ja-jp	５　内閣総理大臣は、特例業務届出者が適格機関投資家等特例業務として開始した第一項第二号に掲げる行為に係る業務が適格機関投資家等特例業務に該当しなくなつたとき（適格機関投資家等（同項第一号イからハまでのいずれにも該当しないものに限る。）以外の者が同項第二号に規定する権利を有することとなつたときに限る。次項において同じ。）は、当該特例業務届出者に対し三月以内の期間を定めて必要な措置をとることを命ずることができる。
en-us	(5) If a business activity connected with an act set forth in paragraph (1), item (ii) which a Notifier of Specially Permitted Services has commenced as a specially permitted business activity for qualified institutional investors, etc. comes to no longer come under the purview of a specially permitted business activity for qualified institutional investors, etc. (but only if a person that is not a qualified institutional investor, etc. (that is, a qualified institutional investor, etc. that does not fall under one of the categories in paragraph (1), item (i), sub-items (a) to (c) inclusive) comes to hold the right prescribed in paragraph (1), item (ii); the same applies in the following paragraph), the Prime Minister may order the Notifier of Specially Permitted Services to take the necessary measures within a fixed period of no longer than three months.

ja-jp	６　特例業務届出者は、適格機関投資家等特例業務として開始した第一項第二号に掲げる行為に係る業務が適格機関投資家等特例業務に該当しなくなつたときは、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	(6) If a business activity connected with an act set forth in paragraph (1), item (ii) which a Notifier of Specially Permitted Services has commenced as a specially permitted business activity for qualified institutional investors, etc. comes to no longer come under the purview of a specially permitted business activity for qualified institutional investors, etc., the Notifier of Specially Permitted Services must notify the Prime Minister of this without delay.

ja-jp	７　内閣総理大臣は、特例業務届出者の業務に係る状況を確認する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、当該特例業務届出者、これと取引をする者又は当該特例業務届出者から業務の委託を受けた者に対し第二項の届出に関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	(7) If the Prime Minister finds it to be particularly necessary for confirming the business activity status of a Notifier of Specially Permitted Services, the Prime Minister, within the scope of this necessity, may order the Notifier of Specially Permitted Services, a person that conducts transactions with the Notifier of Specially Permitted Services, or a person that the Notifier of Specially Permitted Services has entrusted with its business, to submit reports or materials that should serve as a reference with regard to a notification under paragraph (2).

ja-jp	８　内閣総理大臣は、第一項第二号に掲げる行為に係る業務を行う特例業務届出者の業務に係る状況を確認する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、当該職員に当該特例業務届出者又は当該特例業務届出者から業務の委託を受けた者の営業所、事務所その他の施設に立ち入らせ、第二項の届出に関して質問させ、又は当該特例業務届出者の書類その他の物件の検査（同項の届出に関し必要なものに限る。）をさせることができる。
en-us	(8) If the Prime Minister finds it to be particularly necessary for confirming the business activity status of a Notifier of Specially Permitted Services in connection with an act set forth in paragraph (1), item (ii), the Prime Minister, within the scope of this necessity, may have the relevant officials enter the business office, office, or other facilities of the Notifier of Specially Permitted Services or of a person that the Notifier of Specially Permitted Services has entrusted with its business, may have those officials inquire about the notification under paragraph (2), and may have those officials inspect documents and other articles of the Notifier of Specially Permitted Services (but only as is necessary in connection with the notification under that paragraph).

ja-jp	（特例業務届出者の地位の承継等）
en-us	(Succession to the Position of a Notifier of Specially Permitted Services)

ja-jp	第六十三条の二　特例業務届出者が適格機関投資家等特例業務に係る事業の全部を譲渡したとき、又は特例業務届出者について合併、分割（当該事業の全部を承継させるものに限る。）若しくは相続があつたときは、当該事業の全部を譲り受けた者又は合併後存続する法人若しくは合併により設立された法人、分割により当該事業の全部を承継した法人若しくは相続人（相続人が二人以上ある場合においてその協議により当該事業を承継すべき相続人を定めたときは、その者）は、当該者が金融商品取引業者等である場合を除き、その特例業務届出者の地位を承継する。
en-us	Article 63-2 (1) If a Notifier of Specially Permitted Services transfers the whole of its business linked with specially permitted services for qualified institutional investors, etc., or is subject to a merger, split (limited to one in which the whole of business is succeeded to), or inheritance, the person to which the whole of business is transferred, the corporation surviving the merger, the corporation incorporated in the merger, or the corporation or heir that succeeds to the whole of business in the split (or, if there are two or more heirs and they reach an agreement in which they decide which of the heirs is to succeed to business, said person) succeeds to the position of a Notifier of Specially Permitted Services, unless that person is a Financial Services Provider, etc.

ja-jp	２　前項の規定により特例業務届出者の地位を承継した者は、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	(2) A person that succeeds to the position of a Notifier of Specially Permitted Services pursuant to the provisions of the preceding paragraph must notify the Prime Minister of this without delay.

ja-jp	３　特例業務届出者は、次の各号のいずれかに該当することとなつたときは、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	(3) If a Notifier of Specially Permitted Services comes to fall under one of the following items, it must notify the Prime Minister of this without delay:

ja-jp	一　適格機関投資家等特例業務を休止し、又は再開したとき。
en-us	(i) it suspends or resumes specially permitted services for qualified institutional investors, etc.;

ja-jp	二　適格機関投資家等特例業務を廃止したとき。
en-us	(ii) it discontinues specially permitted services for qualified institutional investors, etc.; or

ja-jp	三　その他内閣府令で定める場合に該当するとき。
en-us	(iii) it falls under any other case specified by Cabinet Office Ordinance.

ja-jp	４　特例業務届出者である法人が合併以外の事由により解散したときは、その清算人（解散が破産手続開始の決定による場合にあつては、破産管財人）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	(4) If a Notifier of Specially Permitted Services is a corporation, and that corporation is dissolved for reasons other than a merger, the liquidator (or, if the dissolution is due to an order to commence bankruptcy proceedings, the bankruptcy trustee) must notify the Prime Minister of this without delay.

ja-jp	（金融商品取引業者等が適格機関投資家等特例業務を行う場合）
en-us	(When a Financial Services Provider, etc. Engages in Specially Permitted Businesses for Qualified Institutional Investors, etc.)

ja-jp	第六十三条の三　適格機関投資家等特例業務を行う金融商品取引業者等（第六十三条第一項各号の行為を業として行うことについて第二十九条又は第三十三条の二の登録を受けている者を除く。）は、あらかじめ、内閣府令で定めるところにより、内閣総理大臣にその旨及び第六十三条第二項第五号に規定する業務の種別を届け出なければならない。
en-us	Article 63-3 (1) Before a Financial Services Provider, etc. engages in specially permitted services for qualified institutional investors, etc. (excluding one that has Article 29 or Article 33-2 registration for performing an act set forth in the items of Article 63, paragraph (1) in the course of trade), it must notify the Prime Minister of this and of the business category prescribed in Article 63, paragraph (2), item (v), pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　第六十三条第五項及び第六項並びに前条第三項の規定は、前項の規定による届出を行つた金融商品取引業者等について準用する。この場合において、これらの規定中「特例業務届出者」とあるのは、「金融商品取引業者等」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	(2) The provisions of Article 63, paragraphs (5) and (6) and paragraph (3) of the preceding Article apply mutatis mutandis to a Financial Services Provider, etc. that makes a notification under the provisions of the preceding paragraph. In this case, in these provisions, the term "Notifier of Specially Permitted Services" is deemed to be replaced with "Financial Services Provider, etc." and any other necessary technical replacement of terms is specified by Cabinet Order.

ja-jp	３　金融商品取引業者等が次の各号に掲げる業務を行う場合においては、当該各号に定める規定は、適用しない。
en-us	(3) If a Financial Services Provider, etc. engages in the business set forth in one of the following items, the provisions prescribed in said item do not apply:

ja-jp	一　第六十三条第一項第一号に掲げる行為を行う業務　第二節第一款（第三十八条（第一号に係る部分に限る。）及び第三十九条を除く。）の規定
en-us	(i) the business of performing the act set forth in Article 63, paragraph (1), item (i): the provisions of Section 2, Subsection 1 (excluding Article 38 (limited to the part that involves item (i)) and Article 39); and

ja-jp	二　第六十三条第一項第二号に掲げる行為を行う業務　第二節第一款（第三十八条（第一号に係る部分に限る。）及び第三十九条を除く。）及び第三款の規定
en-us	(ii) the business of performing the act set forth in Article 63, paragraph (1), item (ii): the provisions of Section 2, Subsection 1 (excluding Article 38 (limited to the part that involves item (i)) and Article 39) and Subsection 3.

