;

ja-jp	七　第二条第八項第五号に掲げる行為であつて、有価証券の売買、有価証券関連デリバティブ取引その他政令で定める取引に係るもの
en-us	(vii) an act set forth in Article 2, paragraph (8), item (v) that is connected with the purchase and sale of a Security, a Transaction of Securities-Related Derivatives, or any other transaction specified by Cabinet Order; or

ja-jp	八　第二条第八項第六号、第八号又は第九号に掲げる行為
en-us	(viii) an act set forth in Article 2, paragraph (8), item (vi), (viii), or (ix).

ja-jp	第二款　金融商品取引業者
en-us	Subsection 2 Financial Services Providers

ja-jp	第二十九条　金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
en-us	Article 29 A person may not engage in Financial Instruments Business if that person has not been registered by the Prime Minister.

ja-jp	（登録の申請）
en-us	(Application for Registration)

ja-jp	第二十九条の二　前条の登録を受けようとする者は、次に掲げる事項を記載した登録申請書を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、第一種金融商品取引業を行おうとする外国法人は、国内における代表者（当該外国法人が第一種金融商品取引業を行うため国内に設けるすべての営業所又は事務所の業務を担当するものに限る。）を定めて当該登録申請書を提出しなければならない。
en-us	Article 29-2 (1) A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars. In this, a foreign corporation seeking to engage in Type I Financial Instruments Business must designate a domestic representative (limited to one that takes charge of business at all business offices or offices that said foreign corporation has in Japan so as to engage in Type I Financial Instruments Business) before submitting the written application for registration:

ja-jp	一　商号、名称又は氏名
en-us	(i) the person's trade name or name;

ja-jp	二　法人であるときは、資本金の額又は出資の総額（第一種金融商品取引業を行おうとする外国法人にあつては、資本金の額又は出資の総額及び持込資本金（資本金に対応する資産のうち国内に持ち込むものをいう。以下同じ。）の額）
en-us	(ii) the amount of stated capital or the total amount of contributions, if it is a corporation (or if it is a foreign corporation seeking to engage in Type I Financial Instruments Business, the amount of stated capital or the total amount of contributions and the amount of brought-in capital (meaning assets corresponding to the stated capital that are brought into Japan; the same applies hereinafter));

ja-jp	三　法人であるときは、役員（外国法人にあつては、国内における代表者を含む。以下この章（第二十九条の四第一項第五号ホ（３）及び第五節を除く。）から第三章の三までにおいて同じ。）の氏名又は名称
en-us	(iii) the names of its officers, if it is a corporation (including the domestic representative, if it is a foreign corporation; hereinafter the same applies in this Chapter (excluding Article 29-4, paragraph (1), item (v), sub-item (e)3.) and Section 5) to Chapter III-3 inclusive);

ja-jp	四　政令で定める使用人があるときは、その者の氏名
en-us	(iv) if the person has an employee as specified by Cabinet Order, the name of that employee;

ja-jp	五　業務の種別（第二十八条第一項第一号、第二号、第三号イからハまで及び第四号に掲げる行為に係る業務並びに有価証券等管理業務、第二種金融商品取引業、投資助言・代理業並びに投資運用業の種別をいう。）
en-us	(v) the business category (meaning which of the acts set forth in Article 28, paragraph (1), item (i), item (ii), item (iii), sub-items (a) to (c) inclusive, or item (iv), or which, among Securities, etc. Management, Type II Financial Instruments Business, Investment Advisory and Agency Services, or Investment Management, is the business category for which the person seeks registration);

ja-jp	六　本店その他の営業所又は事務所（外国法人にあつては、本店及び国内における主たる営業所又は事務所その他の営業所又は事務所）の名称及び所在地
en-us	(vi) the name and location of the head office and other business offices or offices (or if it is a foreign corporation, the head office, and the principal business office or office in Japan, or other business offices or offices in Japan);

ja-jp	七　他に事業を行つているときは、その事業の種類
en-us	(vii) if the person engages in other business, the business type; and

ja-jp	八　その他内閣府令で定める事項
en-us	(viii) other particulars specified by Cabinet Office Ordinance.

ja-jp	２　前項の登録申請書には、次に掲げる書類を添付しなければならない。
en-us	(2) The following documents must accompany the written application for registration referred to in the preceding paragraph:

ja-jp	一　第二十九条の四第一項各号（第一号ハ及びニ並びに第五号ハを除く。）のいずれにも該当しないことを誓約する書面
en-us	(i) a document pledging that the applicant does not fall under any of the items of Article 29-4, paragraph (1) (other than item (i), sub-items (c) and (d) or item (v), sub-item (c));

ja-jp	二　業務の内容及び方法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書類
en-us	(ii) a document stating the things specified by Cabinet Office Ordinance as constituting the business outline and business methods, and any other documents specified by Cabinet Office Ordinance; and

ja-jp	三　前二号に掲げるもののほか、法人である場合においては、定款、登記事項証明書その他内閣府令で定める書類
en-us	(iii) in addition to what is set forth in the preceding two items, if the person is a corporation, its articles of incorporation, its certificate of registered information, and any other document specified by Cabinet Office Ordinance.

ja-jp	３　前項第三号に掲げる書類を添付する場合において、定款が電磁的記録で作成されているときは、書類に代えて電磁的記録（内閣府令で定めるものに限る。）を添付することができる。
en-us	(3) As concerns the documents set forth in item (iii) of the preceding paragraph accompanying a written application for registration, if the articles of incorporation have been prepared as electronic or magnetic records, such electronic or magnetic records (limited to those specified by Cabinet Office Ordinance) may accompany the written application in lieu of paper documents.

ja-jp	４　持込資本金の額の計算については、政令で定める。
en-us	(4) Calculation of brought-in capital is specified by Cabinet Order.

ja-jp	（登録簿への登録）
en-us	(Registration in the Register)

ja-jp	第二十九条の三　内閣総理大臣は、第二十九条の登録の申請があつた場合においては、次条第一項の規定により登録を拒否する場合を除くほか、次に掲げる事項を金融商品取引業者登録簿に登録しなければならない。
en-us	Article 29-3 (1) Whenever an application is filed for the registration referred to in Article 29, unless the Prime Minister refuses the registration pursuant to the provisions of paragraph (1) of the following Article, the Prime Minister shall register the following particulars in the Financial Services Providers' register:

ja-jp	一　前条第一項各号に掲げる事項
en-us	(i) the particulars set forth in the items of paragraph (1) of the preceding Article; and

ja-jp	二　登録年月日及び登録番号
en-us	(ii) the date of registration and the registration number.

ja-jp	２　内閣総理大臣は、金融商品取引業者登録簿を公衆の縦覧に供しなければならない。
en-us	(2) The Prime Minister must make the Financial Services Providers register available for public inspection.

ja-jp	（登録の拒否）
en-us	(Refusal of Registration)

ja-jp	第二十九条の四　内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。
en-us	Article 29-4 (1) The Prime Minister must refuse to effect a registration if the applicant for registration falls under one of the following items, or if the written application for registration or a document or electronic or magnetic record that is required to accompany it contains a false statement or record or omits a statement or record of a material fact:

ja-jp	一　次のいずれかに該当する者
en-us	(i) a person falling under one of the following:

ja-jp	イ　第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により第二十九条の登録を取り消され、第六十条の八第一項の規定により第六十条第一項の許可を取り消され、第六十六条の二十第一項の規定により第六十六条の登録を取り消され、若しくは第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消され、その取消しの日から五年を経過しない者又はこの法律に相当する外国の法令の規定により当該外国において受けている同種類の登録若しくは許可（当該登録又は許可に類する認可その他の行政処分を含む。）を取り消され、その取消しの日から五年を経過しない者
en-us	(a) a person that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1); Article 53, paragraph (3); or Article 57-6, paragraph (3); had the permission referred to in Article 60, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1); had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); or had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1); if five years have not yet passed since the date of the rescission; or a person that had obtained a registration or license of the same kind in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including authorization or any other administrative disposition similar to such a license or registration), but that has had that registration or license rescinded, if five years have not yet passed since the date of the rescission;

ja-jp	ロ　この法律、担保付社債信託法（明治三十八年法律第五十二号）、金融機関の信託業務の兼営等に関する法律（昭和十八年法律第四十三号）、商品先物取引法、投資信託及び投資法人に関する法律、宅地建物取引業法（昭和二十七年法律第百七十六号）、出資の受入れ、預り金及び金利等の取締りに関する法律（昭和二十九年法律第百九十五号）、割賦販売法（昭和三十六年法律第百五十九号）、貸金業法（昭和五十八年法律第三十二号）、特定商品等の預託等取引契約に関する法律（昭和六十一年法律第六十二号）、商品投資に係る事業の規制に関する法律（平成三年法律第六十六号）、不動産特定共同事業法、資産の流動化に関する法律、金融業者の貸付業務のための社債の発行等に関する法律（平成十一年法律第三十二号）、信託業法（平成十六年法律第百五十四号）その他政令で定める法律又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
en-us	(b) a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act; the Secured Bonds Trust Act (Act No. 52 of 1905); the Act on Engagement in Trust Business by a Financial Institution (Act No. 43 of 1943); the Commodity Futures Act; the Act on Investment Trusts and Investment Corporations; the Real Estate Brokerage Act (Act No. 176 of 1952); the Act Regulating the Receipt of Contributions, the Receipt of Deposits, and Interest Rates (Act No. 195 of 1954); the Installment Sales Act (Act No. 159 of 1961); the Money Lending Business Act (Act No. 32 of 1983); the Act on the Deposit, etc. Transaction Agreements of Specified Commodities, etc. (Act No. 62 of 1986); the Act Regulating Business Involving Commodity Investment (Act No. 66 of 1991); the Specified Joint Real Estate Ventures Act; the Act on the Securitization of Assets; the Act on Corporate Bond Issuance for Financial Corporations' Loan Business (Act No. 32 of 1999); the Trust Business Act (Act No. 154 of 2004); or any other Act specified by Cabinet Order, or for violating the provisions of a foreign law or regulation that is equivalent to one of these Acts, if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	ハ　他に行う事業が公益に反すると認められる者
en-us	(c) a person that does other business which is found to be contrary to the public interest; or

ja-jp	ニ　金融商品取引業（投資助言・代理業を除く。）を適確に遂行するに足りる人的構成を有しない者
en-us	(d) a person that does not have a sufficient personnel structure to perform Financial Instruments Business (excluding Investment Advisory and Agency Services) in an appropriate manner.

ja-jp	二　法人である場合においては、役員（相談役、顧問その他いかなる名称を有する者であるかを問わず、当該法人に対し取締役、執行役又はこれらに準ずる者と同等以上の支配力を有するものと認められる者を含む。以下この号、第五十二条第二項、第五十二条の二第二項並びに第五十七条の二十第一項第一号及び第三項において同じ。）又は政令で定める使用人のうちに次のいずれかに該当する者のある者
en-us	(ii) a corporation that has a person falling under one of the following as its officer (including an advisor, consultant, or any other person, irrespective of title, that is found to have at least the same amount of authority over the corporation as a director, executive officer, or any equivalent person; hereinafter the same applies in this item, Article 52, paragraph (2); Article 52-2, paragraph (2); and Article 57-20, paragraph (1), item (i) and paragraph (3)) or among those of its employees as are specified by Cabinet Order:

ja-jp	イ　成年被後見人若しくは被保佐人又は外国の法令上これらと同様に取り扱われている者
en-us	(a) an adult ward, a person under curatorship, or a person that is treated in the same manner under foreign laws and regulations;

ja-jp	ロ　破産手続開始の決定を受けて復権を得ない者又は外国の法令上これと同様に取り扱われている者
en-us	(b) a person that has become subject to an order to commence bankruptcy proceedings and has not obtained a restoration of rights, or a person that is treated in the same manner under foreign laws and regulations;

ja-jp	ハ　禁錮以上の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
en-us	(c) a person that has been sentenced to imprisonment or a heavier punishment (including an equivalent sentence under foreign laws and regulations), if five years have not yet passed since the day on which that person finished serving the sentence or ceased to be subject to its enforcement;

ja-jp	ニ　金融商品取引業者であつた法人が第五十二条第一項、第五十三条第三項若しくは第五十七条の六第三項の規定により第二十九条の登録を取り消されたことがある場合、第六十条の四第一項に規定する取引所取引許可業者であつた法人が第六十条の八第一項の規定により第六十条第一項の許可を取り消されたことがある場合、金融商品仲介業者であつた法人が第六十六条の二十第一項の規定により第六十六条の登録を取り消されたことがある場合若しくは信用格付業者であつた法人が第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消されたことがある場合又はこの法律に相当する外国の法令の規定により当該外国において受けていた同種類の登録若しくは許可（当該登録又は許可に類する認可その他の行政処分を含む。）を取り消されたことがある場合において、その取消しの日前三十日以内にこれらの法人の役員であつた者でその取消しの日から五年を経過しない者
en-us	(d) a person that, during the 30 days prior to the date of rescission, was the officer of a corporation, in a case in which the corporation was a Financial Services Provider but has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1), Article 53, paragraph (3), or Article 57-6, paragraph (3); in a case in which the corporation was an Authorized Operator for On-Exchange Transactions prescribed in Article 60-4, paragraph (1) but has had the permission referred to in Article 60, paragraph (1) rescinded pursuant to the provisions of Article 60-8, paragraph (1); in a case in which the corporation was a Financial Instruments Intermediary but has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); in a case in which the corporation was a Credit Rating Agency but has had the registration referred to in Article 66-27 rescinded pursuant to the provisions of Article 66-42, paragraph (1); or in a case in which the corporation had obtained a registration or permission of the same kind in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including authorization or any other administrative disposition similar to such a registration or permission), but has had that registration or permission rescinded; if five years have not yet passed since the date of the rescission;

ja-jp	ホ　金融商品取引業者であつた個人が第五十二条第一項の規定により第二十九条の登録を取り消されたことがある場合若しくは金融商品仲介業者であつた個人が第六十六条の二十第一項の規定により第六十六条の登録を取り消されたことがある場合又はこの法律に相当する外国の法令の規定により当該外国において受けていた同種類の登録（当該登録に類する許可その他の行政処分を含む。）若しくは第六十条第一項の許可と同種類の許可（当該許可に類する許可その他の行政処分を含む。）を取り消されたことがある場合において、その取消しの日から五年を経過しない者
en-us	(e) an individual that was a Financial Services Provider but that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 52, paragraph (1); an individual that was a Financial Instruments Intermediary but that has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); or an individual that had obtained a registration of the same kind in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including permission or any other administrative disposition similar to such a registration) or that had obtained permission of the same kind as the permission referred to in Article 60, paragraph (1) in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including permission or any other administrative disposition that is similar to such permission), but that has had that registration or permission rescinded; if five years have not yet passed since the date of the rescission;

ja-jp	ヘ　第五十二条第二項、第六十条の八第二項、第六十六条の二十第二項若しくは第六十六条の四十二第二項の規定により解任若しくは解職を命ぜられた役員又はこの法律に相当する外国の法令の規定により当該外国において解任を命ぜられた役員でその処分を受けた日から五年を経過しない者
en-us	(f) a person falling under the category of an officer whose dismissal or removal has been ordered pursuant to the provisions of Article 52, paragraph (2); Article 60-8, paragraph (2); Article 66-20, paragraph (2); or Article 66-42, paragraph (2); or an officer whose dismissal or removal has been ordered in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act, if five years have not yet passed since the day of the disposition; or

ja-jp	ト　前号ロに規定する法律の規定若しくは暴力団員による不当な行為の防止等に関する法律（平成三年法律第七十七号）の規定（同法第三十二条の二第七項の規定を除く。）若しくはこれらに相当する外国の法令の規定に違反し、又は刑法（明治四十年法律第四十五号）若しくは暴力行為等処罰に関する法律（大正十五年法律第六十号）の罪を犯し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
en-us	(g) a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of one of the Acts prescribed in sub-item (b) of the preceding item or the Act to Prevent Illegal Activities by Members of Organized Crime Groups (Act No. 77 of 1991) (excluding the provisions of Article 32-2, paragraph (7) of that Act), or for violating the provisions of a foreign law or regulation that is equivalent to one of these Acts, or committing a crime specified by the Penal Code (Act No. 45 of 1907) or the Act on Punishment of Violent Acts (Act No. 60, 1926), if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement.