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

ja-jp	第六十三条の四　この節に定めるもののほか、適格機関投資家等特例業務に係る届出の手続その他この節の規定の適用に関し必要な事項は、政令で定める。
en-us	Article 63-4 Beyond what is provided for in this Section, procedures for notification in connection with specially permitted services for qualified institutional investors, etc. and necessary particulars otherwise relevant to the application of the provisions of this Section are specified by Cabinet Order.

ja-jp	第七節　外務員
en-us	Section 7 Sales Representatives

ja-jp	（外務員の登録）
en-us	(Registration of Sales Representatives)

ja-jp	第六十四条　金融商品取引業者等は、勧誘員、販売員、外交員その他いかなる名称を有する者であるかを問わず、その役員又は使用人のうち、その金融商品取引業者等のために次に掲げる行為を行う者（以下「外務員」という。）の氏名、生年月日その他内閣府令で定める事項につき、内閣府令で定める場所に備える外務員登録原簿（以下「登録原簿」という。）に登録を受けなければならない。
en-us	Article 64 (1) A Financial Services Provider, etc. must have a registration made in a sales representatives register that is kept in a location set forth by Cabinet Office Ordinance (hereinafter referred to as the "Register"), bearing the name, birth date, and any other particular specified by Cabinet Office Ordinance, for any solicitor, sales person, agent, or other person among its officers and employees, irrespective of title, that performs the following acts on its behalf (hereinafter referred to as a "Sales Representative"):

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。）に係る次に掲げる行為
en-us	(i) the following acts involving 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	イ　第二条第八項第一号から第三号まで、第五号、第八号及び第九号に掲げる行為
en-us	(a) acts set forth in Article 2, paragraph (8), items (i) to (iii) inclusive, item (v), item (viii), and item (ix); and

ja-jp	ロ　次に掲げる行為
en-us	(b) the following acts:

ja-jp	（１）　売買又はその媒介、取次ぎ（有価証券等清算取次ぎを除く。）若しくは代理の申込みの勧誘
en-us	1. the solicitation of offers in connection with a purchase and sale or in connection with intermediation, brokerage (excluding Brokerage for the Clearing of Securities, etc.), or agency for a purchase and sale;

ja-jp	（２）　市場デリバティブ取引若しくは外国市場デリバティブ取引又はその媒介、取次ぎ（有価証券等清算取次ぎを除く。）若しくは代理の申込みの勧誘
en-us	2. the solicitation of offers in connection with Market Transactions of Derivatives or Foreign Market Transaction of Derivatives, or in connection with intermediation, brokerage (excluding Brokerage for the Clearing of Securities, etc.), or agency for Market Transaction of Derivatives or Foreign Market Transaction of Derivatives; and

ja-jp	（３）　市場デリバティブ取引又は外国市場デリバティブ取引の委託の勧誘
en-us	3. the solicitation of entrustment with Market Transaction of Derivatives or Foreign Market Transaction of Derivatives.

ja-jp	二　次に掲げる行為
en-us	(ii) the following acts:

ja-jp	イ　第二条第八項第四号、第六号及び第十号に掲げる行為
en-us	(a) acts set forth in Article 2, paragraph (8), items (iv), (vi), and (x); and

ja-jp	ロ　店頭デリバティブ取引等の申込みの勧誘
en-us	(b) solicitation of offers in connection with Over-the-Counter Derivatives Transactions, etc.

ja-jp	三　前二号に掲げるもののほか、政令で定める行為
en-us	(iii) beyond what is set forth in the preceding two items, acts specified by Cabinet Order.

ja-jp	２　金融商品取引業者等は、前項の規定により当該金融商品取引業者等が登録を受けた者以外の者に外務員の職務（同項各号に掲げる行為をいう。以下同じ。）を行わせてはならない。
en-us	(2) A Financial Services Provider, etc. must not allow a person other than one for which a registration has been made pursuant to the preceding paragraph to perform the duties of a Sales Representative (meaning acts set forth in the items of that paragraph; the same applies hereinafter).

ja-jp	３　第一項の規定により登録を受けようとする金融商品取引業者等は、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	(3) A Financial Services Provider, etc. seeking to have a registration made pursuant to the provisions of paragraph (1) must submit a written application for registration to the Prime Minister, in which it states the following particulars:

ja-jp	一　登録申請者の商号、名称又は氏名
en-us	(i) the trade name or name of the applicant for registration;

ja-jp	二　登録申請者が法人であるときは、その代表者の氏名
en-us	(ii) the name of its representative, if the applicant for registration is a corporation;

ja-jp	三　登録の申請に係る外務員についての次に掲げる事項
en-us	(iii) the following particulars of the Sales Representative to which the application for registration pertains:

ja-jp	イ　氏名及び生年月日
en-us	(a) the person's name and birth date;

ja-jp	ロ　役員又は使用人の別
en-us	(b) whether the person is an officer or an employee;

ja-jp	ハ　外務員の職務を行つたことの有無並びに外務員の職務を行つたことのある者については、その所属していた金融商品取引業者等又は金融商品仲介業者の商号、名称又は氏名及びその行つた期間
en-us	(c) whether the person has ever performed the duties of a Sales Representative, and if the person has performed the duties of a Sales Representative before, the trade name or name of the Financial Services Provider, etc. or Financial Instruments Intermediary of which the person was a part and the period during which the person performed those duties;

ja-jp	ニ　金融商品仲介業を行つたことの有無及び金融商品仲介業を行つたことのある者については、その行つた期間
en-us	(d) whether the person has ever engaged in Financial Instruments Intermediation, and if the person has engaged in Financial Instruments Intermediation before, the period during which the person engaged in such services; 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　前項の登録申請書には、登録を受けようとする外務員に係る履歴書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	(4) The resume of the Sales Representative that the applicant seeks to have registered and other documents specified by Cabinet Office Ordinance must accompany the written application for registration referred to in the preceding paragraph.

ja-jp	５　内閣総理大臣は、第三項の規定による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、直ちに第一項に定める事項を登録原簿に登録しなければならない。
en-us	(5) Whenever an application for registration under paragraph (3) is filed, unless the Prime Minister refuses the registration pursuant to the provisions of paragraph (1) of the following Article, the Prime Minister must immediately register the particulars prescribed in paragraph (1) in the Register.

ja-jp	６　内閣総理大臣は、第一項の登録をしたときは、書面により、その旨を登録申請者に通知しなければならない。
en-us	(6) Upon effecting a registration referred to in paragraph (1), the Prime Minister shall notify the applicant of this in writing.

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

ja-jp	第六十四条の二　内閣総理大臣は、登録の申請に係る外務員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その添付書類のうちに虚偽の記載があり、若しくは重要な事実の記載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 64-2 (1) If the Sales Representative to which an application for registration pertains falls under one of the following items, or if a written application for registration or an accompanying document includes a false statement or omits a statement of material fact, the Prime Minister must refuse that registration:

ja-jp	一　第二十九条の四第一項第二号イからトまでに掲げる者
en-us	(i) a person set forth in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive;

ja-jp	二　第六十四条の五第一項の規定により外務員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
en-us	(ii) a person that has had a registration as a Sales Representative rescinded pursuant to the provisions of Article 64-5, paragraph (1), if five years have not yet passed since the date of the rescission;

ja-jp	三　登録申請者以外の金融商品取引業者等又は金融商品仲介業者に所属する外務員として登録されている者
en-us	(iii) a person registered as being a Sales Representative affiliated with a Financial Services Provider, etc. or Financial Instruments Intermediary other than the applicant for registration; or

ja-jp	四　第六十六条の規定により登録されている者
en-us	(iv) a person that has been registered pursuant to the provisions of Article 66.

ja-jp	２　内閣総理大臣は、前条第一項の登録を拒否しようとするときは、登録申請者に通知して、当該職員に、当該登録申請者につき審問を行わせなければならない。
en-us	(2) Before seeking to refuse the registration referred to in paragraph (1) of the preceding Article, the Prime Minister must notify the applicant for registration and have the relevant officials conduct a hearing regarding the applicant for registration.