ja-jp	三　個人である場合においては、前号イからヘまで若しくはト（第一号ロに規定する法律の規定に係る部分を除く。）のいずれかに該当する者又は政令で定める使用人のうち前号イからトまでのいずれかに該当する者のある者
en-us	(iii) an individual that falls under any of sub-items (a) to (f) inclusive or (g) (excluding the part that involves the provisions of Acts prescribed in item (i), sub-item (b)) of the preceding item, or an individual that has an employee specified by Cabinet Order that falls under any of sub-items (a) to (g) inclusive of the preceding item;

ja-jp	四　第一種金融商品取引業、第二種金融商品取引業又は投資運用業を行おうとする場合（個人である場合を除く。）にあつては、資本金の額又は出資の総額が、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金額に満たない者
en-us	(iv) a person (other than an individual) seeking to engage in Type I Financial Instruments Business, Type II Financial Instruments Business, or Investment Management, whose stated capital or contributions in total are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors;

ja-jp	五　第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
en-us	(v) a person falling under one of the following and seeking to engage in Type I Financial Instruments Business or Investment Management:

ja-jp	イ　株式会社（取締役会及び監査役又は委員会（会社法第二条第十二号に規定する委員会をいう。）を置くものに限る。）又は外国の法令に準拠して設立された取締役会設置会社と同種類の法人（第一種金融商品取引業を行おうとする場合にあつては、当該外国の法令に準拠し、当該外国において第一種金融商品取引業と同種類の業務を行つている者（これに類するものとして政令で定める者を含む。）であつて、国内に営業所又は事務所を有する者に限る。）でない者
en-us	(a) a person other than a stock company (limited to one that has a board of directors, company auditors, or Committees (meaning Committees prescribed in Article 2, item (xii) of the Companies Act)) and a corporation of the same kind as a company with a board of directors incorporated in compliance with foreign laws and regulations (if a person seeks to engage in Type I Financial Instruments Business, limited to a person that engages in the same kind of business as Type I Financial Instruments Business in a foreign state in compliance with foreign laws and regulations (including a person specified by Cabinet Order as equivalent to such a person) and that has a business office or office in Japan);

ja-jp	ロ　純財産額（内閣府令で定めるところにより、資産の合計金額から負債の合計金額を控除して算出した額をいう。）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金額に満たない者
en-us	(b) a person whose net assets (meaning the figure arrived at when the total amount of liabilities is deducted from the total amount of assets pursuant to the provisions of Cabinet Office Ordinance) are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors;

ja-jp	ハ　他に行つている事業が第三十五条第一項に規定する業務及び同条第二項各号に掲げる業務のいずれにも該当せず、かつ、当該事業に係る損失の危険の管理が困難であるために投資者保護に支障を生ずると認められる者
en-us	(c) a person engaged in other business that does not fall under one of the categories of business prescribed in Article 35, paragraph (1) or business set forth in the items of Article 35, paragraph (2), and that is found to compromise investor protection due to difficulties in managing the risk of loss in connection with said business;

ja-jp	ニ　個人である主要株主（登録申請者が持株会社（私的独占の禁止及び公正取引の確保に関する法律（昭和二十二年法律第五十四号）第九条第四項第一号に規定する持株会社をいう。以下この号及び第三十二条の四において同じ。）の子会社であるときは、当該持株会社の主要株主を含む。ホ及びヘにおいて同じ。）のうちに次のいずれかに該当する者のある法人（外国法人を除く。）
en-us	(d) a corporation (excluding a foreign corporation) that has a person falling under one of the following as an individual Major Shareholder (if the applicant is a Subsidiary Company of a Holding Company (meaning a holding company as prescribed in Article 9, paragraph (4), item (i) of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Act No. 54 of 1947); hereinafter the same applies in this item and Article 32-4), this includes a Major Shareholder of said Holding Company; the same applies in sub-items (e) and (f)):

ja-jp	（１）　成年被後見人若しくは被保佐人又は外国の法令上これらと同様に取り扱われている者であつて、その法定代理人が第二号イからトまでのいずれかに該当するもの
en-us	1. an adult ward or a person under curatorship, or a person that is treated in the same manner under foreign laws and regulations, whose statutory representative falls under one of sub-items (a) to (g) inclusive of item (ii); or

ja-jp	（２）　第二号ロからトまでのいずれかに該当する者
en-us	2. a person falling under one of sub-items (b) to (g) inclusive of item (ii).

ja-jp	ホ　法人である主要株主のうちに次のいずれかに該当する者のある法人（外国法人を除く。）
en-us	(e) a corporation (excluding a foreign corporation) that has a person falling under one of the following as a corporate Major Shareholder; or

ja-jp	（１）　第一号イに該当する者
en-us	1. a corporation falling under item (i), sub-item (a);

ja-jp	（２）　第一号ロに規定する法律の規定又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
en-us	2. a corporation that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of one of the Acts prescribed in item (i), sub-item (b) or for violating the provisions of a foreign law or regulation that is equivalent to one of such Acts, if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement; or

ja-jp	（３）　法人を代表する役員のうちに第二号イからトまでのいずれかに該当する者のある者
en-us	3. a corporation that has a person falling under one of sub-items (a) to (g) inclusive of item (ii) among the officers that represent it.

ja-jp	ヘ　主要株主に準ずる者が金融商品取引業の健全かつ適切な運営に支障を及ぼすおそれがない者であることについて、外国の当局（第百八十九条第一項に規定する外国金融商品取引規制当局その他政令で定める外国の法令を執行する当局をいう。）による確認が行われていない外国法人
en-us	(f) a foreign corporation for which the foreign regulatory authority (meaning the Foreign Regulatory Authority for Financial Instruments defined in Article 189, paragraph (1) or any other regulatory authority specified by Cabinet Order that enforces foreign laws and regulations) has not confirmed that a person equivalent to a Major Shareholder is unlikely to compromise the sound and appropriate operation of Financial Instruments Business.

ja-jp	六　第一種金融商品取引業を行おうとする場合にあつては、次のいずれかに該当する者
en-us	(vi) a person falling under one of the following and seeking to engage in Type I Financial Instruments Business:

ja-jp	イ　第四十六条の六第一項の規定に準じて算出した比率が百二十パーセントを下回る者
en-us	(a) a person whose ratio as calculated based on the provisions of Article 46-6, paragraph (1) is less than 120 percent; or

ja-jp	ロ　他の金融商品取引業者（第一種金融商品取引業を行う者に限る。ロにおいて同じ。）が現に用いている商号と同一の商号又は他の金融商品取引業者と誤認されるおそれのある商号を用いようとする者
en-us	(b) a person seeking to use a trade name that another Financial Services Provider (limited to those engaged in Type I Financial Instruments Business; the same applies in this sub-item (b)) is already using or a trade name that could give rise to the misconception that it is another Financial Services Provider.

ja-jp	２　前項第五号ニからヘまでの「主要株主」とは、会社の総株主等の議決権（総株主、総社員、総会員、総組合員又は総出資者の議決権をいい、株式会社にあつては、株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法第八百七十九条第三項の規定により議決権を有するものとみなされる株式についての議決権を含む。以下同じ。）の百分の二十（会社の財務及び業務の方針の決定に対して重要な影響を与えることが推測される事実として内閣府令で定める事実がある場合には、百分の十五）以上の数の議決権（保有の態様その他の事情を勘案して内閣府令で定めるものを除く。第四項並びに第三十二条第一項及び第四項において「対象議決権」という。）を保有している者をいう。
en-us	(2) The term "Major Shareholder" as used in sub-items (d) to (f) inclusive of item (v) of the preceding paragraph means a person that holds voting rights (excluding the voting rights that are specified by Cabinet Office Ordinance in consideration of the manner in which they are held and other circumstances; hereinafter referred to as "Subject Voting Rights" in paragraph (4), Article 32, paragraphs (1) and (4)) constituting 20 percent or more (or 15 percent or more, if a fact has occurred that is specified by Cabinet Office Ordinance as something that is presumed to have a material influence on decisions about the company's financial and operational policies) of all shareholders', etc. voting rights (meaning the voting rights of all shareholders, all members, all partners, and all equity investors, and for a stock company, excluding voting rights in respect of shares that do not allow voting rights to be exercised with regard to all matters that can be resolved at a shareholders meeting, and including voting rights in respect of shares that are deemed to have voting rights pursuant to the provisions of Article 879, paragraph (3) of the Companies Act; the same applies hereinafter).

ja-jp	３　第一項第五号ニの「子会社」とは、会社がその総株主等の議決権の過半数を保有する他の会社をいう。この場合において、会社及びその一若しくは二以上の子会社又は当該会社の一若しくは二以上の子会社がその総株主等の議決権の過半数を保有する他の会社は、当該会社の子会社とみなす。
en-us	(3) The term "Subsidiary Company" as used in paragraph (1), item (v), sub-item (d) means a second company in which a first company holds the majority of all shareholders', etc. voting rights. In such a case, a second company in which a first company and one or more of its Subsidiary Companies hold the majority of all shareholders', etc. voting rights, or in which one or more of a first company's Subsidiary Companies hold the majority of all shareholders', etc. voting rights, is deemed to be the Subsidiary Company of said first company.

ja-jp	４　次の各号に掲げる場合における第二項の規定の適用については、当該各号に定める対象議決権は、これを保有しているものとみなす。
en-us	(4) With regard to the application of the provisions of paragraph (2) in a case set forth in one of the following items, the person set forth in the relevant item is deemed to hold the Subject Voting Rights prescribed in that item:

ja-jp	一　金銭の信託契約その他の契約又は法律の規定に基づき、会社の対象議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有する場合　当該対象議決権
en-us	(i) if a person has the authority to exercise the company's Subject Voting Rights or the authority to give instructions on the exercise of said voting rights based on a money trust contract or other contract or based on the provisions of the law: said Subject Voting Rights; and

ja-jp	二　株式の所有関係、親族関係その他の政令で定める特別の関係にある者が法人の対象議決権を保有する場合　当該特別の関係にある者が保有する当該対象議決権
en-us	(ii) if a person that is related to the relevant person through a shareholding relationship, familial relationship, or other special relationship specified by Cabinet Order, holds Subject Voting Rights in a corporation: the Subject Voting Rights held by the person with the special relationship to the relevant person.

ja-jp	５　第二項及び前項の規定の適用に関し必要な事項は、政令で定める。
en-us	(5) The necessary particulars relevant to the application of the provisions of paragraph (2) and the preceding paragraph are specified by Cabinet Order.

ja-jp	第三十条　金融商品取引業者は、第二条第八項第十号に掲げる行為を業として行おうとするときは、内閣総理大臣の認可を受けなければならない。
en-us	Article 30 (1) A Financial Services Provider must obtain the authorization of the Prime Minister if it seeks to perform the acts set forth in Article 2, paragraph (8), item (x) in the course of trade.

ja-jp	２　内閣総理大臣は、金融商品取引業者に対し前項の認可をしたときは、その旨を当該金融商品取引業者の登録に付記しなければならない。
en-us	(2) Upon granting the authorization referred to in the preceding paragraph to a Financial Services Provider, the Prime Minister shall note this in said Financial Services Provider's registration.

ja-jp	（認可の条件）
en-us	(Conditions on Authorization)

ja-jp	第三十条の二　内閣総理大臣は、前条第一項の認可に条件を付することができる。
en-us	Article 30-2 (1) The Prime Minister may attach conditions to the authorization referred to in paragraph (1) of the preceding Article.

ja-jp	２　前項の条件は、公益又は投資者保護のため必要な最小限度のものでなければならない。
en-us	(2) The conditions referred to in the preceding paragraph must constitute the minimum level of conditions that are necessary in the public interest and for the protection of investors.

ja-jp	（認可の申請）
en-us	(Application for Authorization)

ja-jp	第三十条の三　第三十条第一項の認可を受けようとする金融商品取引業者は、次に掲げる事項を記載した認可申請書を内閣総理大臣に提出しなければならない。
en-us	Article 30-3 (1) A Financial Services Provider seeking the authorization referred to in Article 30, paragraph (1) must submit a written application for authorization to the Prime Minister, in which it states the following particulars:

ja-jp	一　商号
en-us	(i) its trade name; and

ja-jp	二　登録年月日及び登録番号
en-us	(ii) the date of registration and its registration number.

ja-jp	２　前項の認可申請書には、損失の危険の管理方法、業務分掌の方法その他の業務の内容及び方法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書類を添付しなければならない。
en-us	(2) A document stating how the person manages the risk of loss, how duties are divided, and the other things specified by Cabinet Office Ordinance as constituting the business outline and business methods, and other documents specified by Cabinet Office Ordinance must accompany the written application for authorization referred to in the preceding paragraph.

ja-jp	（認可の基準）
en-us	(Criteria for Authorization)

ja-jp	第三十条の四　内閣総理大臣は、第三十条第一項の認可をしようとするときは、次に掲げる基準に適合するかどうかを審査しなければならない。
en-us	Article 30-4 Before seeking to grant the authorization referred to in Article 30, paragraph (1), the Prime Minister shall examine whether there is compliance with the following criteria:

ja-jp	一　損失の危険の管理に関し、適切な体制及び規則の整備を行つていること。
en-us	(i) an appropriate system and regulations are in place for managing the risk of loss;

ja-jp	二　資本金の額が、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金額以上であること。
en-us	(ii) the amount of stated capital exceeds the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors;

ja-jp	三　純財産額が前号に規定する金額以上であること。
en-us	(iii) the amount of net assets exceeds the amount of money prescribed in the preceding item;

ja-jp	四　第四十六条の六第二項の規定に違反していないこと。
en-us	(iv) the provisions of Article 46-6, paragraph (2) are not being violated; and

ja-jp	五　認可申請者の売買価格の決定方法、受渡しその他の決済の方法その他内閣府令で定める業務の内容及び方法が、公益又は投資者保護のため必要かつ適当なものであること。
en-us	(v) the applicant's price formation method, its methods of transfer and other settlement, and its Cabinet-Office-Ordinance-specified business outline and business methods are necessary and appropriate in the public interest or for the protection of investors.

ja-jp	（変更登録等）
en-us	(Registration of a Change)

ja-jp	第三十一条　金融商品取引業者は、第二十九条の二第一項各号（第五号を除く。）に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 31 (1) If a particular set forth in the items of Article 29-2, paragraph (1) (excluding item (v)) changes, the Financial Services Provider must notify the Prime Minister of this within two weeks from the day of the change.

ja-jp	２　内閣総理大臣は、前項の規定による届出を受理したときは、届出があつた事項を金融商品取引業者登録簿に登録しなければならない。
en-us	(2) Upon accepting a notification under the preceding paragraph, the Prime Minister shall register the particulars given in the notification in the Financial Services Provider register.

ja-jp	３　金融商品取引業者は、第二十九条の二第二項第二号に掲げる書類に記載した業務の内容又は方法について変更があつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(3) If the business outline or business methods that a Financial Services Provider has stated in the documents set forth in Article 29-2, paragraph (2), item (ii) change, the Financial Services Provider must notify the Prime Minister of this without delay pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	４　金融商品取引業者は、第二十九条の二第一項第五号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
en-us	(4) If a Financial Services Provider seeks to change the particular set forth in Article 29-2, paragraph (1), item (v), it must have that change registered by the Prime Minister pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	５　第二十九条の三及び第二十九条の四の規定は、前項の変更登録について準用する。この場合において、第二十九条の三第一項中「次に掲げる事項」とあるのは「変更に係る事項」と、第二十九条の四第一項中「次の各号」とあるのは「次の各号（第一号イからハまで、第二号及び第三号を除く。）」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。
en-us	(5) The provisions of Article 29-3 and Article 29-4 apply mutatis mutandis to the registration of a change referred to in the preceding paragraph. In this case, in Article 29-3, paragraph (1), the phrase "the following particulars" is deemed to be replaced with "the particulars subject to the change"; in Article 29-4, paragraph (1), the phrase "the following items" is deemed to be replaced with "the following items (excluding item (i), sub-items (a) to (c) inclusive, item (ii), and item (iii))"; and any other necessary technical replacement of terms is specified by Cabinet Order.

ja-jp	６　第三十条第一項の認可を受けた金融商品取引業者は、第三項の規定にかかわらず、当該認可を受けた業務に係る損失の危険の管理方法、売買価格の決定方法、受渡しその他の決済の方法その他内閣府令で定める業務の内容及び方法を変更しようとする場合においては、内閣総理大臣の認可を受けなければならない。
en-us	(6) Notwithstanding the provisions of paragraph (3), if a Financial Services Provider that has obtained the authorization referred to in Article 30, paragraph (1) seeks to change the way it manages the risk of loss, its price formation method, its methods of transfer and other settlement, or the Cabinet-Office-Ordinance-specified business outline and business methods for which it has obtained that authorization, it must obtain the authorization of the Prime Minister.

ja-jp	（営業保証金）
en-us	(Security Deposits for Operations)

ja-jp	第三十一条の二　金融商品取引業者（第二種金融商品取引業を行う個人及び投資助言・代理業のみを行う者に限る。以下この条において同じ。）は、営業保証金を主たる営業所又は事務所の最寄りの供託所に供託しなければならない。
en-us	Article 31-2 (1) A Financial Services Provider (limited to individuals seeking to engage in Type II Financial Instruments Business and persons seeking to engage in Investment Advisory and Agency Services only; hereinafter the same applies in this Article) must deposit a business security deposit with the deposit office nearest to its principal business office or office.

ja-jp	２　前項の営業保証金の額は、金融商品取引業者の業務の実情及び投資者の保護の必要性を考慮して、政令で定める額とする。
en-us	(2) The amount of the business security deposit referred to in the preceding paragraph is specified by Cabinet Order in consideration of the actual condition of a Financial Services Provider's business and the need to protect investors.

ja-jp	３　金融商品取引業者は、政令で定めるところにより、当該金融商品取引業者のために所要の営業保証金が内閣総理大臣の命令に応じて供託される旨の契約を締結し、その旨を内閣総理大臣に届け出たときは、当該契約の効力の存する間、当該契約において供託されることとなつている金額（以下この条において「契約金額」という。）につき第一項の営業保証金の全部又は一部の供託をしないことができる。
en-us	(3) If a Financial Services Provider concludes a contract stating that the required business security deposit of the Financial Services Provider will be deposited if ordered by the Prime Minister, and has notified the Prime Minister of this, pursuant to the provisions of Cabinet Order, so long as that contract remains valid, the Financial Services Provider may refrain from depositing all or part of the business security deposit referred to in paragraph (1), in line with the amount of money that will be deposited pursuant to the contract (hereinafter referred to as the "Contract Amount" in this Article).

ja-jp	４　内閣総理大臣は、投資者保護のため必要があると認めるときは、金融商品取引業者と前項の契約を締結した者又は当該金融商品取引業者に対し、契約金額に相当する金額の全部又は一部を供託すべき旨を命ずることができる。
en-us	(4) If the Prime Minister finds it to be necessary for the protection of investors, the Prime Minister may order a person that has concluded a contract as referred to in the preceding paragraph with a Financial Services Provider, or may order the relevant Financial Services Provider, to deposit all or part of the amount equivalent to the Contract Amount.

ja-jp	５　金融商品取引業者は、第一項の営業保証金につき供託（第三項の契約の締結を含む。）を行い、その旨を内閣総理大臣に届け出た後でなければ、金融商品取引業を開始してはならない。
en-us	(5) A Financial Services Provider must not begin Financial Instruments Business until it deposits the business security deposit referred to in paragraph (1) (or until it concludes a contract set forth in paragraph (3)) and notifies the Prime Minister of this.

ja-jp	６　金融商品取引業者と投資顧問契約を締結した者、金融商品取引業者による投資顧問契約又は投資一任契約の代理又は媒介により投資顧問契約又は投資一任契約を締結した者及び金融商品取引業者による有価証券の売買又はその媒介、取次ぎ若しくは代理により有価証券の売買契約を締結した者は、これらの契約により生じた債権に関し、当該金融商品取引業者に係る営業保証金について、他の債権者に先立ち弁済を受ける権利を有する。
en-us	(6) A person that concludes an Investment Advisory Contract with a Financial Services Provider, a person that concludes an Investment Advisory Contract or Discretionary Investment Contract based on a Financial Services Provider's agency or intermediation for that Investment Advisory Contract or an Discretionary Investment Contract, or a person that concludes a purchase and sale contract for Securities based on a Financial Services Provider's purchase and sale of Securities or its intermediation, brokerage, or agency for such a purchase and sale, has the right to receive payment of a claim arising from such a contract out of the business security deposit furnished by the Financial Services Provider, in preference over other creditors.

ja-jp	７　前項の権利の実行に関し必要な事項は、政令で定める。
en-us	(7) The necessary particulars relevant to the exercise of the right referred to in the preceding paragraph are specified by Cabinet Order.

ja-jp	８　金融商品取引業者は、第六項の権利の実行その他の理由により、営業保証金の額（契約金額を含む。第十項において同じ。）が第二項の政令で定める額に不足することとなつたときは、内閣府令で定める日から三週間以内にその不足額につき供託（第三項の契約の締結を含む。）を行い、その旨を遅滞なく内閣総理大臣に届け出なければならない。
en-us	(8) If the amount of a business security deposit (including the Contract Amount; the same applies in paragraph (10)) comes to fall short of the amount specified by Cabinet Order as prescribed in paragraph (2) due to the exercise of the right referred to in paragraph (6) or for any other reason, the Financial Services Provider shall deposit the shortfall (or conclude a contract set forth in paragraph (3)) within three weeks from the day specified by Cabinet Office Ordinance and notify the Prime Minister of this without delay.

ja-jp	９　第一項又は前項の規定により供託する営業保証金は、国債証券、地方債証券その他の内閣府令で定める有価証券をもつてこれに充てることができる。
en-us	(9) National government bonds, municipal bonds, and other Securities specified by Cabinet Office Ordinance may serve as a business security deposit that is deposited pursuant to the provisions of paragraph (1) or the preceding paragraph.

ja-jp	１０　第一項、第四項又は第八項の規定により供託した営業保証金は、第五十二条第一項若しくは第四項若しくは第五十四条の規定により第二十九条の登録が取り消されたとき、第五十条の二第二項の規定により第二十九条の登録がその効力を失つたとき、第二種金融商品取引業（個人が行う場合に限る。）及び投資助言・代理業以外の金融商品取引業を行うことにつき前条第四項の変更登録を受けたとき、又は営業保証金の額が第二項の政令で定める額を超えることとなつたときは、政令で定めるところにより、その全部又は一部を取り戻すことができる。
en-us	(10) If the registration referred to in Article 29 is rescinded pursuant to the provisions of Article 52, paragraph (1) or (4) or Article 54, if the registration referred to in Article 29 loses its effect pursuant to the provisions of Article 50-2, paragraph (2), if a person has had a change registered as referred to in paragraph (4) of the preceding Article in connection with its engagement in the Financial Instruments Business other than in Type II Financial Instruments Business (but only if an individual engages in such business) or Investment Advisory and Agency Services, or if the amount of a business security deposit exceeds the amount specified by Cabinet Order as prescribed in paragraph (2), all or part of the business security deposit that is deposited pursuant to the provisions of paragraph (1), (4), or (8) may be refunded pursuant to the provisions of Cabinet Order.

ja-jp	１１　前各項に規定するもののほか、営業保証金に関し必要な事項は、内閣府令・法務省令で定める。
en-us	(11) Beyond what is prescribed in the preceding paragraphs, the necessary particulars relevant to a business security deposit are specified by Cabinet Office Ordinance and by Ordinance of the Ministry of Justice.

ja-jp	（商号等の使用制限）
en-us	(Restriction on the Use of Trade Names)

ja-jp	第三十一条の三　金融商品取引業者でない者は、金融商品取引業者という商号若しくは名称又はこれに紛らわしい商号若しくは名称を用いてはならない。
en-us	Article 31-3 A person that is not a Financial Services Provider must not use a trade name or name that refers to it as a Financial Services Provider, and must not use any trade name or name that is confusingly similar to this.

ja-jp	（取締役等の就任等に係る届出）
en-us	(Notification on Assumption of the Position of Director)

ja-jp	第三十一条の四　金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。以下この項において同じ。）の取締役又は執行役は、他の会社の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員。以下この項及び次項において同じ。）、監査役若しくは執行役に就任した場合（他の会社の取締役、会計参与、監査役又は執行役が金融商品取引業者の取締役又は執行役を兼ねることとなつた場合を含む。）又は他の会社の取締役、会計参与、監査役若しくは執行役を退任した場合には、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 31-4 (1) If the director or executive officer of a Financial Services Provider (limited to a person engaged in Type I Financial Instruments Business or Investment Management; hereinafter the same applies in this paragraph) assumes the position of director, accounting advisor (or, if the accounting advisor is a corporation, the position of a staff member that performs those duties; hereinafter the same applies in this and the following paragraphs), company auditor, or executive officer of another company (including if a director, accounting advisor, company auditor, or executive officer of another company is to concurrently hold the position of director or executive officer of the Financial Services Provider), or if that person resigns from the position of director, accounting advisor, company auditor, or executive officer of another company, that person must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　金融商品取引業者（第一種金融商品取引業以外の有価証券関連業を行う者に限る。）の取締役又は執行役は、当該金融商品取引業者の親銀行等若しくは子銀行等の取締役、会計参与、監査役若しくは執行役に就任した場合（当該親銀行等又は子銀行等の取締役、会計参与、監査役又は執行役が当該金融商品取引業者の取締役又は執行役を兼ねることとなつた場合を含む。）又は親銀行等若しくは子銀行等の取締役、会計参与、監査役若しくは執行役を退任した場合には、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(2) If the director or executive officer of a Financial Services Provider (limited to a person engaged in Securities Services other than Type I Financial Instruments Business) assumes the position of director, accounting advisor, company auditor, or executive officer of the Parent Bank, etc. or Subsidiary Bank, etc. of said Financial Services Provider (including if a director, accounting advisor, company auditor or executive officer of the Parent Bank, etc. or Subsidiary Bank, etc. comes to concurrently hold the position of director or executive officer of the Financial Services Provider), or if that person resigns from the position of director, accounting advisor, company auditor, or executive officer of the Parent Bank, etc. or Subsidiary Bank, etc., that person must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　前項の「親銀行等」とは、金融商品取引業者の総株主等の議決権の過半数を保有していることその他の当該金融商品取引業者と密接な関係を有する法人その他の団体として政令で定める要件に該当する者（第三十三条の三第二項第三号及び第四十四条の三において「親法人等」という。）のうち、銀行、協同組織金融機関その他政令で定める金融機関に該当するものをいう。
en-us	(3) The term "Parent Bank, etc." as used in the preceding paragraph means a bank or Cooperative Financial Institution, or a person that falls under any other category of financial institution specified by Cabinet Order, which Cabinet Order specifies as satisfying the requirement of being a corporation or other organization that holds the majority of all shareholders', etc. voting rights in a Financial Services Provider, or of being a corporation or other organization which is otherwise closely related to such a Financial Services Provider (such a corporation or other organization is referred to as a "Parent Corporation, etc." in Article 33-3, paragraph (2), item (iii) and Article 44-3).

ja-jp	４　第二項の「子銀行等」とは、金融商品取引業者が総株主等の議決権の過半数を保有していることその他の当該金融商品取引業者と密接な関係を有する法人その他の団体として政令で定める要件に該当する者（第三十三条の三第二項第三号及び第四十四条の三において「子法人等」という。）のうち、銀行、協同組織金融機関その他政令で定める金融機関に該当するものをいう。
en-us	(4) The term "Subsidiary Bank, etc." as used in paragraph (2) means a bank or Cooperative Financial Institution, or a person that falls under any other category of financial institution specified by Cabinet Order, which Cabinet Order specifies as satisfying the requirement of being a corporation or other organization in which a Financial Services Provider holds the majority of all shareholders', etc. voting rights, or of being a corporation or other organization which is otherwise closely related to such a Financial Services Provider (such a corporation or other organization is referred to as a "Subsidiary Corporation, etc." in Article 33-3, paragraph (2), item (iii) and Article 44-3).

ja-jp	５　第三項に規定する総株主等の議決権の過半数の保有の判定に関し必要な事項は、その保有の態様その他の事情を勘案して、内閣府令で定める。
en-us	(5) The necessary particulars relevant to a determination of whether the majority of all shareholders', etc. voting rights are held as prescribed in paragraph (3) are specified by Cabinet Office Ordinance in consideration of the manner in which they are held and other circumstances.

ja-jp	（取締役等の適格性等）
en-us	(Eligibility as a Director)

ja-jp	第三十一条の五　会社法第三百三十一条第二項ただし書（同法第三百三十五条第一項において準用する場合を含む。）、第三百三十二条第二項（同法第三百三十四条第一項において準用する場合を含む。）、第三百三十六条第二項及び第四百二条第五項ただし書の規定は、金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。）については、適用しない。
en-us	Article 31-5 The provisions of the proviso to Article 331, paragraph (2) (including as applied mutatis mutandis pursuant to Article 335, paragraph (1) of the Companies Act); Article 332, paragraph (2) (including as applied mutatis mutandis pursuant to Article 334, paragraph (1) of that Act); Article 336, paragraph (2); and the proviso to Article 402, paragraph (5) of that Act do not apply to Financial Services Providers (limited to those engaged in Type I Financial Instruments Business or Investment Management).

ja-jp	第三款　主要株主
en-us	Subsection 3 Major Shareholders

ja-jp	（対象議決権保有届出書の提出等）
en-us	(Submission of a Statement of Holdings in Subject Voting Rights)

ja-jp	第三十二条　金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限り、外国法人を除く。以下この款において同じ。）の主要株主（第二十九条の四第二項に規定する主要株主をいう。以下この節において同じ。）となつた者は、内閣府令で定めるところにより、対象議決権保有割合（対象議決権の保有者の保有する当該対象議決権の数を当該金融商品取引業者の総株主等の議決権の数で除して得た割合をいう。）、保有の目的その他内閣府令で定める事項を記載した対象議決権保有届出書を、遅滞なく、内閣総理大臣に提出しなければならない。
en-us	Article 32 (1) A person that has become the Major Shareholder (meaning a Major Shareholder as prescribed in Article 29-4, paragraph (2); hereinafter the same applies in this Section) of a Financial Services Provider (limited to one engaged in Type I Financial Instruments Business or Investment Management and excluding foreign corporations; hereinafter the same applies in this Subsection) must submit a statement of holdings in Subject Voting Rights which states the Subject Voting Right holding rate (meaning the rate arrived at when the number of Subject Voting Rights held by the holder of said Subject Voting Rights is divided by the number of all shareholders', etc. voting rights in said Financial Services Provider), the purpose for which they are held, and other particulars specified by Cabinet Office Ordinance to the Prime Minister, without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　前項の対象議決権保有届出書には、第二十九条の四第一項第五号ニ（１）及び（２）並びにホ（１）から（３）までに該当しないことを誓約する書面その他内閣府令で定める書類を添付しなければならない。
en-us	(2) A document pledging that the relevant person does not fall under the purview of Article 29-4, paragraph (1), item (v), sub-item (d)1. or 2., or sub-item (e)1. to 3. inclusive, and other documents specified by Cabinet Office Ordinance must accompany the statement of holdings in Subject Voting Rights referred to in the preceding paragraph.

ja-jp	３　金融商品取引業者の特定主要株主以外の主要株主は、当該金融商品取引業者の特定主要株主となつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(3) If a Major Shareholder other than the Specified Major Shareholder of a Financial Services Provider becomes the Specified Major Shareholder of said Financial Services Provider, it must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	４　前項の「特定主要株主」とは、会社の総株主等の議決権の百分の五十を超える対象議決権を保有している者をいう。
en-us	(4) The term "Specified Major Shareholder" as used in the preceding paragraph means a person that holds Subject Voting Rights exceeding 50 percent of all shareholders', etc. voting rights in a company.

ja-jp	５　第二十九条の四第四項の規定は、前項の規定を適用する場合について準用する。
en-us	(5) The provisions of Article 29-4, paragraph (4) apply mutatis mutandis if the provisions of the preceding paragraph are applicable.

ja-jp	（主要株主に対する措置命令等）
en-us	(Order for Measures to Be Taken by a Major Shareholder)

ja-jp	第三十二条の二　内閣総理大臣は、金融商品取引業者の主要株主が第二十九条の四第一項第五号ニ（１）若しくは（２）又はホ（１）から（３）までのいずれかに該当する場合には、当該主要株主に対し三月以内の期間を定めて当該金融商品取引業者の主要株主でなくなるための措置その他必要な措置をとることを命ずることができる。
en-us	Article 32-2 (1) If the Major Shareholder of a Financial Services Provider falls under one of the categories in Article 29-4, paragraph (1), item (v), sub-item (d)1. or 2. or sub-item (e)1. to 3. inclusive, the Prime Minister may order said Major Shareholder to take measures so that it will cease to be the Major Shareholder of said Financial Services Provider or to take any other necessary measures within a fixed period of no longer than three months.

ja-jp	２　内閣総理大臣は、金融商品取引業者の特定主要株主（前条第四項に規定する特定主要株主をいう。以下同じ。）の業務又は財産の状況（当該特定主要株主が法人である場合にあつては、当該特定主要株主の子法人等（特定主要株主が総株主等の議決権の過半数を保有していることその他の当該特定主要株主と密接な関係を有する法人その他の団体として政令で定める要件に該当する者をいう。）の財産の状況を含む。）に照らして公益又は投資者保護のため特に必要があると認めるときは、その必要の限度において、当該特定主要株主に対し、当該金融商品取引業者の業務の運営又は財産の状況の改善に必要な措置をとることを命ずることができる。
en-us	(2) If the Prime Minister finds it to be particularly necessary in the public interest or for the protection of investors in light of state of the business or assets of the Specified Major Shareholder (meaning a Specified Major Shareholder as provided for in paragraph (4) of the preceding Article; the same applies hereinafter) of a Financial Services Provider (if such a Specified Major Shareholder is a corporation, this includes the state of the assets of a Subsidiary Corporation, etc. of such Specified Major Shareholder (meaning a person falling under the category of a corporation or other organization in which the Specified Major Shareholder holds the majority of all shareholders', etc. voting rights, or that otherwise satisfies the requirements specified by Cabinet Order as a corporation or other organization that is closely related to the Specified Major Shareholder)), the Prime Minister, within the scope of this necessity, may order said Specified Major Shareholder to take measures that are necessary for improving the Financial Services Provider's business operations or the state of its assets.