ja-jp	３　内閣総理大臣は、前条第一項の登録を拒否することとしたときは、書面により、その旨を登録申請者に通知しなければならない。
en-us	(3) If the Prime Minister decides to refuse the registration referred to in paragraph (1) of the preceding Article, the Prime Minister must notify the applicant for registration of this in writing.

ja-jp	（外務員の権限）
en-us	(Authority of a Sales Representative)

ja-jp	第六十四条の三　外務員は、その所属する金融商品取引業者等に代わつて、第六十四条第一項各号に掲げる行為に関し、一切の裁判外の行為を行う権限を有するものとみなす。
en-us	Article 64-3 (1) A Sales Representative is deemed to have the authority to perform any extra-judicial act in connection with the acts set forth in the items of Article 64, paragraph (1) on behalf of the Financial Services Provider, etc. to which the Sales Representative is affiliated.

ja-jp	２　前項の規定は、相手方が悪意であつた場合においては、適用しない。
en-us	(2) The provisions of the preceding paragraph do not apply if the other party has acted in bad faith.

ja-jp	（登録事項の変更等の届出）
en-us	(Notification of a Change to Registered Information)

ja-jp	第六十四条の四　金融商品取引業者等は、第六十四条第一項の規定により登録を受けている外務員について、次の各号のいずれかに該当する事実が生じたときは、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 64-4 If a fact falling under one of the following items occurs with regard to a Sales Representative that a Financial Services Provider, etc. has had registered pursuant to the provisions of Article 64, paragraph (1), it must notify the Prime Minister of this without delay:

ja-jp	一　第六十四条第三項第三号イ又はロに掲げる事項に変更があつたとき。
en-us	(i) a particular set forth in Article 64, paragraph (3), item (iii), sub-item (a) or (b) changes;

ja-jp	二　第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたとき。
en-us	(ii) the person comes to fall under any of Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive; or

ja-jp	三　退職その他の理由により外務員の職務を行わないこととなつたとき。
en-us	(iii) the person stops performing the duties of a Sales Representative due to having left the position or for other reasons.

ja-jp	（外務員に対する監督上の処分）
en-us	(Supervisory Measures for Sales Representatives)

ja-jp	第六十四条の五　内閣総理大臣は、登録を受けている外務員が次の各号のいずれかに該当する場合においては、その登録を取り消し、又は二年以内の期間を定めてその職務の停止を命ずることができる。
en-us	Article 64-5 (1) If a registered Sales Representative falls under one of the following items, the Prime Minister may rescind the registration or order a suspension of duties during a fixed period of no longer than two years:

ja-jp	一　第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたとき、又は登録の当時既に第六十四条の二第一項各号のいずれかに該当していたことが判明したとき。
en-us	(i) the person comes to fall under one of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, or is discovered to have fallen under one of the items of Article 64-2, paragraph (1) at the time of registration;

ja-jp	二　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）のうち第六十四条第一項各号に掲げる行為を行う業務又はこれに付随する業務に関し法令に違反したとき、その他外務員の職務に関して著しく不適当な行為をしたと認められるとき。
en-us	(ii) the person violates a law or regulation in connection with business involving the undertaking of any act set forth in the items of Article 64, paragraph (1) (or in connection with the services of a registered financial institution, if it is a registered financial institution) or services incidental thereto within the Financial Instruments Business, or the person is otherwise found to have committed an extremely inappropriate act in the course of duties as a Sales Representative; or

ja-jp	三　過去五年間に次条第三号の規定により登録を抹消された場合において、当該登録を受けていた間の行為（当該過去五年間の行為に限る。）が前号に該当していたことが判明したとき。
en-us	(iii) the person has had a registration rescinded pursuant to the provisions of item (iii) of the following Article during the last five years, and an act that the person performed during the period while the registration was in effect (limited to acts during the last five years) is discovered to have fallen under the preceding item.

ja-jp	２　内閣総理大臣は、前項の規定に基づいて処分をしようとするときは、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	(2) Irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to issue a disposition pursuant to the provisions of the preceding paragraph, the Prime Minister must conduct a hearing.

ja-jp	３　内閣総理大臣は、第一項の規定に基づいて処分をすることとしたときは、書面により、その旨を登録申請者に通知しなければならない。
en-us	(3) If the Prime Minister decides to issue a disposition based on the provisions of paragraph (1), the Prime Minister must notify the applicant for registration of this in writing.

ja-jp	（登録の抹消）
en-us	(Deletion of Registrations)

ja-jp	第六十四条の六　内閣総理大臣は、次に掲げる場合においては、登録原簿につき、外務員に関する登録を抹消する。
en-us	Article 64-6 In the following cases, the Prime Minister deletes the registration of a Sales Representative from the Register:

ja-jp	一　前条第一項の規定により外務員の登録を取り消したとき。
en-us	(i) the Prime Minster rescinds the registration of the Sales Representative pursuant to the provisions of paragraph (1) of the preceding Article;

ja-jp	二　外務員の所属する金融商品取引業者等が解散し、又は金融商品取引業（登録金融機関にあつては、登録金融機関業務）のうち第六十四条第一項各号に掲げる行為を行う業務を廃止したとき。
en-us	(ii) the Financial Services Provider, etc. with which the Sales Representative is affiliated is dissolved or discontinues the business of performing the acts set forth in the items of Article 64, paragraph (1) (or discontinues the services of a registered financial institution, if it is a registered financial institution) within the Financial Instruments Business;

ja-jp	三　退職その他の理由により外務員の職務を行わないこととなつた事実が確認されたとき。
en-us	(iii) it is confirmed that the person has stopped performing the duties of a Sales Representative due to having left the position or for other reasons; and

ja-jp	四　前三号に掲げるもののほか、内閣府令で定めるとき。
en-us	(iv) beyond what is set forth in the preceding three items, when so specified by Cabinet Office Ordinance.

ja-jp	（登録事務の委任）
en-us	(Delegation of Registration Work)

ja-jp	第六十四条の七　内閣総理大臣は、内閣府令で定めるところにより、協会（認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいう。以下この節において同じ。）に、第六十四条、第六十四条の二及び前三条に規定する登録に関する事務（以下この条及び第六十四条の九において「登録事務」という。）であつて当該協会に所属する金融商品取引業者等の外務員に係るものを行わせることができる。
en-us	Article 64-7 (1) The Prime Minister may have an association (meaning an Authorized Financial Instruments Business Association or Certified Financial Instruments Business Association as prescribed in Article 78, paragraph (2); hereinafter the same applies in this Section) do the work involved in the registration prescribed in Article 64, Article 64-2, and the preceding three Articles (hereinafter referred to as "Registration Work" in this Article and Article 64-9) in connection with the Sales Representative of a Financial Services Provider, etc. belonging to that association, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　内閣総理大臣は、内閣府令で定めるところにより、協会に所属しない金融商品取引業者等の外務員に係る登録事務（第六十四条の五に係るものを除く。）を一の協会を定めて行わせることができる。
en-us	(2) The Prime Minister may designate one association and have it do the Registration Work (excluding the work to which Article 64-5 pertains) in connection with the Sales Representative of a Financial Services Provider, etc. that does not belong to an association, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	３　内閣総理大臣は、前二項の規定により協会に登録事務を行わせることとしたときは、当該登録事務を行わないものとする。
en-us	(3) If the Prime Minister decides to have an association do the Registration Work pursuant to the provisions of the preceding two paragraphs, the Prime Minister is not to conduct that Registration Work.

ja-jp	４　協会は、第一項又は第二項の規定により登録事務を行うこととしたときは、その定款において外務員の登録に関する事項を定め、内閣総理大臣の認可を受けなければならない。
en-us	(4) If an association decides to do the Registration Work pursuant to the provisions of paragraph (1) or (2), it must specify the particulars of its registration of Sales Representatives in its articles of incorporation and obtain the authorization of the Prime Minister.

ja-jp	５　第一項又は第二項の規定により登録事務を行う協会は、第六十四条第五項の規定による登録、第六十四条の四の規定による届出に係る登録の変更、第六十四条の五第一項の規定による処分（登録の取消しを除く。）又は前条の規定による登録の抹消をした場合には、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	(5) If an association that does Registration Work pursuant to the provisions of paragraph (1) or (2) makes a registration under Article 64, paragraph (5), makes a change to a registration in connection with a notification under Article 64-4, reaches a disposition under Article 64-5, paragraph (1) (excluding the deletion of a registration), or deletes a registration as under the preceding Article, it must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	６　第一項又は第二項の規定による登録事務を行う協会が二以上ある場合には、各協会は、当該登録事務の適正な実施を確保するため、協会相互間の情報交換を促進するとともに、他の協会に対し、必要な協力及び情報の提供をするよう努めるものとする。
en-us	(6) If there are two or more associations that do the Registration Work under the provisions of paragraph (1) or (2), each association is to promote information exchange between or among related associations and endeavor to provide the necessary cooperation and information to other associations so as to ensure the appropriate implementation of Registration Work.

ja-jp	７　内閣総理大臣は、第一項の規定により登録事務を行う協会に所属する金融商品取引業者等の外務員が第六十四条の五第一項第一号から第三号までのいずれかに該当するにもかかわらず、当該協会が同項に規定する措置をしない場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、同項に規定する措置をすることを命ずることができる。
en-us	(7) If the Sales Representative of a Financial Services Provider, etc. which belongs to an association that does Registration Work pursuant to the provisions of paragraph (1) falls under one of the categories in Article 64-5, paragraph (1), items (i) to (iii) inclusive but the association does not take a measure prescribed in that paragraph, and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order the association to take a measure prescribed in that paragraph.

ja-jp	８　内閣総理大臣は、前項の規定に基づいて処分をしようとするときは、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	(8) Irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to issue a disposition based on the provisions of the preceding paragraph, the Prime Minister must conduct a hearing.

ja-jp	（登録手数料）
en-us	(Registration Fee)

ja-jp	第六十四条の八　外務員の登録を受けようとする金融商品取引業者等は、政令で定めるところにより、登録手数料を国（前条第一項又は第二項の規定により協会に登録する場合にあつては、協会）に納めなければならない。
en-us	Article 64-8 (1) A Financial Services Provider, etc. seeking to have a Sales Representative registered must pay a registration fee to the government (if registering with an association pursuant to the provisions of paragraph (1) or (2) of the preceding Article, to the Association) pursuant to the provisions of Cabinet Order.

ja-jp	２　前項の手数料で協会に納められたものは、当該協会の収入とする。
en-us	(2) The fee set forth in the preceding paragraph and paid to an association is the revenue of said association.

ja-jp	（登録事務についての審査請求）
en-us	(Requests for Review in Connection with Registration Work)

ja-jp	第六十四条の九　第六十四条の七第一項若しくは第二項の規定により登録事務を行う協会の第六十四条第三項の規定による登録の申請に係る不作為若しくは第六十四条の二第一項の規定による登録の拒否又は第六十四条の七第一項の規定により登録事務を行う協会の第六十四条の五第一項の規定による処分について不服がある金融商品取引業者等は、内閣総理大臣に対し、行政不服審査法（昭和三十七年法律第百六十号）による審査請求をすることができる。
en-us	Article 64-9 A Financial Services Provider, etc. that objects to the inaction of an association that does the Registration Work under Article 64-7, paragraph (1) or (2) in connection with an application for registration under Article 64, paragraph (3), that objects to such an association's refusal of a registration under Article 64-2, paragraph (1), or that objects to the Article 64-5, paragraph (1) disposition of an association that does the Registration Work under Article 64-7, paragraph (1), may file a request for review with the Prime Minister, pursuant to the Administrative Appeals Act (Act No. 160 of 1962).

ja-jp	第八節　雑則
en-us	Section 8 Miscellaneous Provisions

ja-jp	（職務代行者）
en-us	(Acting Representatives)

ja-jp	第六十五条　内閣総理大臣は、金融商品取引業者等（外国法人に限る。以下この条において同じ。）の国内における代表者が欠けた場合において、必要があると認めるときは、一時その職務を行うべき者（次項において「職務代行者」という。）を選任することができる。この場合において、当該金融商品取引業者等は、国内における主たる営業所又は事務所の所在地において、その登記をしなければならない。
en-us	Article 65 (1) If there is a position vacancy for the domestic representative of a Financial Services Provider, etc. (limited to a foreign corporation; hereinafter the same applies in this Article), and the Prime Minister finds it to be necessary, the Prime Minister may appoint a person to temporarily perform the duties of the domestic representative (referred to as an "Acting Representative" in the following paragraph). If this is the case, the Financial Services Provider, etc. must register the appointment in connection with the location of the principal business office or principal office in Japan.

ja-jp	２　内閣総理大臣は、前項の規定により職務代行者を選任したときは、金融商品取引業者等に対し、当該職務代行者に相当額の報酬を支払うべき旨を命ずることができる。
en-us	(2) If the Prime Minister appoints an Acting Representative pursuant to the provisions of the preceding paragraph, the Prime Minister may order the Financial Services Provider, etc. to pay the Acting Representative a reasonable amount of remuneration.

ja-jp	（外国法人等に対するこの法律の規定の適用に当たつての技術的読替え等）
en-us	(Technical Replacement of Terms in the Application of Provisions of This Act to Foreign Corporations)

ja-jp	第六十五条の二　金融商品取引業者等が外国法人又は外国に住所を有する個人である場合において、この法律の規定の適用に当たつての技術的読替えその他当該外国法人又は個人に対するこの法律の規定の適用に関し必要な事項は、政令で定める。
en-us	Article 65-2 If a Financial Services Provider, etc. is a foreign corporation or an individual domiciled in a foreign state, the technical replacement of the terms in the application of the provisions of this Act and necessary particulars otherwise relevant in the application of the provisions of this Act to the foreign corporation or individual are specified by Cabinet Order.

ja-jp	（裁判所の調査依頼）
en-us	(The Court's Request for an Investigation)

ja-jp	第六十五条の三　裁判所は、金融商品取引業者（第五十六条第一項又は第五十七条の九の規定により金融商品取引業者とみなされる者を含む。）の清算手続、破産手続、再生手続、更生手続又は承認援助手続において、内閣総理大臣に対し、意見を求め、又は検査若しくは調査を依頼することができる。
en-us	Article 65-3 (1) In liquidation proceedings, bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or recognition and assistance proceedings for a Financial Services Provider (including those that is deemed as a Financial Services Provider under the provision of Article 56, paragraph (1) or Article 57-9), the court may request the opinion of, or an inspection or investigation by, the Prime Minister.

ja-jp	２　内閣総理大臣は、前項に規定する手続において、必要があると認めるときは、裁判所に対し、意見を述べることができる。
en-us	(2) If the Prime Minister finds it to be necessary, the Prime Minister may state an opinion to the court during the proceedings prescribed in the preceding paragraph.

ja-jp	３　第五十六条の二第一項の規定は、第一項の規定により内閣総理大臣が裁判所から検査又は調査の依頼を受けた場合について準用する。
en-us	(3) The provisions of Article 56-2, paragraph (1) apply mutatis mutandis if the Prime Minister receives an inspection or investigation request from the court pursuant to the provisions of paragraph (1).

ja-jp	（内閣府令への委任）
en-us	(Delegation to Cabinet Office Ordinance)

ja-jp	第六十五条の四　第三十四条の五及び第六十三条の四に定めるもののほか、第二十九条から前条までの規定を実施するための手続その他必要な事項は、内閣府令で定める。
en-us	Article 65-4 Beyond what is provided for in Article 34-5 and Article 63-4, procedures for the implementation of the provisions of Article 29 to the preceding Article inclusive and particulars that are otherwise necessary for their implementation are specified by Cabinet Office Ordinance.

ja-jp	第六十五条の五　第二十九条の規定にかかわらず、信託会社（信託業法第二条第四項に規定する管理型信託会社を除く。次項及び第五項において同じ。）、外国信託会社（同法第二条第七項に規定する管理型外国信託会社を除く。次項及び第五項において同じ。）又は同法第五十条の二第一項の登録を受けた者は、第二条第二項第一号又は第二号に掲げる権利についての次に掲げる行為（次項において「信託受益権の売買等」という。）を業として行うことができる。
en-us	Article 65-5 (1) Notwithstanding the provisions of Article 29, a trust company (excluding a management-type trust company as prescribed in Article 2, paragraph (4) of the Trust Business Act; the same applies in the following paragraph and paragraph (5)), a foreign trust company (excluding a management-type foreign trust company as prescribed in Article 2, paragraph (7) of that Act; the same applies in the following paragraph and paragraph (5)), or a person registered as referred to in Article 50-2, paragraph (1) of that Act may perform the following acts in the course of its business in connection with the rights set forth in Article 2, paragraph (2), item (i) or (ii) (referred to as the "Purchase and Sale, etc. of a Beneficial Interest in a Trust" in the following paragraph):

ja-jp	一　売買（デリバティブ取引に該当するものを除く。）又はその代理若しくは媒介
en-us	(i) a purchase and sale (except one that falls under the category of a Derivatives Transaction), or agency or intermediation for a purchase and sale; and

ja-jp	二　第二条第八項第八号又は第九号に掲げる行為
en-us	(ii) the acts set forth in Article 2, paragraph (8), item (viii) or (ix).