ja-jp	３　内閣総理大臣は、金融商品取引業者の特定主要株主が前項の規定による命令に違反した場合には、当該特定主要株主に対し三月以内の期間を定めて当該金融商品取引業者の主要株主でなくなるための措置その他必要な措置をとることを命ずることができる。
en-us	(3) If the Specified Major Shareholder of a Financial Services Provider violates an order under the preceding paragraph, the Prime Minister may order the Specified Major Shareholder to take measures so that it will cease to be the Major Shareholder of said Financial Services Provider or to take other necessary measures within a fixed period of no longer than three months.

ja-jp	（主要株主でなくなつた旨の届出等）
en-us	(Notification of Having Ceased to Be a Major Shareholder)

ja-jp	第三十二条の三　金融商品取引業者の主要株主は、当該金融商品取引業者の主要株主でなくなつたときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 32-3 (1) If the Major Shareholder of a Financial Services Provider ceases to be the Major Shareholder of said Financial Services Provider, it must notify the Prime Minister of this without delay.

ja-jp	２　金融商品取引業者の特定主要株主は、当該金融商品取引業者の特定主要株主以外の主要株主となつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(2) If the Specified Major Shareholder of a Financial Services Provider becomes a Major Shareholder other than the Specified Major Shareholder of said Financial Services Provider, it shall notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（主要株主に関する規定の準用）
en-us	(Mutatis Mutandis Application of Provisions on Major Shareholders)

ja-jp	第三十二条の四　第三十二条第一項及び第二項、第三十二条の二第一項並びに前条第一項の規定は、金融商品取引業者を子会社（第二十九条の四第三項に規定する子会社をいう。）とする持株会社の株主又は出資者について準用する。
en-us	Article 32-4 The provisions of Article 32, paragraphs (1) and (2), Article 32-2, paragraph (1) and paragraph (1) of the preceding Article apply mutatis mutandis to the shareholders or equity investors of a Holding Company that has a Financial Services Provider as its Subsidiary Company (meaning a Subsidiary Company as prescribed in Article 29-4, paragraph (3)).

ja-jp	第四款　登録金融機関
en-us	Subsection 4 Registered Financial Institutions

ja-jp	（金融機関の有価証券関連業の禁止等）
en-us	(Prohibition on Engagement in Securities Services by Financial Institutions)

ja-jp	第三十三条　銀行、協同組織金融機関その他政令で定める金融機関（以下この条、次条及び第二百一条において「金融機関」という。）は、有価証券関連業又は投資運用業を行つてはならない。ただし、有価証券関連業については、金融機関が他の法律の定めるところにより投資の目的をもつて、又は信託契約に基づいて信託をする者の計算において有価証券の売買若しくは有価証券関連デリバティブ取引を行う場合は、この限りでない。
en-us	Article 33 (1) It is prohibited for a bank or Cooperative Financial Institution, or for any other financial institution specified by Cabinet Order (hereinafter collectively referred to as a "Financial Institution" in this Article, the following Article and Article 201) to engage in Securities Services or Investment Management; provided, however, that with regard to Securities Services, this does not apply if the Financial Institution conducts the sale and purchase of Securities or Transactions of Securities-Related Derivatives for the purpose of investment pursuant to the provisions of other Acts or on the account of a person that entrusts it to do so based on a trust contract.

ja-jp	２　前項本文の規定は、金融機関が、書面取次ぎ行為（顧客の書面による注文を受けてその計算において有価証券の売買又は有価証券関連デリバティブ取引を行うことをいい、当該注文に関する顧客に対する勧誘に基づき行われるもの及び当該金融機関が行う投資助言業務に関しその顧客から注文を受けて行われるものを除く。次条第一号において同じ。）又は次の各号に掲げる有価証券若しくは取引について、当該各号に定める行為を行う場合には、適用しない。
en-us	(2) The provisions of the main clause of the preceding paragraph do not apply if a Financial Institution conducts brokerage with written orders (meaning conducting a purchase and sale of Securities or a Transaction of Securities-Related Derivatives on a customer's account upon receiving written orders from the customer, and excluding transactions conducted based on its solicitation of a customer for such an order and transactions conducted upon the receipt of an order from the customer in connection with the Financial Institution's Investment Advisory Services; the same applies in item (i) of the following Article) or performs the act set forth in the relevant of the following items in connection with the Securities or transactions set forth in that item:

ja-jp	一　第二条第一項第一号及び第二号に掲げる有価証券、同項第三号に掲げる有価証券（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もの並びに信用金庫法（昭和二十六年法律第二百三十八号）第五十四条の四第一項に規定する短期債及び農林中央金庫法（平成十三年法律第九十三号）第六十二条の二第一項に規定する短期農林債に限る。）、第二条第一項第四号に掲げる有価証券、同項第五号に掲げる有価証券（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もの並びに社債等の振替に関する法律第六十六条第一号に規定する短期社債及びこれに類するものとして政令で定めるものに限る。）、第二条第一項第八号に掲げる有価証券、同項第十一号に掲げる有価証券（投資信託及び投資法人に関する法律第百三十九条の十二第一項に規定する短期投資法人債及びこれに類するものとして政令で定めるものに限る。次号において「短期投資法人債等」という。）、第二条第一項第十二号から第十四号までに掲げる有価証券、同項第十五号に掲げる有価証券（発行の日から償還の日までの期間が一年未満のものに限る。）、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のうち政令で定めるもの、同項第十八号に掲げる有価証券、同項第二十一号に掲げる有価証券のうち政令で定めるもの並びに同条第二項の規定により有価証券とみなされる同項各号に掲げる権利（第四号の政令で定める権利を除く。）　同条第八項第一号から第三号まで、第六号、第八号及び第九号に掲げる行為
en-us	(i) Securities set forth in Article 2, paragraph (1), items (i) and (ii); Securities set forth in Article 2, paragraph (1), item (iii) (limited to those for which the government guarantees the redemption of the principal or the payment of interest, short-term bonds prescribed in Article 54-4, paragraph (1) of the Credit Union Act (Act No. 238 of 1951), and short-term agriculture and forestry bonds prescribed in Article 62-2, paragraph (1) of the Agriculture and Forestry Credit Union Act (Act No. 93 of 2001)); Securities set forth in Article 2, paragraph (1), item (iv); Securities set forth in Article 2, paragraph (1), item (v) (limited to those for which the government guarantees the redemption of the principal or the payment of interest, and short-term corporate bonds prescribed in Article 66, paragraph (1) of the Act on the Transfer of Corporate Bonds, etc. or those specified by Cabinet Order as similar to these); Securities set forth in Article 2, paragraph (1), item (viii); Securities set forth in Article 2, paragraph (1), item (xi) (limited to short-term investment corporation bonds prescribed in Article 139-12, paragraph (1) of the Act on Investment Trusts and Investment Corporations and those specified by Cabinet Order as similar to these; referred to as "Short-Term Investment Corporation Bonds, etc." in the following item); Securities set forth in Article 2, paragraph (1), items (xii) to (xiv) inclusive; Securities set forth in Article 2, paragraph (1), item (xv) (limited to those with a term between the day of issuance and the day of redemption of less than one year); Securities set forth in Article 2, paragraph (1), item (xvi); Securities specified by Cabinet Order among those set forth in Article 2, paragraph (1), item (xvii); Securities set forth in Article 2, paragraph (1), item (xviii); Securities specified by Cabinet Order among those set forth in Article 2, paragraph (1), item (xxi); and rights set forth in the items of Article 2, paragraph (2) that are deemed to be Securities pursuant to the provisions of that paragraph (excluding rights specified by Cabinet Order set forth in item (iv)): acts set forth in Article 2, paragraph (8), items (i) to (iii) inclusive, (vi), (viii), and (ix);

ja-jp	二　第二条第一項第十号及び第十一号に掲げる有価証券（短期投資法人債等を除く。）　同条第八項第一号から第三号までに掲げる行為及び同項第九号に掲げる行為（有価証券の売出しの取扱い及び特定投資家向け売付け勧誘等の取扱いを除く。）
en-us	(ii) Securities set forth in Article 2, paragraph (1), items (x) and (xi) (excluding Short-Term Investment Corporation Bonds, etc.): acts set forth in Article 2, paragraph (8), items (i) to (iii) inclusive, and acts set forth in Article 2, paragraph (8), item (ix) (excluding dealings in a Secondary Distribution of Securities and in an exclusive Offer to Sell, etc. to Professional Investors);

ja-jp	三　第二条第一項第十七号に掲げる有価証券のうち同項第一号の性質を有するもの　次に掲げる行為
en-us	(iii) Securities set forth in Article 2, paragraph (1), item (xvii) that have the nature set forth in Article 2, paragraph (1), item (i): the following acts:

ja-jp	イ　市場デリバティブ取引及び外国市場デリバティブ取引並びにこれらに係る第二条第八項第二号又は第三号に掲げる行為
en-us	(a) Market Transactions of Derivatives, Foreign Market Transaction of Derivatives, and acts set forth in Article 2, paragraph (8), item (ii) or (iii) in connection with these transactions;

ja-jp	ロ　私募の取扱い
en-us	(b) dealings in a Private Placement; and

ja-jp	ハ　金融商品取引業者（第一種金融商品取引業を行う者に限る。）の委託を受けて、当該金融商品取引業者のために行う第二条第十一項第一号から第三号までに掲げる行為（イ及びロに掲げるものを除く。）
en-us	(c) acts set forth in Article 2, paragraph (11), items (i) to (iii) inclusive (excluding those set forth in sub-items (a) and (b)) that the Financial Institution is entrusted with by a Financial Services Provider (limited to those engaged in Type I Financial Instruments Business) and performs for said Financial Services Provider.

ja-jp	四　前三号に掲げる有価証券以外の有価証券及び第二条第二項の規定により有価証券とみなされる同項第三号及び第四号に掲げる権利であつて政令で定めるもの　次に掲げる行為
en-us	(iv) Securities other than those set forth in the preceding three items, and rights set forth in Article 2, paragraph (2), items (iii) and (iv) that are deemed to be Securities pursuant to the provisions of Article 2, paragraph (2) and that are specified by Cabinet Order: the following acts:

ja-jp	イ　私募の取扱い（政令で定める有価証券に係るものを除く。）
en-us	(a) dealings in a Private Placement (excluding those involving Securities specified by Cabinet Order); and

ja-jp	ロ　金融商品取引業者（第一種金融商品取引業を行う者に限る。）の委託を受けて、当該金融商品取引業者のために行う第二条第十一項第一号から第三号までに掲げる行為（イに掲げるものを除く。）
en-us	(b) acts set forth in Article 2, paragraph (11), items (i) to (iii) inclusive (excluding those set forth in sub-item (a)) that the Financial Institution is entrusted with by a Financial Services Provider (limited to those engaged in Type I Financial Instruments Business) and performs for said Financial Services Provider.

ja-jp	五　次に掲げる取引　第二条第八項第四号に掲げる行為（ロに掲げる取引については、多数の者を相手方として行う場合として政令で定める場合に該当するものを除く。）
en-us	(v) the following transactions: acts set forth in Article 2, paragraph (8), item (iv) (with regard to transactions set forth in sub-item (b), excluding those that fall under the category of cases specified by Cabinet Order as those in which the transaction is conducted with a large number of persons as the other parties thereto):

ja-jp	イ　第一号に掲げる有価証券（当該有価証券に係る二以上の有価証券の価格に基づき当事者間で取り決めた方法により算出される指数を含む。）に係る店頭デリバティブ取引
en-us	(a) Over-the-Counter Derivatives Transactions of Securities set forth in item (i) (including indices calculated by the method agreed upon between the parties based on the prices of two or more Securities connected with the relevant Securities); and

ja-jp	ロ　前三号に掲げる有価証券（当該有価証券に係る二以上の有価証券の価格に基づき当事者間で取り決めた方法により算出される指数を含む。）に係る店頭デリバティブ取引のうち決済方法が差金の授受に限られているもの
en-us	(b) Over-the-Counter Derivatives Transactions that are connected with the Securities set forth in the preceding three items (including indices calculated by the method agreed between the parties based on prices of two or more Securities pertaining to said Securities), and that can only be settled through the delivery and receipt of the difference in prices.

ja-jp	六　有価証券の売買及び有価証券関連デリバティブ取引その他政令で定める取引　有価証券等清算取次ぎ
en-us	(vi) the purchase and sale of Securities, Transactions of Securities-Related Derivatives, and other transactions specified by Cabinet Order: Brokerage for the Clearing of Securities, etc.

ja-jp	３　第二十九条の規定は、金融機関が、次に掲げる行為（以下「デリバティブ取引等」という。）のうち第二十八条第八項第三号から第六号までに掲げるもの（以下「有価証券関連デリバティブ取引等」という。）以外のものを業として行う場合、第二条第八項第五号に掲げる行為のうち第二十八条第八項第七号に掲げるもの以外のものを業として行う場合、第二条第八項第七号に掲げる行為を業として行う場合又は投資助言・代理業若しくは有価証券等管理業務を行う場合には、適用しない。
en-us	(3) The provisions of Article 29 do not apply if a Financial Institution performs acts other than those set forth in Article 28, paragraph (8), items (iii) to (vi) inclusive (hereinafter referred to as "Transactions of Securities-Related Derivatives, etc.") among the following acts (hereinafter referred to as "Derivatives Transactions, etc.") in the course of trade, performs acts other than those set forth in Article 28, paragraph (8), item (vii) among those specified in Article 2, paragraph (8), item (v) in the course of trade, performs acts set forth in Article 2, paragraph (8), item (vii) in the course of trade, or provides Investment Advisory and Agency Services or Securities, etc. Management:

ja-jp	一　市場デリバティブ取引等（市場デリバティブ取引又はこれに係る第二条第八項第二号若しくは第三号に掲げる行為をいう。）
en-us	(i) Market Transactions of Derivatives, etc. (meaning Market Transactions of Derivatives and acts set forth in Article 2, paragraph (8), item (ii) or (iii) in connection with the same);

ja-jp	二　店頭デリバティブ取引等
en-us	(ii) Over-the-Counter Derivatives Transactions, etc.; and

ja-jp	三　外国市場デリバティブ取引等（外国市場デリバティブ取引又はこれに係る第二条第八項第二号若しくは第三号に掲げる行為をいう。）
en-us	(iii) Foreign Market Transaction of Derivatives, etc. (meaning Foreign Market Transaction of Derivatives and acts set forth in Article 2, paragraph (8), item (ii) or (iii) in connection with the same).

ja-jp	（金融機関の登録）
en-us	(Registration of Financial Institutions)

ja-jp	第三十三条の二　金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務を行おうとするときは、内閣総理大臣の登録を受けなければならない。
en-us	Article 33-2 A Financial Institution must be registered by the Prime Minister if it seeks to perform any of the following acts in the course of trade, or if it seeks to provide Investment Advisory and Agency Services or engage in Securities, etc. Management:

ja-jp	一　書面取次ぎ行為
en-us	(i) brokerage with written orders;

ja-jp	二　前条第二項各号に掲げる有価証券又は取引についての当該各号に定める行為（同条第一項ただし書に該当するものを除く。）
en-us	(ii) an act specified in one of the items of paragraph (2) of the preceding Article in connection with the Securities or transactions set forth in the relevant item (excluding those falling under the proviso to paragraph (1) of that Article);

ja-jp	三　デリバティブ取引等のうち有価証券関連デリバティブ取引等以外のもの（他の法律の定めるところにより投資の目的をもつて、又は信託契約に基づいて信託をする者の計算において行うものを除く。）又は第二条第八項第五号に掲げる行為のうち第二十八条第八項第七号に掲げるもの以外のもの
en-us	(iii) Derivatives Transactions, etc. other than Transactions of Securities-Related Derivatives, etc. (excluding those conducted for the purpose of investment pursuant to the provisions of other Acts or on the account of a person that entrusts the Financial Institution to do so based on a trust contract), or acts other than those set forth in Article 28, paragraph (8), item (vii) among those specified in Article 2, paragraph (8), item (v); or

ja-jp	四　第二条第八項第七号に掲げる行為
en-us	(iv) acts set forth in Article 2, paragraph (8), item (vii).