ja-jp	２　信託会社、外国信託会社又は信託業法第五十条の二第一項の登録を受けた者が前項の規定により信託受益権の売買等を業として行う場合においては、これらの者を金融商品取引業者とみなして、第三十四条から第三十四条の五まで、第三十六条第一項、第三十六条の二第一項（同法第五十条の二第一項の登録を受けた者が信託受益権の売買等を業として行う場合に限る。）、第三十六条の三、第三十七条（第一項第二号を除く。）、第三十七条の二、第三十七条の三（第一項第二号を除く。）、第三十七条の四、第三十七条の六、第三十八条、第三十九条、第四十条、第四十条の四、第四十条の五、第四十五条第一号及び第二号、第四十七条から第四十七条の三まで、第五十一条、第五十二条第一項及び第二項、第五十六条の二第一項、第百九十条並びに第百九十四条の五第二項の規定（これらの規定に係る罰則を含む。）を適用する。この場合において、第五十二条第一項中「次の各号のいずれか」とあるのは「第六号又は第九号」と、「当該金融商品取引業者の第二十九条の登録を取り消し、第三十条第一項の認可を取り消し、又は六月以内の期間を定めて」とあるのは「六月以内の期間を定めて」と、同条第二項中「第二十九条の登録当時既に同号イからトまでのいずれかに該当していたことが判明したとき、又は前項第六号若しくは第八号から第十号までのいずれか」とあるのは「又は前項第六号若しくは第九号」とする。
en-us	(2) If a trust company, a foreign trust company, or a person registered as referred to in Article 50-2, paragraph (1) of the Trust Business Act makes a Purchase and Sale, etc. of a Beneficial Interest in a Trust in the course of its business pursuant to the provisions of the preceding paragraph, it is deemed to be a Financial Services Provider, and the provisions of Articles 34 to 34-5 inclusive; Article 36, paragraph (1); Article 36-2, paragraph (1) (but only if a person registered as referred to Article 50-2, paragraph (1) of the Trust Business Act makes a Purchase and Sale, etc. of a Beneficial Interest in a Trust in the course ofits business); Article 36-3; Article 37 (excluding paragraph (1), item (ii)); Article 37-2; Article 37-3 (excluding paragraph (1), item (ii)); Article 37-4; Article 37-6; Article 38; Article 39; Article 40; Article 40-4; Article 40-5; Article 45, items (i) and (ii); Articles 47 to 47-3 inclusive; Article 51; Article 52, paragraphs (1) and (2); Article 56-2, paragraph (1); Article 190; and Article 194-5, paragraph (2) (including penal provisions connected with these provisions) apply. In this case, in Article 52, paragraph (1), the phrase "any of the following items" is deemed to be replaced with "item (vi) or (ix)" and the phrase "rescind its Article 29 registration, rescind its Article 30, paragraph (1) authorization, or order the suspension of all or part of its business during a fixed period of no longer than six months" is deemed to be replaced with "order the suspension of all or part of its business during a fixed period of no longer than six months"; and in Article 52, paragraph (2), the phrase "is discovered to have fallen under one of the categories in sub-items (a) to (g) inclusive of that item at the time of the Article 29 registration, or comes to fall under one of the categories in item (vi) or items (viii) to (x) inclusive of the preceding paragraph" is deemed to be replaced with "or comes to fall under one of the categories in item (vi) or (ix) of the preceding paragraph".

ja-jp	３　独立行政法人住宅金融支援機構（次項において「機構」という。）が、独立行政法人住宅金融支援機構法（平成十七年法律第八十二号）第二十二条の規定による第二条第一項第十四号に掲げる有価証券若しくは同項第十七号に掲げる有価証券（同項第十四号に掲げる有価証券の性質を有するものに限る。）に表示される権利又は同条第二項第一号若しくは第二号に掲げる権利の販売（次項において「信託受益権の販売」という。）を行う場合には、第二十九条の規定は、適用しない。
en-us	(3) The provisions of Article 29 do not apply if the Japan Housing Finance Agency, Independent Administrative Agency (referred to as the "Agency" in the following paragraph) is sells rights indicated on the Securities set forth in Article 2, paragraph (1), item (xiv) or the Securities set forth in Article 2, paragraph (1), item (xvii) (limited to ones that have the nature of the Securities set forth in item (xiv) of that paragraph) or sells rights set forth in Article 2, paragraph (2), item (i) or (ii), pursuant to Article 22 of the Act on the Japan Housing Finance Agency, Independent Administrative Agency (Act No. 82 of 2005)(referred to as the "Sells a Beneficial Interest in a Trust" in the following paragraph).

ja-jp	４　機構が信託受益権の販売を行う場合においては、機構を金融商品取引業者とみなして、第三十四条から第三十四条の五まで、第三十六条第一項、第三十七条（第一項第二号を除く。）、第三十七条の三（第一項第二号を除く。）、第三十七条の四、第三十七条の六、第三十八条、第三十九条、第四十条、第四十条の四、第四十条の五並びに第四十五条第一号及び第二号の規定（これらの規定に係る罰則を含む。）を適用する。
en-us	(4) If the Agency Sells a Beneficial Interest in a Trust, the Agency is deemed to be a Financial Services Provider, and the provisions of Articles 34 to 34-5 inclusive; Article 36, paragraph (1); Article 37 (excluding paragraph (1), item (ii)); Article 37-3 (excluding paragraph (1), item (ii)); Article 37-4; Article 37-6; Article 38; Article 39; Article 40; Article 40-4; Article 40-5; and Article 45, items (i) and (ii) (including penal provisions connected with these provisions) apply.

ja-jp	５　この章の規定は、信託会社、外国信託会社、信託業法第五十条の二第一項の登録を受けた者、同法第五十一条第二項の規定による届出をした者又は同法第五十二条第一項の登録を受けた者が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。）を行う場合には、適用しない。
en-us	(5) The provisions of this Chapter do not apply if a trust company, foreign trust company, person registered as referred to in Article 50-2, paragraph (1) of the Trust Business Act, person that has made a notification under Article 51, paragraph (2) of that Act, or person registered as referred to in Article 52, paragraph (1) of that Act performs an act set forth in Article 2, paragraph (8), item (xiv) or (xv) (limited to one that it conducts while holding the money or other assets referred to in these provisions as trust property).

ja-jp	（金融商品取引業者等の自主的努力の尊重）
en-us	(Respect for the Voluntary Efforts of Financial Services Providers, etc.)

ja-jp	第六十五条の六　内閣総理大臣は、金融商品取引業者等、取引所取引許可業者又は第五十九条第一項の許可を受けた外国証券業者を監督するに当たつては、業務の運営についての金融商品取引業者等、取引所取引許可業者又は第五十九条第一項の許可を受けた外国証券業者の自主的な努力を尊重するよう配慮しなければならない。
en-us	Article 65-6 The Prime Minister, in supervising a Financial Services Provider, etc. or Authorized Exchange Transaction Operator, or in supervising a Foreign Securities Services Provider that has received Article 59, paragraph (1) permission, must give due consideration to respecting the voluntary efforts of the Financial Services Provider, etc., Authorized Operator for On-Exchange Transactions, or Foreign Securities Services Provider with Article 59, paragraph (1) permission, to run its business.

ja-jp	第三章の二　金融商品仲介業者
en-us	Chapter III-2 Financial Instruments Intermediaries

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

ja-jp	第六十六条　銀行、協同組織金融機関その他政令で定める金融機関以外の者（第一種金融商品取引業（第二十八条第一項に規定する第一種金融商品取引業をいう。以下この章において同じ。）を行う者及び登録金融機関の役員及び使用人を除く。）は、第二十九条の規定にかかわらず、内閣総理大臣の登録を受けて、金融商品仲介業を行うことができる。
en-us	Article 66 Notwithstanding the provisions of Article 29, a person other than a bank, a Cooperative Financial Institution, or a financial institution specified by Cabinet Order (but not a person engaged in Type I Financial Instruments Business (meaning Type I Financial Instruments Business as prescribed in Article 28, paragraph (1); hereinafter the same applies in this Chapter) and not the officer or employee of a registered financial institution) may be registered by the Prime Minister and engage in Financial Instruments Intermediation.

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

ja-jp	第六十六条の二　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。
en-us	Article 66-2 (1) A person seeking to be registered as referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it state the following particulars:

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

ja-jp	二　法人であるときは、その役員の氏名又は名称
en-us	(ii) the names of its officers, if it is a corporation;

ja-jp	三　金融商品仲介業を行う営業所又は事務所の名称及び所在地
en-us	(iii) the name and location of the business office or office for engaging in Financial Instruments Intermediation;

ja-jp	四　委託を受ける金融商品取引業者（第一種金融商品取引業又は投資運用業（第二十八条第四項に規定する投資運用業をいう。第六十六条の十四第一号ハにおいて同じ。）を行う者に限る。）又は登録金融機関（以下この章及び第四章において「所属金融商品取引業者等」という。）の商号又は名称
en-us	(iv) the trade name or name of the Financial Services Provider (limited to one engaged in Type I Financial Instruments Business or Investment Management (meaning Investment Management as prescribed in Article 28, paragraph (4); the same applies in Article 66-14, item (i), sub-item (c)) or registered financial institution entrusting the applicant (hereinafter referred to as the "Entrusting Financial Services Provider, etc." in this Chapter and Chapter IV);

ja-jp	五　他に事業を行つているときは、その事業の種類
en-us	(v) if the person engages in other business, the business type; and

ja-jp	六　その他内閣府令で定める事項
en-us	(vi) 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　第六十六条の四第一号又は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 the purview of Article 66-4, item (i) or (ii);

ja-jp	二　金融商品仲介業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 things specified by Cabinet Office Ordinance as constituting the business outline and business methods for Financial Instruments Intermediation;

ja-jp	三　法人であるときは、定款及び会社の登記事項証明書（これらに準ずるものを含む。）
en-us	(iii) its articles of incorporation and the certificate of registered information for the company (including documents equivalent to these), if it is a corporation; and

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

ja-jp	３　前項第三号の場合において、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) In the case referred to in item (iii) of the preceding paragraph, if the articles of incorporation have been prepared as electronic or magnetic records, electronic or magnetic records (limited to those specified by Cabinet Office Ordinance) may accompany a written application for registration lieu of written documents.

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

ja-jp	第六十六条の三　内閣総理大臣は、第六十六条の登録の申請があつた場合においては、次条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仲介業者登録簿に登録しなければならない。
en-us	Article 66-3 (1) Whenever an application is filed for the registration referred to in Article 66, unless the Prime Minister refuses the registration pursuant to the provisions of the following Article, the Prime Minister must register the following particulars in a Financial Instruments Intermediaries 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 registration number.

ja-jp	２　内閣総理大臣は、金融商品仲介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 Instruments Intermediaries register available for public inspection.

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

ja-jp	第六十六条の四　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 66-4 The Prime Minister must refuse a registration if the applicant for registration falls under one of the following items, 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 if it omits a statement or record of a material fact:

ja-jp	一　登録申請者が個人であるときは、第二十九条の四第一項第二号イからトまでのいずれかに該当する者
en-us	(i) the applicant for registration is an individual that falls under one of the categories in sub-items (a) to (g) inclusive of Article 29-4, paragraph (1), item (ii);

ja-jp	二　登録申請者が法人であるときは、次のいずれかに該当する者
en-us	(ii) the applicant for registration is a corporation that falls under one of the following categories:

ja-jp	イ　第二十九条の四第一項第一号イ又はロに該当する者
en-us	(a) a person that falls under sub-item (a) or (b) of Article 29-4, paragraph (1), item (i); or

ja-jp	ロ　役員のうちに第二十九条の四第一項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	(b) a person that has a person falling under any of sub-items (a) to (g) inclusive of Article 29-4, paragraph (1), item (ii) as an officer.

ja-jp	三　他に行つている事業が公益に反すると認められる者
en-us	(iii) a person whose other business is found to be contrary to the public interest;

ja-jp	四　金融商品仲介業を適確に遂行することができる知識及び経験を有しないと認められる者
en-us	(iv) a person that is found not to have the knowledge or experience to perform Financial Instruments Intermediation in an appropriate manner;

ja-jp	五　登録申請者の所属金融商品取引業者等のいずれかが協会（認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいう。）に加入していない者
en-us	(v) the applicant for registration has an Entrusting Financial Services Provider, etc. that is not a member of an association (meaning an Authorized Financial Instruments Business Association or a Certified Financial Instruments Business s Association as prescribed in Article 78, paragraph (2)); or

ja-jp	六　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。）
en-us	(vi) a Financial Services Provider (but only a person engaged in Type I Financial Instruments Business).

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

ja-jp	第六十六条の五　金融商品仲介業者は、第六十六条の二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 66-5 (1) If a particular set forth in one of the items of Article 66-2, paragraph (1) changes, the Financial Instruments Intermediary 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仲介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 a Financial Instruments Intermediaries register.

ja-jp	３　金融商品仲介業者は、第六十六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 Instruments Intermediary has stated in a document set forth in Article 66-2, paragraph (2), item (ii) change, the Financial Instruments Intermediary must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

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

ja-jp	第六十六条の六　金融商品仲介業者でない者は、金融商品仲介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 66-6 A person that is not a Financial Instruments Intermediary must not use a trade name or name that refers to it as a Financial Instruments Intermediary, and must not use any trade name or name that is confusingly similar to this.

ja-jp	第二節　業務
en-us	Section 2 Services

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

ja-jp	第六十六条の七　金融商品仲介業者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 66-7 A Financial Instruments Intermediary as well as its officers and employees must be sincere and fair to customers in the performance of its services.

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

ja-jp	第六十六条の八　金融商品仲介業者は、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 66-8 (1) A Financial Instruments Intermediary 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　金融商品仲介業者以外の者は、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 Instruments Intermediary 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	第六十六条の九　金融商品仲介業者は、自己の名義をもつて、他人に金融商品仲介業を行わせてはならない。
en-us	Article 66-9 A Financial Instruments Intermediary must not allow another person to engage in Financial Instruments Intermediation Services using the name of said Financial Instruments Intermediary.

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

ja-jp	第六十六条の十　金融商品仲介業者は、その行う金融商品仲介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 66-10 (1) When advertising the contents of its Financial Instruments Intermediation or performing any similar act specified by Cabinet Office Ordinance, a Financial Instruments Intermediary shall give the following particulars, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　当該金融商品仲介業者の商号、名称又は氏名
en-us	(i) the trade name or name of the Financial Instruments Intermediary;

ja-jp	二　金融商品仲介業者である旨及び当該金融商品仲介業者の登録番号
en-us	(ii) an indication that the Financial Instruments Intermediary is a Financial Instruments Intermediary, and its registration number; and

ja-jp	三　当該金融商品仲介業者の行う金融商品仲介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 Intermediation that the Financial Instruments Intermediary engages in, which is specified by Cabinet Order as material particulars that may have an impact on customers' judgment.

ja-jp	２　金融商品仲介業者は、その行う金融商品仲介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 Intermediation or engaging in any similar act specified by Cabinet Office Ordinance, a Financial Instruments Intermediary 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	（商号等の明示）
en-us	(Clear Indication of Trade Name)

ja-jp	第六十六条の十一　金融商品仲介業者は、第二条第十一項各号に掲げる行為（以下この章において「金融商品仲介行為」という。）を行おうとするときは、あらかじめ、顧客に対し次に掲げる事項を明らかにしなければならない。
en-us	Article 66-11 If a Financial Instruments Intermediary seeks to perform an act set forth in one of the items of Article 2, paragraph (11) (hereinafter referred to as the "Intermediation for Financial Instruments " in this Chapter), it must clearly indicate the following particulars to customers in advance:

ja-jp	一　所属金融商品取引業者等の商号又は名称
en-us	(i) the trade name or the name of the Entrusting Financial Services Provider, etc.;

ja-jp	二　所属金融商品取引業者等の代理権がない旨
en-us	(ii) that the Financial Instruments Intermediary does not have authority of representation in respect of the Entrusting Financial Services Provider, etc.;

ja-jp	三　第六十六条の十三の規定の趣旨
en-us	(iii) the import of the provisions of Article 66-13; and