ja-jp	（金融機関の登録申請）
en-us	(Application for the Registration of a Financial Institution)

ja-jp	第三十三条の三　前条の登録を受けようとする者は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。
en-us	Article 33-3 (1) A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:

ja-jp	一　商号又は名称
en-us	(i) its trade name or name;

ja-jp	二　資本金の額、基金の総額又は出資の総額
en-us	(ii) the amount of stated capital, the total amount of funds, or the total amount of contributions;

ja-jp	三　役員の氏名又は名称
en-us	(iii) the names of its officers;

ja-jp	四　会計参与設置会社にあつては、会計参与の氏名又は名称
en-us	(iv) the names of its accounting advisors, if it is a company with accounting advisors;

ja-jp	五　本店その他の営業所又は事務所の名称及び所在地
en-us	(v) the names and locations of its head office and other business offices or offices;

ja-jp	六　他に事業を行つているときは、その事業の種類
en-us	(vi) if the person engages in other business, the business type; and

ja-jp	七　その他内閣府令で定める事項
en-us	(vii) other particulars specified by Cabinet Office Ordinance.

ja-jp	２　前項の登録申請書には、次に掲げる書類を添付しなければならない。
en-us	(2) The following documents must accompany the written application for registration referred to in the preceding paragraph:

ja-jp	一　第三十三条の五第一項第一号及び第二号に該当しないことを誓約する書面
en-us	(i) a document pledging that the applicant does not fall under Article 33-5, paragraph (1), items (i) and (ii);

ja-jp	二　損失の危険の管理方法、業務分掌の方法その他の業務の内容及び方法として内閣府令で定めるものを記載した書類
en-us	(ii) a document stating the person's way of managing the risk of loss, the way that duties are divided, and the other things specified by Cabinet Office Ordinance as constituting the business outline and business methods;

ja-jp	三　親法人等、子法人等その他の関係会社の状況として内閣府令で定めるものを記載した書類
en-us	(iii) a document stating the things specified by Cabinet Office Ordinance as constituting the person's status as a Parent Corporation, etc., Subsidiary Corporation, etc., or other affiliated company; and

ja-jp	四　前三号に掲げるもののほか、定款、登記事項証明書、貸借対照表、損益計算書その他内閣府令で定める書類
en-us	(iv) its articles of incorporation, certificate of registered information, balance sheet, profit and loss statement, and other documents specified by Cabinet Office Ordinance, other than those that are set forth in the preceding three items.

ja-jp	３　前項第四号に掲げる書類を添付する場合において、定款若しくは貸借対照表が電磁的記録で作成されているとき、又は損益計算書について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録（内閣府令で定めるものに限る。）を添付することができる。
en-us	(3) As concerns the documents set forth in item (iv) of the preceding paragraph accompanying a written application for registration, if the articles of incorporation or balance sheet have been prepared as electronic or magnetic records or if electronic or magnetic records have been prepared for a profit and loss statement in lieu of a written document, such electronic or magnetic records (limited to those specified by Cabinet Office Ordinance) may accompany the written application for registration in lieu of the written documents.

ja-jp	（金融機関登録簿への登録）
en-us	(Registration in a Financial Institutions Register)

ja-jp	第三十三条の四　内閣総理大臣は、第三十三条の二の登録の申請があつた場合においては、次条第一項の規定により登録を拒否する場合を除くほか、次に掲げる事項を金融機関登録簿に登録しなければならない。
en-us	Article 33-4 (1) Whenever an application is filed for the registration referred to in Article 33-2, unless the Prime Minister refuses the registration pursuant to the provisions of paragraph (1) of the following Article, the Prime Minister shall register the following particulars in a financial institutions register:

ja-jp	一　前条第一項各号に掲げる事項
en-us	(i) the particulars set forth in the items of paragraph (1) of the preceding Article; and

ja-jp	二　登録年月日及び登録番号
en-us	(ii) the date of registration and the registration number.

ja-jp	２　内閣総理大臣は、金融機関登録簿を公衆の縦覧に供しなければならない。
en-us	(2) The Prime Minister must make the financial institutions register available for public inspection.

ja-jp	（金融機関の登録の拒否等）
en-us	(Refusal etc. to Register a Financial Institution)

ja-jp	第三十三条の五　内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき（第三号にあつてはその行おうとする業務が投資助言・代理業のみであるときを除く。）、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。
en-us	Article 33-5 (1) The Prime Minister must refuse to effect a registration if the applicant for registration falls under one of the following items (with regard to item (iii), this excludes if the applicant seeks to conduct only Investment Advisory and Agency Services), or if the written application for registration or a document or electronic or magnetic record that is required to accompany it contains a false statement or record or omits a statement or record of a material fact:

ja-jp	一　第五十二条の二第一項の規定により第三十三条の二の登録を取り消され、第六十六条の二十第一項の規定により第六十六条の登録を取り消され、若しくは第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消され、その取消しの日から五年を経過しない者又はこの法律に相当する外国の法令の規定により当該外国において受けている同種類の登録（当該登録に類する許可その他の行政処分を含む。）を取り消され、その取消しの日から五年を経過しない者
en-us	(i) a person that has had the registration referred to in Article 33-2 rescinded pursuant to the provisions of Article 52-2, paragraph (1); that has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1); or that has had the registration referred to in Article 66-27 rescinded pursuant to Article 66-42, paragraph (1); if five years have not yet passed since the date of that rescission; or a person that had obtained a registration of the same kind in a foreign state pursuant to the provisions of a foreign law or regulation that is equivalent to this Act (including permission or any other administrative disposition similar to such a registration), but that has had that registration rescinded, if five years have not yet passed since the date of the rescission;

ja-jp	二　この法律、担保付社債信託法、金融機関の信託業務の兼営等に関する法律、商品先物取引法、投資信託及び投資法人に関する法律、宅地建物取引業法、出資の受入れ、預り金及び金利等の取締りに関する法律、割賦販売法、貸金業法、特定商品等の預託等取引契約に関する法律、商品投資に係る事業の規制に関する法律、不動産特定共同事業法、資産の流動化に関する法律、金融業者の貸付業務のための社債の発行等に関する法律、信託業法その他政令で定める法律又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなつた日から五年を経過しない者
en-us	(ii) a person that has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act; the Secured Bonds Trust Act; the Act on Engagement in Trust Business by a Financial Institution; the Commodity Futures Act; the Act on Investment Trusts and Investment Corporations; the Real Estate Brokerage Act; the Act Regulating the Receipt of Contributions, the Receipt of Deposits, and Interest Rates; the Installment Sales Act; the Money Lending Business Act; the Act on the Deposit, etc. Transaction Agreements of Specified Commodities, etc.; the Act Regulating Business Involving Commodity Investment; the Specified Joint Real Estate Ventures Act; the Act on the Securitization of Assets; the Act on Corporate Bond Issuance for Financial Corporations' Loan Business; the Trust Business Act; or any other Act specified by Cabinet Order, or for violating the provisions of a foreign law or regulation that is equivalent to one of these Acts, if five years have not yet passed since the day on which the person finished serving the sentence or ceased to be subject to its enforcement; or

ja-jp	三　登録金融機関業務（第三十三条の二の登録に係る業務をいう。以下同じ。）を適確に遂行するに足りる人的構成を有しない者
en-us	(iii) a person that does not have a sufficient personnel structure to perform the services of a registered financial institution (meaning business in connection with the registration set forth in Article 33-2; the same applies hereinafter) in an appropriate manner.

ja-jp	２　内閣総理大臣は、銀行、協同組織金融機関その他政令で定める金融機関に、第三十三条第二項第五号に掲げる取引について、同号に定める行為を業として行うことを登録する場合には、株券に係る取引の公正の確保のため必要な範囲内において内閣府令で定める条件を付してするものとする。
en-us	(2) If the Prime Minister registers that a bank or Cooperative Financial Institution, or any other financial institution specified by Cabinet Order, performs the act specified in Article 33, paragraph (2), item (v) in connection with transactions set forth in that item in the course of trade, the Prime Minister must add the conditions specified by Cabinet Office Ordinance within the necessary scope for ensuring fair transactions in connection with share certificates.

ja-jp	（変更の届出）
en-us	(Notification of a Change)

ja-jp	第三十三条の六　登録金融機関は、第三十三条の三第一項各号に掲げる事項について変更があつたときは、その日から二週間以内に、その旨を内閣総理大臣に届け出なければならない。
en-us	Article 33-6 (1) If the particulars set forth in one of the items of Article 33-3, paragraph (1) changes, the registered financial institution must notify the Prime Minister of this within two weeks from the day of the change.

ja-jp	２　内閣総理大臣は、前項の規定による届出を受理したときは、届出があつた事項を金融機関登録簿に登録しなければならない。
en-us	(2) Upon accepting a notification under the preceding paragraph, the Prime Minister shall register the particulars given in the notification in a financial institutions register.

ja-jp	３　登録金融機関は、第三十三条の三第二項第二号に掲げる書類に記載した業務の内容又は方法について変更があつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(3) If the business outline or business methods that a registered financial institution has stated in the documents set forth in Article 33-3, paragraph (2), item (ii) change, the registered financial institution must notify the Prime Minister of this without delay pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	第三十三条の七　第三十三条の規定は、内閣総理大臣が、銀行、協同組織金融機関その他政令で定める金融機関が総株主等の議決権の過半数を保有する者に、第二十九条の登録及び第三十条第一項の認可をすることを妨げるものではない。
en-us	Article 33-7 The provisions of Article 33 do not preclude the Prime Minister from granting the registration referred to in Article 29 or the authorization referred to in Article 30, paragraph (1) to a person in which a bank or Cooperative Financial Institution, or any other financial institution specified by Cabinet Order, holds the majority of all shareholders', etc. voting rights

ja-jp	（信託業務を営む場合等の特例等）
en-us	(Special Provisions, etc. for When Trust Business Is Engaged In)

ja-jp	第三十三条の八　銀行、協同組織金融機関その他政令で定める金融機関が金融機関の信託業務の兼営等に関する法律第一条第一項の認可を受けた金融機関である場合における第三十三条第一項及び第二項、第三十三条の二並びに第五十二条の二第一項第四号の規定の適用については、第三十三条第一項中「有価証券関連業又は投資運用業」とあるのは「有価証券関連業」と、同条第二項中「行われるもの及び当該金融機関が行う投資助言業務に関しその顧客から注文を受けて行われるもの」とあるのは「行われるもの」と、第三十三条の二中「投資助言・代理業若しくは有価証券等管理業務」とあるのは「投資助言・代理業、投資運用業（第二条第八項第十四号又は第十五号に掲げる行為（これらの規定の金銭その他の財産を信託財産として所有して行うものに限る。）を行う業務を除く。以下この章において同じ。）若しくは有価証券等管理業務」と、同号中「投資助言・代理業」とあるのは「投資助言・代理業又は投資運用業」とする。
en-us	Article 33-8 (1) With regard to the application of the provisions of Article 33, paragraphs (1) and (2); Article 33-2; and Article 52-2, paragraph (1), item (iv) if a bank or Cooperative Financial Institution, or any other financial institution specified by Cabinet Order, is a financial institution that has obtained the authorization referred to in Article 1, paragraph (1) of the Act on Engagement in Trust Business by a Financial Institution, in Article 33, paragraph (1), the phrase "Securities Services or Investment Management" is deemed to be replaced with "Securities Services"; in Article 33, paragraph (2), the term "excluding transactions conducted based on its solicitation of a customer for such an order and transactions conducted upon the receipt of an order from the customer in connection with the Financial Institution's Investment Advisory Services" is deemed to be replaced with "excluding transactions conducted based on its solicitation of a customer for such an order"; in Article 33-2, the term "Investment Advisory and Agency Services or Securities, etc. Management" is deemed to be replaced with "Investment Advisory and Agency Services, Investment Management (excluding the business of performing the acts set forth in Article 2, paragraph (8), item (xiv) or (xv) (limited to acts performed with the money under these provisions or other properties held as trust property); hereinafter the same applies in this Chapter), or Securities, etc. Management"; and in Article 52-2, paragraph (1), item (iv), the term "Investment Advisory and Agency Services" is deemed to be replaced with "Investment Advisory and Agency Services or Investment Management".

ja-jp	２　第二十九条の規定は、次の各号に掲げる者が政令で定めるところにより登録金融機関を代理して当該各号に規定する業務（以下この条において「特定金融商品取引業務」という。）を行う場合には、適用しない。この場合において、特定金融商品取引業務を行う者は、その者が代理する登録金融機関の使用人とみなして、この法律の規定を適用する。
en-us	(2) The provisions of Article 29 do not apply if a person set forth in one of the following items acts as the agent for a registered financial institution in providing the services prescribed in the relevant item (hereinafter referred to as "Specified Financial Instruments Transaction Services" in this Article) pursuant to the provisions of Cabinet Order. In this case, the person that provides Specified Financial Instruments Transaction Services is deemed to be an employee of the registered financial institution that the person acts as the agent for, and the provisions of this Act apply:

ja-jp	一　登録金融機関の代理を行う者のうち政令で定める者　第三十三条第二項第二号に掲げる有価証券につき同号に定める行為を行う業務
en-us	(i) a person that acts as the agent for a registered financial institution and that is specified by Cabinet Order: the business of performing acts specified in Article 33, paragraph (2), item (ii) with regard to Securities set forth in that item;

ja-jp	二　登録金融機関の代理を行う者のうち次に掲げる者　第二条第二十五項第二号に掲げる金融指標に係る同条第二十二項第二号に掲げる取引のうち、当該登録金融機関が当該取引の相手方から金銭を受領し、これに対して約定数値と現実数値の差に基づいて算出される金銭を支払うことを約する行為（同条第二十五項第二号に掲げる金融指標に係る変動により当該相手方があらかじめ支払つた金銭の額を上回る損失を受けるおそれがないものに限る。）を行う業務
en-us	(ii) a person that acts as agent for a registered financial institution and that is set forth in the following: among transactions set forth in Article 2, paragraph (22), item (ii) that are connected with the Financial Indicators set forth in Article 2, paragraph (25), item (ii), the business of performing acts in which the registered financial institution promises to receive money from the other party to a transaction and to pay the other party the amount of money calculated based on the difference between the Agreed Figure and the Actual Figure (but only if said other party has no risk of incurring a loss exceeding the amount of money the other party has paid in advance due to the fluctuation of a Financial Indicator set forth in Article 2, paragraph (25), item (ii));

ja-jp	イ　個人である損害保険代理店（保険業法第二条第二十一項に規定する損害保険代理店をいう。以下この号において同じ。）
en-us	(a) a Non-life Insurance Agent (meaning a Non-life Insurance Agent as prescribed in Article 2, paragraph (21) of the Insurance Business Act; hereinafter the same applies in this item) that is an individual;

ja-jp	ロ　個人である損害保険代理店の使用人のうち保険業法第三百二条の規定による届出が行われているもの
en-us	(b) the employee of an individual Non-life Insurance Agent, for which the notification under the provisions of Article 302 of the Insurance Business Act has been made;

ja-jp	ハ　法人である損害保険代理店の役員又は使用人のうち保険業法第三百二条の規定による届出が行われているもの
en-us	(c) the officer or employee of a corporate Non-life Insurance Agent, for which a notification under the provisions of Article 302 of the Insurance Business Act has been made; and

ja-jp	ニ　法人である損害保険代理店の代表権を有する役員
en-us	(d) an officer that holds the authority of representation for a corporate Non-life Insurance Agent.

ja-jp	３　特定金融商品取引業務を行う者が代理する登録金融機関は、その者が特定金融商品取引業務につき顧客に加えた損害を賠償する責任を負う。ただし、当該登録金融機関がその者の選任につき相当の注意をし、かつ、その者の行う特定金融商品取引業務につき顧客に加えた損害の発生の防止に努めたときは、この限りでない。
en-us	(3) A registered financial institution for which a person that provides Specified Financial Instruments Transaction Services acts as an agent is liable for the damages that the person causes to a customer in connection with Specified Financial Instruments Transaction Services; provided, however, that this does not apply if the registered financial institution exercises due care in appointing the person, and endeavors to prevent the damage that the person causes to a customer in connection with the Specified Financial Instruments Transaction Services that the person performs.