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

ja-jp	（金融商品仲介業者に係る制限）
en-us	(Limitations on Financial Instruments Intermediaries)

ja-jp	第六十六条の十二　金融商品仲介業者（金融商品取引業者である者を除く。）は、その行う金融商品仲介業の顧客を相手方とし、所属金融商品取引業者等の委託を受けて行う金融商品仲介行為以外の第二条第八項各号に掲げる行為をしてはならない。
en-us	Article 66-12 A Financial Instruments Intermediary (excluding a person that is a Financial Services Provider) must not engage in any act set forth in the items of Article 2, paragraph (8), except for the Intermediation for Financial Instruments to which a customer of its Financial Instruments Intermediation is the other party, as entrusted by the Entrusting Financial Services Provider, etc.

ja-jp	（金銭等の預託の禁止）
en-us	(Prohibition on the Depositing of Money)

ja-jp	第六十六条の十三　金融商品仲介業者は、いかなる名目によるかを問わず、その行う金融商品仲介業に関して、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品仲介業者と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。
en-us	Article 66-13 A Financial Instruments Intermediary must not, for any reason, receive a deposit of money or Securities from a customer, or have a person specified by Cabinet Order as being closely related to said Financial Instruments Intermediary deposit a customer's money or Securities, in connection with the Financial Instruments Intermediation it conducts.

ja-jp	第六十六条の十四　金融商品仲介業者又はその役員若しくは使用人は、次に掲げる行為をしてはならない。
en-us	Article 66-14 It is prohibited for a Financial Instruments Intermediary or its officer or employee to engage in the following acts:

ja-jp	一　金融商品仲介業に関連し、次に掲げるいずれかの行為を行うこと。
en-us	(i) the performance of one of the following acts in connection with Financial Instruments Intermediation:

ja-jp	イ　第三十八条第一号に該当する行為
en-us	(a) an act that falls under Article 38, item (i);

ja-jp	ロ　第三十八条第二号から第六号までに該当する行為
en-us	(b) an act that falls under one of the categories in Article 38, items (ii) to (vi) inclusive;

ja-jp	ハ　投資助言業務（第二十八条第六項に規定する投資助言業務をいう。ハにおいて同じ。）を行う場合には当該投資助言業務に係る助言に基づいて顧客が行う有価証券の売買その他の取引等又は投資運用業を行う場合には当該投資運用業に係る運用として行う有価証券の売買その他の取引等に関する情報を利用してこれらの顧客以外の顧客に対して勧誘する行為
en-us	(c) if it provides Investment Advisory Services (meaning Investment Advisory Services set forth in Article 28, paragraph (6); the same applies in this sub-item (c)), using information about a Purchase and Sale or Other Transaction of Securities, etc. that a customer makes based on the advice provided through its Investment Advisory Services in order to solicit a customer other than the customer in question; or if it engages in Investment Management, using information about a Purchase and Sale or Other Transaction of Securities, etc. made as an investment in connection with its Investment Management, in order to solicit a customer other than the customer in question;

ja-jp	ニ　金融商品仲介業以外の業務を行う場合には当該業務により知り得た有価証券の発行者に関する情報（有価証券の発行者の運営、業務又は財産に関する公表されていない情報であつて金融商品仲介業に係る顧客の投資判断に影響を及ぼすものに限る。）を利用して勧誘する行為
en-us	(d) if it engages in business other than Financial Instruments Intermediation, using information about an Issuer of Securities learned in the course of that other business (limited to undisclosed information about the operations, business, or assets of an Issuer of Securities that would influence customers' investment decisions in connection with Financial Instruments Intermediation) to conduct solicitation; or

ja-jp	ホ　金銭の貸付けその他信用の供与をすることを条件として勧誘する行為（投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）
en-us	(e) conducting a solicitation with the Financial Instruments Intermediary's lending of money or granting of other credit as a condition (excluding acts specified in Cabinet Office Ordinance as acts that are found to have little likelihood of resulting in insufficient investor protection).

ja-jp	二　金融商品仲介業により知り得た金融商品仲介業に係る顧客の有価証券の売買その他の取引等に係る注文の動向その他特別の情報を利用して、自己の計算において有価証券の売買その他の取引等を行う行為
en-us	(ii) making a Purchase and Sale or Other Transaction of Securities, etc. on the intermediary's, officer's, or employee's own account, using the ordering trends for Purchase and Sales and Other Transactions of Securities, etc. made by customers of its Financial Instruments Intermediation or other special information learned in the course of Financial Instruments Intermediation; and

ja-jp	三　前二号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品仲介業の信用を失墜させるものとして内閣府令で定める行為
en-us	(iii) acts beyond what is set forth in the preceding two items, which are specified by Cabinet Office Ordinance as acts that result in insufficient investor protection, harm the fairness of transactions, or cause a loss of confidence in Financial Instruments Intermediations.

ja-jp	（特定投資家向け有価証券の売買の媒介等の制限）
en-us	(Limitation on Intermediation for the Purchase and Sale of Securities for Professional Investors)

ja-jp	第六十六条の十四の二　金融商品仲介業者は、特定投資家向け有価証券について、一般投資家（特定投資家等、当該特定投資家向け有価証券の発行者その他内閣府令で定める者以外の者をいう。以下この条において同じ。）を相手方として、第二条第十一項第一号又は第二号に掲げる行為を行つてはならない。ただし、当該特定投資家向け有価証券に関して開示が行われている場合、一般投資家に対する勧誘に基づかないで所属金融商品取引業者等のために買付けの媒介を行う場合その他投資者の保護に欠けるおそれが少ない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 66-14-2 A Financial Instruments Intermediary must not conduct one of the acts specified in Article 2, paragraph (11), item (i) or (ii) in connection with Securities for Professional Investors with a general investor (meaning a person other than a Professional Investor, etc., the Issuer of the Securities for Professional Investors, or any other person specified by Cabinet Office Ordinance; hereinafter the same applies in this Article) as the other party; provided, however, that this does not apply in a Case In Which Disclosure Has Been Made with regard to the Securities for Professional Investors, a case in which the Financial Instruments Intermediary intermediates, a purchase for an Entrusting Financial Services Provider, etc. which is not based on a solicitation of general investors, or any other case specified by Cabinet Office Ordinance as having little likelihood of resulting in insufficient investor protection.

ja-jp	（損失補てん等の禁止等に関する金融商品取引業者等に係る規定の準用）
en-us	(Applications Mutatis Mutandis of Provisions on Financial Services Providers, etc. in Relation to the Prohibition on Loss Compensation)

ja-jp	第六十六条の十五　第三十八条の二、第三十九条第一項、第三項及び第五項並びに第四十条の規定は金融商品仲介業者について、第三十九条第二項及び第四項の規定は金融商品仲介業者の顧客について、それぞれ準用する。この場合において、同条第三項中「当該金融商品取引業者等が」とあるのは、「当該金融商品仲介業者の所属金融商品取引業者等が」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 66-15 The provisions of Article 38-2, Article 39, paragraphs (1), (3), and (5) and Article 40 apply mutatis mutandis to a Financial Instruments Intermediary, and Article 39, paragraphs (2) and (4) apply mutatis mutandis to the customer of a Financial Instruments Intermediary. In this case, in Article 39, paragraph (3), the phrase "if the Financial Services Provider, etc. receives" is deemed to be replaced with "if the Entrusting Financial Services Provider, etc. of the Financial Instruments Intermediary receives", and any other necessary technical replacement of terms is specified by Cabinet Order.