ja-jp	第五款　特定投資家
en-us	Subsection 5 Professional Investors

ja-jp	（特定投資家への告知義務）
en-us	(Obligation to Notify Professional Investors)

ja-jp	第三十四条　金融商品取引業者等（金融商品取引業者又は登録金融機関をいう。以下同じ。）は、顧客を相手方とし、又は顧客のために金融商品取引行為（第二条第八項各号に掲げる行為をいう。以下同じ。）を行うことを内容とする契約（以下「金融商品取引契約」という。）の申込みを特定投資家（同条第三十一項第四号に掲げる者に限る。）から受けた場合であつて、当該申込みに係る金融商品取引契約と同じ金融商品取引契約の種類として内閣府令で定めるもの（以下この款において「契約の種類」という。）に属する金融商品取引契約を過去に当該特定投資家との間で締結したことがない場合には、当該申込みに係る金融商品取引契約を締結するまでに、当該特定投資家に対し、当該特定投資家が次条第一項の規定による申出ができる旨を告知しなければならない。
en-us	Article 34 If a Financial Services Provider, etc. (meaning a Financial Services Provider or registered financial institution; the same applies hereinafter) receives an offer from a Professional Investor (limited to one set forth in Article 2, paragraph (31), item (iv)) for a contract for the Financial Services Provider, etc. to perform an act that constitutes a Financial Instruments transaction (meaning an act as set forth in the items of Article 2, paragraph (8); the same applies hereinafter) with the customer as the other party or on behalf of the customer (hereinafter such contract is referred to as a "Financial Instruments Transaction Contract"), and has never in the past concluded a Financial Instruments Transaction Contract with that Professional Investor of a type specified by Cabinet Office Ordinance as constituting the same contract type as the Financial Instruments Transaction Contract to which the offer pertains (hereinafter referred to as a "Contract Type" in this Subsection), the Financial Services Provider, etc., before concluding the Financial Instruments Transaction Contract to which the offer pertains, must notify that Professional Investor that the Professional Investor may make a request under the provisions of paragraph (1) of the following Article.

ja-jp	（特定投資家が特定投資家以外の顧客とみなされる場合）
en-us	(Cases in Which a Professional Investor Is Deemed to Be a Customer Other Than a Professional Investor)

ja-jp	第三十四条の二　特定投資家（第二条第三十一項第四号に掲げる者に限る。）は、金融商品取引業者等に対し、契約の種類ごとに、当該契約の種類に属する金融商品取引契約に関して自己を特定投資家以外の顧客として取り扱うよう申し出ることができる。
en-us	Article 34-2 (1) For each Contract Type, a Professional Investor (limited to one as set forth in Article 2, paragraph (31), item (iv)) may request a Financial Services Provider, etc. to treat the Professional Investor as a customer other than a Professional Investor with regard to Financial Instruments Transaction Contracts that are of the same Contract Type.

ja-jp	２　金融商品取引業者等は、前項の規定による申出を受けた後最初に当該申出に係る契約の種類に属する金融商品取引契約（以下この条において「対象契約」という。）の締結の勧誘又は締結のいずれかを行うまでに、当該申出を承諾しなければならない。
en-us	(2) Upon receiving a request under the provisions of the preceding paragraph, a Financial Services Provider, etc. must approve that request by the time it solicits the conclusion of the first Financial Instruments Transaction Contract thereafter that is of the same Contract Type as that to which the request pertains (hereinafter referred to as a "Subject Contract" in this Article) or by the time it concludes such a contract.

ja-jp	３　金融商品取引業者等は、前項の規定により承諾する場合には、第一項の規定による申出をした特定投資家（以下この条において「申出者」という。）に対し、あらかじめ、次に掲げる事項を記載した書面を交付しなければならない。
en-us	(3) Before a Financial Services Provider, etc. approves a request pursuant to the provisions of the preceding paragraph, it shall deliver a document stating the following particulars to the Professional Investor that submitted the request under paragraph (1) (hereinafter referred to as a "Applicant" in this Article):

ja-jp	一　前項の規定により承諾する日（以下この条において「承諾日」という。）
en-us	(i) the day on which the request is approved pursuant to the provisions of the preceding paragraph (hereinafter referred to as the "Approval Date" in this Article);

ja-jp	二　対象契約の属する契約の種類
en-us	(ii) the Contract Type to which the Subject Contract belongs;

ja-jp	三　承諾日以後に対象契約の締結の勧誘又は締結をする場合において、当該申出者を特定投資家以外の顧客として取り扱う旨
en-us	(iii) an indication that it will treat the Applicant as a customer other than a Professional Investor if it solicits the Applicant to conclude a Subject Contract or concludes a Subject Contract with the Applicant on or after the Approval Date; and

ja-jp	四　その他内閣府令で定める事項
en-us	(iv) other particulars specified by Cabinet Office Ordinance.

ja-jp	４　金融商品取引業者等は、前項の規定による書面の交付に代えて、政令で定めるところにより、申出者の承諾を得て、当該書面に記載すべき事項を電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて内閣府令で定めるものにより提供することができる。この場合において、当該金融商品取引業者等は、当該書面を交付したものとみなす。
en-us	(4) With the consent of the Applicant and pursuant to the provisions of Cabinet Order, in lieu of delivering the document under the provisions of the preceding paragraph, a Financial Services Provider, etc. may provide the Applicant with the particulars that are required to be stated in that document by means of an electronic data processing system or by any other means of information and communications technology specified by Cabinet Office Ordinance. In doing this, the Financial Services Provider, etc. is deemed to have delivered the document.

ja-jp	５　金融商品取引業者等が第二項の規定による承諾及び第三項の規定による書面の交付をした場合であつて、申出者が次に掲げる者である場合におけるこの法律（この款を除く。）の規定の適用については、当該申出者は、特定投資家以外の顧客とみなす。
en-us	(5) With regard to the application of the provisions of this Act (excluding this Subsection) if a Financial Services Provider, etc. gives the approval under the provisions of paragraph (2) or delivers the document under the provisions of paragraph (3), and the Applicant is a person set forth in one of the following items, the Applicant is deemed to be a customer other than a Professional Investor:

ja-jp	一　当該金融商品取引業者等が承諾日以後に行う対象契約の締結の勧誘の相手方
en-us	(i) the other party to the Financial Services Provider's, etc. solicitation to conclude a Subject Contract on or after the Approval Date; or

ja-jp	二　当該金融商品取引業者等が承諾日以後に締結する対象契約の相手方
en-us	(ii) the other party with which the Financial Services Provider, etc. concludes a Subject Contract on or after the Approval Date.

ja-jp	６　金融商品取引業者等は、対象契約（第二条第八項第二号から第四号まで、第十号及び第十三号に規定する代理を行うことを内容とするものに限る。以下この項及び第八項において「特定対象契約」という。）の締結に関して申出者が前項の規定の適用を受ける場合において、当該特定対象契約に基づき当該申出者を代理して金融商品取引契約を締結するときは、当該金融商品取引契約の相手方である他の金融商品取引業者等（次項及び第八項において「相手方金融商品取引業者等」という。）に対し、あらかじめ、当該金融商品取引契約に関して申出者が特定投資家以外の顧客とみなされる旨を告知しなければならない。
en-us	(6) If the preceding paragraph applies to an Applicant with regard to the conclusion of a Subject Contract (limited to one that entails the Financial Services Provider, etc. acting as an agent as provided in Article 2, paragraph (8), items (ii) to (iv) inclusive, (x) and (xiii); hereinafter referred to as a "Specified Subject Contract" in this paragraph and paragraph (8)), before the Financial Services Provider, etc. concludes a Financial Instruments Transaction Contract on behalf of the Applicant based on the Specified Subject Contract, the Financial Services Provider, etc. must notify the other Financial Services Provider, etc. with which the Financial Instruments Transaction Contract is to be concluded (hereinafter referred to as the "Counterparty Financial Services Provider, etc." in the following paragraph and paragraph (8)) that the Applicant is deemed to be a customer other than a Professional Investor in connection with the Financial Instruments Transaction Contract.

ja-jp	７　金融商品取引業者等が前項の規定による告知をした場合には、相手方金融商品取引業者等に対しては、前条の規定は、適用しない。
en-us	(7) If a Financial Services Provider, etc. gives a notification under the preceding paragraph, the provisions of the preceding Article do not apply to the Counterparty Financial Services Provider, etc.

ja-jp	８　特定対象契約を締結した金融商品取引業者等が第六項の規定による告知をした場合には、当該金融商品取引業者等が当該特定対象契約に基づき申出者を代理して相手方金融商品取引業者等との間で締結する金融商品取引契約については、当該申出者を特定投資家以外の顧客とみなして、この法律（この款を除く。）の規定を適用する。
en-us	(8) If a Financial Services Provider, etc. that has concluded a Specified Subject Contract gives a notification under the provisions of paragraph (6), the Applicant is deemed to be a customer other than a Professional Investor with regard to any Financial Instruments Transaction Contract that the Financial Services Provider, etc. concludes with the Counterparty Financial Services Provider, etc. on behalf of the Applicant based on the Specified Subject Contract, and the provisions of this Act (excluding this Subsection) apply.

ja-jp	９　承諾日以後に申出者が新たに適格機関投資家となつた場合には、当該申出者が適格機関投資家となつた日以後は、第五項から前項までの規定は、適用しない。
en-us	(9) If an Applicant newly becomes a qualified institutional investor on or after the Approval Date, the provisions of paragraphs (5) to (9) inclusive do not apply to the Applicant on or after the day on which the Applicant becomes a qualified institutional investor.

ja-jp	１０　申出者は、承諾日以後いつでも、金融商品取引業者等に対し、対象契約に関して自己を再び特定投資家として取り扱うよう申し出ることができる。
en-us	(10) An Applicant may request a Financial Services Provider, etc. to treat the Applicantas a Professional Investor again with regard to Subject Contracts, at any time on or after the Approval Date;

ja-jp	１１　金融商品取引業者等は、前項の規定による申出を承諾する場合には、あらかじめ、この項の規定による承諾をする日その他の内閣府令で定める事項を記載した書面により、当該申出をした者（次項において「復帰申出者」という。）の同意を得なければならない。
en-us	(11) Before approving a request under the preceding paragraph, a Financial Services Provider, etc. must obtain the written consent of the person making that request (such person is referred to as the "Person Requesting Reinstatement" in the following paragraph), on a document that states the day on which the request has the approval under this paragraph and any other particulars specified by Cabinet Office Ordinance.

ja-jp	１２　金融商品取引業者等は、前項の規定による書面による同意に代えて、政令で定めるところにより、復帰申出者の承諾を得て、当該書面による同意を電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて内閣府令で定めるものにより得ることができる。この場合において、当該金融商品取引業者等は、当該書面による同意を得たものとみなす。
en-us	(12) With the agreement of the Person Requesting Reinstatement and pursuant to the provisions of Cabinet Order, in lieu of obtaining the written consent under the preceding paragraph, a Financial Services Provider, etc. may obtain written consent by means of an electronic data processing system or any other means of information and communications technology that is specified by Cabinet Office Ordinance. In doing this, the Financial Services Provider, etc. is deemed to have obtained written consent.

ja-jp	１３　金融商品取引業者等が第十一項の規定による承諾をした場合には、同項の規定による承諾をした日以後新たに第二項の規定により承諾する日の前日までの間は、第五項、第六項及び第八項の規定は、適用しない。
en-us	(13) If a Financial Services Provider, etc. gives the approval under paragraph (11), the provisions of paragraphs (5), (6), and (8) do not apply during the period from the day on which it gives the approval under paragraph (11) until the day immediately preceding the day on which it gives the new approval pursuant to paragraph (2).

ja-jp	（特定投資家以外の顧客である法人が特定投資家とみなされる場合）
en-us	(When a Customer Other than a Professional Investor Is a Corporation and That Corporation Is Deemed to Be a Professional Investor)

ja-jp	第三十四条の三　法人（特定投資家を除く。）は、金融商品取引業者等に対し、契約の種類ごとに、当該契約の種類に属する金融商品取引契約に関して自己を特定投資家として取り扱うよう申し出ることができる。
en-us	Article 34-3 (1) For each Contract Type, a corporation (excluding a Professional Investor) may request a Financial Services Provider, etc. to treat it as a Professional Investor with regard to Financial Instruments Transaction Contracts that are of the same Contract Type.

ja-jp	２　金融商品取引業者等は、前項の規定による申出を承諾する場合には、あらかじめ、次に掲げる事項を記載した書面により、当該申出をした法人（以下この条において「申出者」という。）の同意を得なければならない。この場合において、第二号に規定する期限日は、第一号に規定する承諾日から起算して一年を経過する日（内閣府令で定める場合にあつては、当該経過する日前で内閣府令で定める日）としなければならない。
en-us	(2) Before approving a request under the preceding paragraph, a Financial Services Provider, etc. must obtain the written consent of the corporation making the request (hereinafter referred to as the "Applicant" in this Article), on a document that states the following particulars. In this, it shall make the End Date provided for in item (ii) the day on which one year elapses counting from the Approval Date provided for in item (i) (or, in a case specified by Cabinet Office Ordinance, a day before that one year elapses, which is specified by Cabinet Office Ordinance):

ja-jp	一　この項の規定による承諾をする日（以下この条において「承諾日」という。）
en-us	(i) the day on which it gives the approval under this paragraph (hereinafter referred to as the "Approval Date" in this Article);

ja-jp	二　当該申出に係る契約の種類に属する金融商品取引契約（以下この条において「対象契約」という。）の締結の勧誘又は締結をする場合において、申出者を特定投資家として取り扱う期間の末日（以下この条において「期限日」という。）
en-us	(ii) the last day of the period during which it will treat the Applicant as a Professional Investor in soliciting the Applicant to conclude a Financial Instruments Transaction Contract that is of the same Contract Type as the one to which the request pertains (hereinafter such a contract is referred to as a "Subject Contract" in this Article; hereinafter such day is referred to as the "End Date" in this Article) or in concluding a Subject Contract with said Applicant before the End Date;

ja-jp	三　対象契約の属する契約の種類
en-us	(iii) the Contract Type to which the Subject Contract belongs;

ja-jp	四　当該申出者が次に掲げる事項を理解している旨
en-us	(iv) an indication that the Applicant understands the following particulars:

ja-jp	イ　特定投資家が金融商品取引業者等から対象契約の締結の勧誘を受け、又は当該金融商品取引業者等に対象契約の申込みをし、若しくは当該金融商品取引業者等と対象契約を締結する場合におけるこの法律の規定の適用の特例の内容として内閣府令で定める事項
en-us	(a) particulars specified by Cabinet Office Ordinance as special provisions for the application of this Act if a Professional Investor is solicited to conclude a Subject Contract by a Financial Services Provider, etc., if a Professional Investor offers a Subject Contract to the Financial Services Provider, etc., or concludes a Subject Contract with the Financial Services Provider, etc.; and

ja-jp	ロ　対象契約に関して特定投資家として取り扱われることがその知識、経験及び財産の状況に照らして適当ではない者が特定投資家として取り扱われる場合には、当該者の保護に欠けることとなるおそれがある旨
en-us	(b) an indication of the risk of insufficient protection involved, if a person that it is inappropriate to treat as a Professional Investor in connection with the Subject Contracts, in light of its knowledge, experience, and the state of its assets, will be treated as a Professional Investor.

ja-jp	五　期限日以前に対象契約の締結の勧誘又は締結をする場合において、当該申出者を特定投資家として取り扱う旨
en-us	(v) an indication that it will treat the Applicant as a Professional Investor in soliciting the Applicant to conclude a Subject Contract before the End Date or in concluding a Subject Contract with the Applicant before the End Date;

ja-jp	六　期限日後に対象契約の締結の勧誘又は締結をする場合において、当該申出者を特定投資家以外の顧客として取り扱う旨
en-us	(vi) an indication that it will treat the Applicant as a customer other than a Professional Investor in soliciting the Applicant to conclude a Subject Contract after the End Date or in concluding a Subject Contract with the Applicant after the End Date; and

ja-jp	七　その他内閣府令で定める事項
en-us	(vii) other particulars specified by Cabinet Office Ordinance.

ja-jp	３　前条第十二項の規定は、前項の規定による書面による同意について準用する。
en-us	(3) The provisions of paragraph (12) of the preceding Article apply mutatis mutandis to the written consent under the preceding paragraph.

ja-jp	４　金融商品取引業者等が第二項の規定による承諾をし、かつ、申出者が同項の規定による書面による同意をした場合であつて、当該申出者が次に掲げる者である場合におけるこの法律（この款を除く。）の規定の適用については、当該申出者は、特定投資家とみなす。
en-us	(4) With regard to the application of the provisions of this Act (excluding this Subsection) if a Financial Services Provider, etc. gives the approval under paragraph (2), the Applicant gives the written consent under that paragraph, and the Applicant is a person set forth in one of the following items, the Applicant is deemed to be a Professional Investor:

ja-jp	一　当該金融商品取引業者等が承諾日から期限日までに行う対象契約の締結の勧誘の相手方
en-us	(i) a person that the Financial Services Provider, etc. solicits to conclude a Subject Contract during the period from the Approval Date to the End Date; or

ja-jp	二　当該金融商品取引業者等が承諾日から期限日までに締結する対象契約の相手方
en-us	(ii) a person with which the Financial Services Provider, etc. concludes a Subject Contract during the period from the Approval Date to the End Date.

ja-jp	５　金融商品取引業者等は、対象契約（第二条第八項第二号から第四号まで、第十号及び第十三号に規定する代理を行うことを内容とするものに限る。以下この項及び次項において「特定対象契約」という。）の締結に関して申出者が前項の規定の適用を受ける場合において、当該特定対象契約に基づき当該申出者を代理して期限日以前に金融商品取引契約を締結するときは、当該金融商品取引契約の相手方である他の金融商品取引業者等（次項において「相手方金融商品取引業者等」という。）に対し、あらかじめ、当該金融商品取引契約に関して申出者が特定投資家とみなされる旨を告知しなければならない。
en-us	(5) If the preceding paragraph applies to an Applicant in connection with the conclusion of a Subject Contract (limited to one that entails the Financial Services Provider, etc. acting as an agent as provided in Article 2, paragraph (8), items (ii) to (iv) inclusive, (x) and (xiii); hereinafter referred to as a "Specified Subject Contract" in this and the following paragraphs), and the Financial Services Provider, etc., acting as the Applicant's agent based on that Specified Subject Contract, concludes a Financial Instruments Transaction Contract before the Approval Date, it must notify the Counterparty Financial Services Provider, etc. with which the Financial Instruments Transaction Contract is to be concluded (referred to as the "Counterparty Financial Services Provider, etc." in the following paragraph) in advance, that the Applicant is deemed to be a Professional Investor with regard to the Financial Instruments Transaction Contract.

ja-jp	６　特定対象契約を締結した金融商品取引業者等が前項の規定による告知をした場合には、当該金融商品取引業者等が当該特定対象契約に基づき申出者を代理して相手方金融商品取引業者等との間で締結する金融商品取引契約（期限日以前に締結するものに限る。）については、当該申出者を特定投資家とみなして、この法律（この款を除く。）の規定を適用する。
en-us	(6) If a Financial Services Provider, etc. that has concluded a Specified Subject Contract gives a notification under the preceding paragraph, the Applicant is deemed to be a Professional Investor with regard to a Financial Instruments Transaction Contract that the Financial Services Provider, etc. concludes with the Counterparty Financial Services Provider, etc. while acting as the agent of the Applicant pursuant to the Specified Subject Contract (limited to a Financial Instruments Transaction Contract concluded before the End Date), and the provisions of this Act (excluding this Subsection) apply.

ja-jp	７　申出者は、期限日以前に対象契約の属する契約の種類に係る第一項の規定による申出（次項において「更新申出」という。）をする場合には、承諾日から起算して内閣府令で定める期間を経過する日以後にしなければならない。
en-us	(7) If the Applicant makes a request under paragraph (1) before the End Date for the same Contract Type as the Subject Contracts (such a request is referred to as the "Request for Renewal" in the following paragraph), the Applicant must do so on or after the day on which the period specified by Cabinet Office Ordinance elapses counting from the Approval Date.

ja-jp	８　申出者が更新申出をする場合における第二項及び前項の規定の適用については、第二項中「第一号に規定する承諾日」とあるのは「前回の期限日の翌日」と、前項中「承諾日」とあるのは「前回の期限日の翌日」とする。
en-us	(8) With regard to the application of the provisions of paragraph (2) and the preceding paragraph if a Applicant makes a Request for Renewal, in paragraph (2), the phrase "Approval Date prescribed in item (i)" is deemed to be replaced with "day following the previous End Date" and in the preceding paragraph, the term "Approval Date" is deemed to be replaced with "day following the previous End Date".

ja-jp	９　申出者は、承諾日以後いつでも、金融商品取引業者等に対し、対象契約に関して自己を再び特定投資家以外の顧客として取り扱うよう申し出ることができる。
en-us	(9) An Applicant may request a Financial Services Provider, etc. to treat it as a customer other than a Professional Investor again with regard to Subject Contracts, at any time on or after the Approval Date.

ja-jp	１０　金融商品取引業者等は、前項の規定による申出を受けた後最初に対象契約の締結の勧誘又は締結のいずれかを行うまでに、当該申出を承諾しなければならない。
en-us	(10) After receiving a request under the provisions of the preceding paragraph, a Financial Services Provider, etc. must approve said request by the time it solicits the conclusion of the first Subject Contract thereafter or by the time it first concludes such a contract thereafter.

ja-jp	１１　金融商品取引業者等は、前項の規定により承諾する場合には、第九項の規定による申出をした法人に対し、あらかじめ、前項の規定による承諾をする日その他の内閣府令で定める事項を記載した書面を交付しなければならない。
en-us	(11) Before approving a request pursuant to the provisions of the preceding paragraph, a Financial Services Provider, etc. must deliver a document stating the day on which it gives the approval under the preceding paragraph and any other particulars specified by Cabinet Office Ordinance to the corporation that submitted the request under paragraph (9).

ja-jp	１２　前条第四項の規定は、前項の規定による書面の交付について準用する。
en-us	(12) The provisions of paragraph (4) of the preceding Article apply mutatis mutandis to the delivery of documents under the preceding paragraph.

ja-jp	１３　金融商品取引業者等が第十項の規定による承諾をした場合には、同項の規定による承諾をした日以後新たに第二項の規定による承諾をする日の前日までの間は、第四項から第九項までの規定は、適用しない。
en-us	(13) If a Financial Services Provider, etc. gives the approval under paragraph (10), the provisions of paragraphs (4) to (9) inclusive do not apply for the period from the day of approval under paragraph (10) to the day immediately preceding the day on which it newly gives approval under paragraph (2).

ja-jp	（特定投資家以外の顧客である個人が特定投資家とみなされる場合）
en-us	(When a Customer Other Than a Professional Investor Is an Individual and That Individual Is Deemed to Be a Professional Investor)

ja-jp	第三十四条の四　次に掲げる個人（適格機関投資家を除く。）は、金融商品取引業者等に対し、契約の種類ごとに、当該契約の種類に属する金融商品取引契約に関して自己を特定投資家として取り扱うよう申し出ることができる。
en-us	Article 34-4 (1) For each Contract Type, an individual set forth in the following (excluding qualified institutional investors) may request a Financial Services Provider, etc. to treat that individual as a Professional Investor with regard to Financial Instruments Transaction Contracts that are of the same Contract Type:

ja-jp	一　商法第五百三十五条に規定する匿名組合契約を締結した営業者である個人（内閣府令で定めるものを除く。）その他これに類するものとして内閣府令で定める個人
en-us	(i) an individual that is the proprietor of a business and that has concluded an silent partnership agreement as prescribed in Article 535 of the Commercial Code (excluding those specified by Cabinet Office Ordinance), or any other individual specified by Cabinet Office Ordinance as being similar thereto; and

ja-jp	二　前号に掲げるもののほか、その知識、経験及び財産の状況に照らして特定投資家に相当する者として内閣府令で定める要件に該当する個人
en-us	(ii) an individual other than one set forth in the preceding item, which satisfies the requirements specified by Cabinet Office Ordinance as a person equivalent to a Professional Investor, in light of such individual's knowledge and experience and the state of that individual's assets.

ja-jp	２　金融商品取引業者等は、前項の規定による申出を受けた場合には、当該申出をした個人（以下この条において「申出者」という。）に対し、前条第二項第四号イ及びロに掲げる事項を記載した書面を交付するとともに、申出者が前項各号に掲げる者のいずれかに該当することを確認しなければならない。
en-us	(2) If a Financial Services Provider, etc. receives a request under the preceding paragraph, it must deliver a document stating the particulars set forth in paragraph (2), item (iv), sub-items (a) and (b) of the preceding Article to the individual that submitted the request (hereinafter referred to as a "Applicant" in this Article), and must confirm that the Applicant falls under one of the categories of persons set forth in the items of the preceding paragraph.

ja-jp	３　第三十四条の二第四項の規定は、前項の規定による書面の交付について準用する。
en-us	(3) The provisions of Article 34-2, paragraph (4) apply mutatis mutandis to the delivery of a document under the preceding paragraph.

ja-jp	４　申出者は、金融商品取引業者等が第六項において準用する前条第二項の規定による承諾をする日以後いつでも、当該金融商品取引業者等に対し、第一項の規定による申出に係る契約の種類に属する金融商品取引契約に関して自己を再び特定投資家以外の顧客として取り扱うよう申し出ることができる。
en-us	(4) An Applicant may request a Financial Services Provider, etc. to treat it as a customer other than a Professional Investor again with regard to Financial Instruments Transaction Contracts that are of the same Contract Type as the one to which the request under paragraph (1) pertains, at any time on or after the day on which the Financial Services Provider, etc. gives the approval under paragraph (2) of the preceding Article as applied mutatis mutandis pursuant to paragraph (6).

ja-jp	５　金融商品取引業者等は、前項の規定による申出を受けた後最初に当該申出に係る契約の種類に属する金融商品取引契約の締結の勧誘又は締結のいずれかを行うまでに、当該申出を承諾しなければならない。
en-us	(5) After receiving a request under the provisions of the preceding paragraph, a Financial Services Provider, etc. must approve said request by the time it solicits the conclusion of the first Financial Instruments Transaction Contract thereafter that is of the Contract Type to which the request pertains, or by the time it concludes the first such contract thereafter.

ja-jp	６　前条第二項から第八項までの規定は第一項の規定による申出を承諾する場合について、同条第十一項から第十三項までの規定は第四項の規定による申出を承諾する場合について、それぞれ準用する。この場合において、同条第二項中「当該申出をした法人」とあるのは「次条第二項に規定する申出者」と、同条第四項中「第二項の規定による承諾」とあるのは「次条第二項の規定による書面の交付及び確認並びに第二項の規定による承諾」と、同条第七項中「第一項」とあるのは「次条第一項」と、同条第十一項中「前項」とあるのは「次条第五項」と、「第九項の規定による申出をした法人」とあるのは「同条第四項の規定による申出をした個人」と、同条第十三項中「第十項」とあるのは「次条第五項」と、「第二項の規定による承諾」とあるのは「同条第二項の規定による書面の交付及び確認並びに第二項の規定による承諾」と、「第九項まで」とあるのは「第八項まで及び次条第四項」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。
en-us	(6) The provisions of paragraphs (2) to (8) inclusive of the preceding Article apply mutatis mutandis if a Financial Services Provider, etc. approves a request under paragraph (1), and the provisions of paragraphs (11) to (13) inclusive of that Article apply mutatis mutandis if a Financial Services Provider, etc. approves a request under paragraph (4). In this case, in Article 34-3, paragraph (2), the phrase "the corporation making the request" is deemed to be replaced with "the Applicant under paragraph (2) of the following Article"; in Article 34-3, paragraph (4), the phrase "the approval under paragraph (2)" is deemed to be replaced with "the delivery of a document and the confirmation under paragraph (2) of the following Article and the approval under paragraph (2)"; in Article 34-3, paragraph (7), the term "paragraph (1)" is deemed to be replaced with "paragraph (1) of the following Article"; in Article 34-3, paragraph (11), the phrase "the preceding paragraph" is deemed to be replaced with "paragraph (5) of the following Article" and the phrase "the corporation that submitted the request under paragraph (9)" is deemed to be replaced with "the individual that submitted the request under paragraph (4) of that Article"; in Article 34-3, paragraph (13), the term "paragraph (10)" is deemed to be replaced with "paragraph (5) of the following Article", the phrase "gives approval under paragraph (2)" is deemed to be replaced with "delivers the documents and makes the confirmation under the provisions of paragraph (2) of that Article, as well as giving approval under paragraph (2)", and the term "(9) inclusive" is deemed to be replaced with "(8) inclusive and paragraph (4) of the following Article"; and any other necessary technical replacement of terms is specified by Cabinet Order.

ja-jp	（政令への委任）
en-us	(Delegation to Cabinet Order)

ja-jp	第三十四条の五　この款に定めるもののほか、特定投資家が特定投資家以外の顧客とみなされる場合又は特定投資家以外の顧客が特定投資家とみなされる場合の手続その他この款の規定の適用に関し必要な事項は、政令で定める。
en-us	Article 34-5 Beyond what is provided for in this Subsection, procedures for if a Professional Investor is deemed to be a customer other than a Professional Investor or if a customer other than a Professional Investor is deemed to be a Professional Investor and necessary particulars otherwise relevant to the application of the provisions of this Subsection are specified by Cabinet Order.

ja-jp	第二節　業務
en-us	Section 2 Services

ja-jp	第一款　通則
en-us	Subsection 1 General Rules

ja-jp	（第一種金融商品取引業又は投資運用業を行う者の業務の範囲）
en-us	(Scope of Services for Persons Engaged in Type I Financial Instruments Business or Investment Management)

ja-jp	第三十五条　金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。以下この条において同じ。）は、金融商品取引業のほか、次に掲げる行為を業として行うことその他の金融商品取引業に付随する業務を行うことができる。
en-us	Article 35 (1) A Financial Services Provider (limited to one engaged in Type I Financial Instruments Business or Investment Management; hereinafter the same applies in this Article), in addition to the Financial Instruments Business, may perform the following acts in the course of trade and provide any other services incidental to the Financial Instruments Business:

ja-jp	一　有価証券の貸借又はその媒介若しくは代理
en-us	(i) the lending and borrowing of Securities, or intermediation or agency for the same;

ja-jp	二　第百五十六条の二十四第一項に規定する信用取引に付随する金銭の貸付け
en-us	(ii) money lending incidental to margin transactions prescribed in Article 156-24, paragraph (1);

ja-jp	三　顧客から保護預りをしている有価証券を担保とする金銭の貸付け（内閣府令で定めるものに限る。）
en-us	(iii) money lending secured by Securities that are deposited for safe custody by customers (limited to those specified by Cabinet Office Ordinance);

ja-jp	四　有価証券に関する顧客の代理
en-us	(iv) the provision of agency for customers in connection with Securities;

ja-jp	五　投資信託及び投資法人に関する法律第二条第十一項に規定する投資信託委託会社の第二条第一項第十号に掲げる有価証券に係る収益金、償還金若しくは解約金の支払又は当該有価証券に係る信託財産に属する有価証券その他の資産の交付に係る業務の代理
en-us	(v) the provision of agency for services by the settlor company of an investment trust defined in Article 2, paragraph (11) of the Act on Investment Trusts and Investment Corporations, which involve the payment of earnings, redemption moneys, or cancellation moneys in connection with Securities set forth in Article 2, paragraph (1), item (x), or for services by such a settler company which involve the delivery of Securities or any other assets that are among trust property in connection with the relevant Securities;

ja-jp	六　投資信託及び投資法人に関する法律第二条第十二項に規定する投資法人の第二条第一項第十一号に掲げる有価証券に係る金銭の分配、払戻金若しくは残余財産の分配又は利息若しくは償還金の支払に係る業務の代理
en-us	(vi) the provision of agency for services by an investment corporation as defined in Article 2, paragraph (12) of the Act on Investment Trusts and Investment Corporations, which involve the distribution of money, the distribution of refunds or residual assets, or the payment of interest or redemption moneys in connection with Securities set forth in Article 2, paragraph (1), item (xi) conducted;

ja-jp	七　累積投資契約（金融商品取引業者（有価証券等管理業務を行う者に限る。）が顧客から金銭を預かり、当該金銭を対価としてあらかじめ定めた期日において当該顧客に有価証券を継続的に売り付ける契約をいう。）の締結（内閣府令で定めるものに限る。）
en-us	(vii) the conclusion of a contract for cumulative investment (meaning a contract in which a Financial Services Provider (limited to one that engages in Securities, etc. Management) receives money deposited by a customer and sells Securities to that customer continuously on dates designated in advance while receiving consideration from that money) (limited to contracts specified by Cabinet Office Ordinance);

ja-jp	八　有価証券に関連する情報の提供又は助言（第二条第八項第十一号に掲げる行為に該当するものを除く。）
en-us	(viii) the provision of information or advice in relation to Securities (excluding acts falling under Article 2, paragraph (8), item (xi));

ja-jp	九　他の金融商品取引業者等の業務の代理（金融商品取引業（登録金融機関が行う登録金融機関業務を含む。）及び金融商品取引業に付随する業務（この号に規定する業務を除く。）のうち代理する金融商品取引業者が行うことができる業務に係るものに限り、第五号に掲げるものを除く。）
en-us	(ix) the provision of agency for services by a Counterparty Financial Services Provider, etc. (limited to agency involving the Financial Instruments Business (including services of a registered financial institution conducted by a registered financial institution) and any other services incidental to the Financial Instruments Business (excluding services prescribed in this item), which the relevant Financial Services Provider, etc. may conduct, and excluding those specified in item (v) above);

ja-jp	十　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の資産の保管
en-us	(x) the retention of the assets of a registered investment corporation as defined in Article 2, paragraph (13) of the Act on Investment Trusts and Investment Corporations;

ja-jp	十一　他の事業者の事業の譲渡、合併、会社の分割、株式交換若しくは株式移転に関する相談に応じ、又はこれらに関し仲介を行うこと。
en-us	(xi) the provision of consultation to any other person or firm in businesswith regard to a business transfer, merger, company split, share exchange, or share transfer, or intermediation in connection with the same;

ja-jp	十二　他の事業者の経営に関する相談に応じること。
en-us	(xii) the provision of consultation to any other person or firm in business with regard to management;

ja-jp	十三　通貨その他デリバティブ取引（有価証券関連デリバティブ取引を除く。）に関連する資産として政令で定めるものの売買又はその媒介、取次ぎ若しくは代理
en-us	(xiii) the purchase and sale of currencies and other assets specified by Cabinet Order as being related to Derivatives Transactions (excluding Transactions of Securities-Related Derivatives) or intermediation, brokerage, or agency for the same;

ja-jp	十四　譲渡性預金その他金銭債権（有価証券に該当するものを除く。）の売買又はその媒介、取次ぎ若しくは代理
en-us	(xiv) the purchase and sale of negotiable deposits and other monetary claims (excluding those that fall under the category of Securities), or intermediation, brokerage, or agency for the same; and

ja-jp	十五　次に掲げる資産に対する投資として、運用財産（投資運用業を行う金融商品取引業者等が第四十二条第一項に規定する権利者のため運用を行う金銭その他の財産をいう。以下同じ。）の運用を行うこと。
en-us	(xv) investment of invested assets (meaning money and other property invested by a Financial Services Provider, etc. that engages in Investment Management on behalf of a rights holder as provided for in Article 42, paragraph (1), as investments in the following assets; the same applies hereinafter):

ja-jp	イ　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特定資産（不動産その他の政令で定める資産を除く。）
en-us	(a) specified assets defined in Article 2, paragraph (1) of the Act on Investment Trusts and Investment Corporations (excluding real estate and other assets specified by Cabinet Order); and

ja-jp	ロ　イに掲げるもののほか、政令で定める資産
en-us	(b) assets specified by Cabinet Order other than those set forth in sub-item (a).

ja-jp	２　金融商品取引業者は、金融商品取引業及び前項の規定により行う業務のほか、次に掲げる業務を行うことができる。
en-us	(2) A Financial Services Provider, in addition to the Financial Instruments Business and other services provided pursuant to the provisions of the preceding paragraph, may provide the following services:

ja-jp	一　商品先物取引法第二条第二十一項に規定する商品市場における取引等に係る業務
en-us	(i) services connected with transactions on a commodity market, etc. defined in Article 2, paragraph (21) of the Commodity Futures Act;

ja-jp	二　商品の価格その他の指標に係る変動、市場間の格差等を利用して行う取引として内閣府令で定めるものに係る業務（前号に掲げる業務を除く。）
en-us	(ii) services connected with transactions conducted by using fluctuations in commodity prices and other indicators, market gaps, etc. as specified by Cabinet Office Ordinance (other than services already specified in the preceding item);

ja-jp	三　貸金業法第二条第一項に規定する貸金業その他金銭の貸付け又は金銭の貸借の媒介に係る業務
en-us	(iii) services connected with the money lending business as defined in Article 2, paragraph (1) of the Money Lending Business Act or other money loans, or intermediation for the lending and borrowing of money;

ja-jp	四　宅地建物取引業法第二条第二号に規定する宅地建物取引業又は同条第一号に規定する宅地若しくは建物の賃貸に係る業務
en-us	(iv) services connected with real estate brokerage as defined in Article 2, item (ii) of the Real Estate Brokerage Act or with the lease of real estate prescribed in item (i) of that Article;

ja-jp	五　不動産特定共同事業法第二条第四項に規定する不動産特定共同事業
en-us	(v) specified joint real estate ventures as defined in Article 2, paragraph (4) of the Specified Joint Real Estate Ventures Act;

ja-jp	五の二　商品投資に係る事業の規制に関する法律第二条第一項に規定する商品投資により、又は価格の変動が著しい物品若しくはその使用により得られる収益の予測が困難な物品として政令で定めるもの（同項第三号に規定する指定物品を除く。）の取得（生産を含む。）をし、譲渡をし、使用をし、若しくは使用をさせることにより、他人のため金銭その他の財産の運用を行う業務（第一号及び第二号に掲げる業務に該当するものを除く。）
en-us	(v)-2 services for investing money or other assets on behalf of another person, by means of commodity investment defined by Article 2, paragraph (1) of the Act Regulating Business Involving Commodity Investment, or through the acquisition (including production), transfer, or use of goods with substantial price volatility or goods specified by Cabinet Order as goods that make it difficult to estimate the profit generated from their use (excluding the designated goods prescribed in item (iii) of that paragraph) or by means of having such goods used (excluding services that fall under the category of service set forth in items (i) and (ii));

ja-jp	六　有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として、運用財産の運用を行う業務（前項第十五号に掲げる行為を行う業務並びに第一号、第二号及び前号に掲げる業務に該当するものを除く。）
en-us	(vi) services for investing invested assets (excluding services that fall under the category of services that entails performing the acts specified in item (xv) of the preceding paragraph, and also excluding services that fall under the category of services specified in items (i), (ii), and the preceding item) as an investment in assets other than Securities or rights arising from Derivatives Transactions; and

ja-jp	七　その他内閣府令で定める業務
en-us	(vii) other services specified by Cabinet Office Ordinance.

ja-jp	３　金融商品取引業者は、前項各号に掲げる業務を行うこととなつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(3) If a Financial Services Provider comes to engage in any of the services set forth in the items of the preceding paragraph, it must notify the Prime Minister of this without delay pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	４　金融商品取引業者は、金融商品取引業並びに第一項及び第二項の規定により行う業務のほか、内閣総理大臣の承認を受けた業務を行うことができる。
en-us	(4) A Financial Services Provider, in addition to the Financial Instruments Business and the services provided pursuant to paragraph (1) and paragraph (2), may perform services for which it has obtained the approval of the Prime Minister.

ja-jp	５　内閣総理大臣は、前項の承認の申請があつた場合には、当該申請に係る業務を行うことが公益に反すると認められるとき、又は当該業務に係る損失の危険の管理が困難であるために投資者の保護に支障を生ずると認められるときに限り、承認しないことができる。
en-us	(5) When an application is filed for the approval referred to in the preceding paragraph, the Prime Minister may only choose not to grant approval if it is found that the provision of the services under the application would be contrary to the public interest or if it is found that they would compromise the protection of investors due to the difficulty in managing the risk of loss in connection with the services.

ja-jp	６　金融商品取引業者は、第三項の規定により届け出た業務又は第四項の規定により承認を受けた業務を廃止したときは、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
en-us	(6) If a Financial Services Provider discontinues services of which it has given notice pursuant to paragraph (3) or services for which it has obtained approval pursuant to paragraph (4), it must notify the Prime Minister of this without delay.

ja-jp	７　第一項、第二項及び第四項の規定は、金融商品取引業者が第一項各号若しくは第二項各号に掲げる業務又は第四項の承認を受けた業務を行う場合において、これらの業務に関する法律の適用を排除するものと解してはならない。
en-us	(7) If a Financial Services Provider engages in services set forth in the items of paragraph (1) or items of paragraph (2) or engages in services for which it has received the approval referred to in paragraph (4), the provisions of paragraph (1), paragraph (2), and paragraph (4) must not be construed to preclude the application of Acts concerning these services.

ja-jp	（第二種金融商品取引業又は投資助言・代理業のみを行う者の兼業の範囲）
en-us	(Scope of Concurrent Business by Persons Who Only Engage in Type II Financial Instruments Business or Investment Advisory and Agency Services)

ja-jp	第三十五条の二　金融商品取引業者（第二種金融商品取引業又は投資助言・代理業のみを行う者に限る。次項において同じ。）は、金融商品取引業（第二種金融商品取引業又は投資助言・代理業に限る。）のほか、他の業務を兼業することができる。
en-us	Article 35-2 (1) A Financial Services Provider (limited to one that only engages in Type II Financial Instruments Business or Investment Advisory and Agency Services; the same applies in the following paragraph), in addition to doing Financial Instruments Business (limited to Type II Financial Instruments Business or Investment Advisory and Agency Services), may also do other business, concurrently.

ja-jp	２　前項の規定は、金融商品取引業者が同項に規定する他の業務を兼業する場合において、当該業務に関する法律の適用を排除するものと解してはならない。
en-us	(2) If a Financial Services Provider does any other business concurrently as prescribed in the preceding paragraph, the provisions of that paragraph must not be construed to preclude the application of Acts concerning that business.

ja-jp	（顧客に対する誠実義務）
en-us	(Duty of Sincerity to Customers)

ja-jp	第三十六条　金融商品取引業者等並びにその役員及び使用人は、顧客に対して誠実かつ公正に、その業務を遂行しなければならない。
en-us	Article 36 (1) A Financial Services Provider, etc. as well as its officers and employees must be sincere and fair to customers in the performance of its services.

ja-jp	２　特定金融商品取引業者等は、当該特定金融商品取引業者等又はその親金融機関等若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務（金融商品取引行為に係る業務その他の内閣府令で定める業務をいう。）に係る顧客の利益が不当に害されることのないよう、内閣府令で定めるところにより、当該金融商品関連業務に関する情報を適正に管理し、かつ、当該金融商品関連業務の実施状況を適切に監視するための体制の整備その他必要な措置を講じなければならない。
en-us	(2) A Specified Financial Services Provider, etc., pursuant to the provisions of Cabinet Office Ordinance, must appropriately manage information connected with Financial Instruments services (meaning services entailing acts that constitute Financial Instruments transactions and any other services specified by Cabinet Office Ordinance), and must establish a system for properly supervising the implementation status of Financial Instruments services and take any other measures as are necessary, in line with the transactions that the Specified Financial Services Provider, etc. or its Parent Financial Institution, etc. or Subsidiary Financial Institution, etc. conducts, so that the interests of the customers of the Financial Instruments services that the Specified Financial Services Provider, etc. or its Subsidiary Financial Institution, etc. provides are not unjustly prejudiced.

ja-jp	３　この条において「特定金融商品取引業者等」とは、金融商品取引業者等のうち、有価証券関連業を行う金融商品取引業者（第一種金融商品取引業を行うことにつき第二十九条の登録を受けた者に限る。）その他の政令で定める者をいう。
en-us	(3) The term "Specified Financial Services Provider, etc." as used in this Article means a Financial Services Provider, etc. that conducts Securities Services (limited to a person registered as referred to in Article 29 to engage in Type I Financial Instruments Business), or that is specified by Cabinet Order.

ja-jp	４　第二項の「親金融機関等」とは、特定金融商品取引業者等の総株主等の議決権の過半数を保有している者その他の当該特定金融商品取引業者等と密接な関係を有する者として政令で定める者のうち、金融商品取引業者、銀行、協同組織金融機関その他政令で定める金融業を行う者をいう。
en-us	(4) The term "Parent Financial Institution, etc." as used in paragraph (2) means a Financial Services Provider, a bank, a Cooperative Financial Institution, or any other person engaged in finance that is specified by Cabinet Order, which Cabinet Order specifies as being a person that holds the majority of all shareholders', etc. voting rights in a Specified Financial Services Provider, etc. or as being otherwise closely related to the relevant Specified Financial Services Provider.

ja-jp	５　第二項の「子金融機関等」とは、特定金融商品取引業者等が総株主等の議決権の過半数を保有している者その他の当該特定金融商品取引業者等と密接な関係を有する者として政令で定める者のうち、金融商品取引業者、銀行、協同組織金融機関その他政令で定める金融業を行う者をいう。
en-us	(5) The term "Subsidiary Financial Institution, etc." as used in paragraph (2) means a Financial Services Provider, a bank, a Cooperative Financial Institution, or any other person engaged in finance that is specified by Cabinet Order, which Cabinet Order specifies as being a person in which a Specified Financial Services Provider, etc. holds the majority of all shareholders', etc. voting rights or as being otherwise closely related to the relevant Specified Financial Services Provider, etc.

ja-jp	（標識の掲示）
en-us	(Posting of Signs)

ja-jp	第三十六条の二　金融商品取引業者等は、営業所又は事務所ごとに、公衆の見やすい場所に、内閣府令で定める様式の標識を掲示しなければならない。
en-us	Article 36-2 (1) A Financial Services Provider, etc. must post a sign in the format specified by Cabinet Office Ordinance in a place that is accessible to the public at each of its business offices or other offices.

ja-jp	２　金融商品取引業者等以外の者は、前項の標識又はこれに類似する標識を掲示してはならない。
en-us	(2) A person other than a Financial Services Provider, etc. must not post the sign referred to in the preceding paragraph or a sign similar thereto.

ja-jp	（名義貸しの禁止）
en-us	(Prohibition on Name Lending)

ja-jp	第三十六条の三　金融商品取引業者等は、自己の名義をもつて、他人に金融商品取引業（登録金融機関にあつては、登録金融機関業務。以下この款において同じ。）を行わせてはならない。
en-us	Article 36-3 A Financial Services Provider, etc. must not allow another person to engage in Financial Instruments Business (or, if it is a registered financial institution, to engage in the services of a registered financial institution; hereinafter the same applies in this Subsection) using the name of said Financial Services Provider, etc.

ja-jp	（社債の管理の禁止等）
en-us	(Prohibition on Corporate Bond Management)

ja-jp	第三十六条の四　金融商品取引業者（有価証券関連業を行う者に限る。次項において同じ。）は、会社法第七百二条に規定する社債管理者又は担保付社債信託法第二条第一項に規定する信託契約の受託会社となることができない。
en-us	Article 36-4 (1) A Financial Services Provider (limited to one that engages in Securities Services; the same applies in the following paragraph) may not become a bond manager as provided for in Article 702 of the Companies Act, nor may it become the trustee company under a trust contract provided for in Article 2, paragraph (1) of the Secured Bonds Trust Act.

ja-jp	２　金融商品取引業者は、他の法律の規定にかかわらず、引受人となることができる。
en-us	(2) Notwithstanding the provisions of other Acts, a Financial Services Provider may become an Underwriter.

ja-jp	（広告等の規制）
en-us	(Regulation of Advertising)

ja-jp	第三十七条　金融商品取引業者等は、その行う金融商品取引業の内容について広告その他これに類似するものとして内閣府令で定める行為をするときは、内閣府令で定めるところにより、次に掲げる事項を表示しなければならない。
en-us	Article 37 (1) When advertising the contents of its Financial Instruments Business or performing any similar act specified by Cabinet Office Ordinance, a Financial Services Provider, etc. must give the following particulars, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　当該金融商品取引業者等の商号、名称又は氏名
en-us	(i) the trade name or name of the Financial Services Provider, etc.;

ja-jp	二　金融商品取引業者等である旨及び当該金融商品取引業者等の登録番号
en-us	(ii) an indication that it is a Financial Services Provider, etc., and its registration number; and

ja-jp	三　当該金融商品取引業者等の行う金融商品取引業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして政令で定めるもの
en-us	(iii) the particulars of the contents of the Financial Instruments Business that the Financial Services Provider, etc. engages in, which is specified by Cabinet Order as material particulars that may have an impact on customers' judgment.

ja-jp	２　金融商品取引業者等は、その行う金融商品取引業に関して広告その他これに類似するものとして内閣府令で定める行為をするときは、金融商品取引行為を行うことによる利益の見込みその他内閣府令で定める事項について、著しく事実に相違する表示をし、又は著しく人を誤認させるような表示をしてはならない。
en-us	(2) When advertising the contents of its Financial Instruments Business or engaging in any similar act specified by Cabinet Office Ordinance, a Financial Services Provider, etc. must not make a representation that significantly conflicts with the fact of the matter or that could cause a person to have a serious misconception about the prospect of profiting from the performance of an act that constitutes a Financial Instruments transaction, or about any other matter that is specified by Cabinet Office Ordinance.

ja-jp	（取引態様の事前明示義務）
en-us	(Obligation to Clarify the Conditions of Transactions in Advance)

ja-jp	第三十七条の二　金融商品取引業者等は、顧客から有価証券の売買又は店頭デリバティブ取引に関する注文を受けたときは、あらかじめ、その者に対し自己がその相手方となつて当該売買若しくは取引を成立させるか、又は媒介し、取次ぎし、若しくは代理して当該売買若しくは取引を成立させるかの別を明らかにしなければならない。
en-us	Article 37-2 When a Financial Services Provider, etc. has had an order from a customer for the purchase or sale of Securities or for an Over-the-Counter Derivatives Transaction, it must give the customer clear notice, in advance, regarding whether said Financial Services Provider, etc. will conclude the purchase and sale or the transaction with the customer personally, as the other party, or whether it will conduct intermediation, brokerage, or agency for the purchase and sale or the transaction.