ja-jp	第三節　経理
en-us	Section 3 Accounting

ja-jp	（業務に関する帳簿書類）
en-us	(Business Books and Documents)

ja-jp	第六十六条の十六　金融商品仲介業者は、内閣府令で定めるところにより、金融商品仲介業に関する帳簿書類を作成し、これを保存しなければならない。
en-us	Article 66-16 A Financial Instruments Intermediary shall prepare and archive books and documents for its Financial Instruments Intermediation pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（事業報告書の提出等）
en-us	(Submission of Business Reports)

ja-jp	第六十六条の十七　金融商品仲介業者は、事業年度ごとに、内閣府令で定めるところにより、金融商品仲介業に関する報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
en-us	Article 66-17 (1) Each business year, a Financial Instruments Intermediary shall prepare a report on its Financial Instruments Intermediation and submit it to the Prime Minister within three months after the end of the business year, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　金融商品仲介業者は、内閣府令で定めるところにより、事業年度ごとに、前項の報告書に記載されている事項のうち投資者の保護に必要と認められるものとして内閣府令で定めるものを記載した書面を作成し、これを金融商品仲介業を行うすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	(2) Each business year, pursuant to the provisions of Cabinet Office Ordinance, a Financial Instruments Intermediary shall prepare documents stating those of the particulars stated in the business report referred to in the preceding Article which are specified by Cabinet Office Ordinance as particulars that are found to be necessary in terms of investor protection, and shall keep those documents at all of the business offices and offices at which it conducts Financial Instruments Intermediation and make them available for public inspection.

ja-jp	（説明書類の縦覧）
en-us	(Public Inspection of Explanatory Documents)

ja-jp	第六十六条の十八　金融商品仲介業者は、内閣府令で定めるところにより、所属金融商品取引業者等の事業年度ごとに、所属金融商品取引業者等が第四十六条の四又は第四十七条の三の規定（当該所属金融商品取引業者等が登録金融機関である場合には、銀行法（昭和五十六年法律第五十九号）第二十一条第一項及び第二項その他政令で定める規定）により作成する説明書類を金融商品仲介業を行うすべての営業所又は事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	Article 66-18 For each business year of an Entrusting Financial Services Provider, etc. and pursuant to the provisions of Cabinet Office Ordinance, a Financial Instruments Intermediary shall keep the explanatory documents that the Entrusting Financial Services Provider, etc. prepares pursuant to the provisions of Article 46-4 or Article 47-3 (if the Entrusting Financial Services Provider, etc., is a registered financial institution, the documents that it prepares pursuant to the provisions of Article 21, paragraphs (1) and (2) of the Banking Act (Act No. 59 of 1981) or other provisions specified by Cabinet Order) at all of the business offices and offices at which it conducts Financial Instruments Intermediation, and shall make them available for public inspection.

ja-jp	第四節　監督
en-us	Section 4 Supervision

ja-jp	（廃業等の届出等）
en-us	(Notification of Business Discontinuance)

ja-jp	第六十六条の十九　金融商品仲介業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、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 66-19 (1) If a Financial Instruments Intermediary comes to fall under one of the following items, the person specified in the relevant item must notify the Prime Minister of this within 30 days from the day in question:

ja-jp	一　金融商品仲介業を廃止したとき（分割により事業（金融商品仲介業に係るものに限る。以下この号において同じ。）の全部を承継させたとき、又は事業の全部を譲渡したときを含む。）　その金融商品仲介業を廃止し、又は承継をさせ、若しくは譲渡をした個人又は法人
en-us	(i) the Financial Instruments Intermediary discontinues Financial Instruments Intermediation (including if the Financial Instruments Intermediary has the whole of its business (limited to business involved in Financial Instruments Intermediation; hereinafter the same applies in this item) succeeded to in a company split or transfers the whole of business)): the individual or the corporation that discontinues or transfers the Financial Instruments Intermediation Services, or has the Financial Instruments Intermediation Services succeeded to;

ja-jp	二　金融商品仲介業者である個人が死亡したとき　その相続人
en-us	(ii) the Financial Instruments Intermediary is an individual, and that individual dies: the heir thereof;

ja-jp	三　金融商品仲介業者である法人が合併により消滅したとき　その法人を代表する役員であつた者
en-us	(iii) the Financial Instruments Intermediary is a corporation, and that corporation disappears in a merger: the officer that represented the corporation;

ja-jp	四　金融商品仲介業者である法人について破産手続開始の決定があつたとき　その破産管財人
en-us	(iv) the Financial Instruments Intermediary is a corporation, and that corporation becomes subject to an order to commence bankruptcy proceedings: the bankruptcy trustee; and

ja-jp	五　金融商品仲介業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき　その清算人
en-us	(v) the Financial Instruments Intermediary is a corporation, and that corporation is dissolved for reasons other than a merger or an order to commence bankruptcy proceedings: the liquidator.

ja-jp	２　金融商品仲介業者が前項各号のいずれかに該当することとなつたとき、所属金融商品取引業者等がなくなつたとき、又は第二十九条の登録（当該登録を受けた金融商品取引業者が第一種金融商品取引業を行うものに限る。）を受けたときは、当該金融商品仲介業者の第六十六条の登録は、その効力を失う。
en-us	(2) If a Financial Instruments Intermediary comes to fall under one of the items of the preceding paragraph, if it no longer has an Entrusting Financial Services Provider, etc., or if it becomes registered as referred to in Article 29 (but only if the registered Financial Service Provider engages in Type I Financial Instruments Business), its Article 66 registration ceases to be valid.

ja-jp	（監督上の処分）
en-us	(Supervisory Measures)

ja-jp	第六十六条の二十　内閣総理大臣は、金融商品仲介業者が次の各号のいずれかに該当する場合においては、当該金融商品仲介業者の第六十六条の登録を取り消し、六月以内の期間を定めて業務の全部又は一部の停止を命じ、業務の方法の変更を命じ、その他監督上必要な事項を命ずることができる。
en-us	Article 66-20 (1) If a Financial Instruments Intermediary falls under one of the following items, the Prime Minister may rescind its Article 66 registration, order the suspension of all or a part of business activities during a fixed period of no longer than six months, order a change of business methods, or issue orders with respect to matters that are otherwise necessary from a supervisory perspective:

ja-jp	一　第六十六条の四第一号から第五号まで（第二号ロを除く。）に該当することとなつたとき。
en-us	(i) the Financial Instruments Intermediary comes to fall under one of the categories in items (i) to (v) inclusive of Article 66-4 (excluding item (ii), sub-item (b));

ja-jp	二　不正の手段により第六十六条の登録を受けたとき。
en-us	(ii) the Financial Instruments Intermediary receives its Article 66 registration by wrongful means; or

ja-jp	三　金融商品仲介業に関し法令又は法令に基づいてする行政官庁の処分に違反したとき。
en-us	(iii) the Financial Instruments Intermediary violates a law or regulation or a disposition made by a government agency which is based on a law or regulation, in connection with Financial Instruments Intermediation Services.

ja-jp	２　内閣総理大臣は、金融商品仲介業者の役員が、第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたとき、又は前項第三号に該当する行為をしたときは、当該金融商品仲介業者に対して、当該役員の解任を命ずることができる。
en-us	(2) If the officer of a Financial Instruments Intermediary comes to fall under one of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, or engages in an act that falls under item (iii) of the preceding paragraph, the Prime Minister may order the Financial Instruments Intermediary to dismiss that officer.

ja-jp	（登録の抹消）
en-us	(Deletion of Registrations)

ja-jp	第六十六条の二十一　内閣総理大臣は、第六十六条の十九第二項の規定により第六十六条の登録がその効力を失つたとき、又は前条第一項の規定により第六十六条の登録を取り消したときは、当該登録を抹消しなければならない。
en-us	Article 66-21 If an Article 66 registration loses its validity pursuant to the provisions of Article 66-19, paragraph (2) or if the Prime Minister rescinds an Article 66 registration pursuant to the provisions of paragraph (1) of the preceding Article, the Prime Minister must delete that registration.

ja-jp	（報告の徴取及び検査）
en-us	(Collection of Reports and Inspections)

ja-jp	第六十六条の二十二　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、金融商品仲介業者若しくはこれと取引をする者に対し当該金融商品仲介業者の金融商品仲介業務に関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当該金融商品仲介業者の金融商品仲介業務の状況若しくは書類その他の物件の検査をさせることができる。
en-us	Article 66-22 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 Financial Instruments Intermediary or a person that conducts transactions with a Financial Instruments Intermediary to submit reports or materials that should serve as a reference with regard to the Financial Instruments Intermediation of the Financial Instruments Intermediary, or may have the relevant officials inspect the state of the Financial Instruments Intermediation of the Financial Instruments Intermediary or inspect its documents or other articles.

ja-jp	第六十六条の二十三　第五十七条第一項及び第三項の規定は第六十六条の登録について、第五十七条第二項及び第三項並びに第六十五条の六の規定は金融商品仲介業者について、それぞれ準用する。この場合において、必要な技術的読替えは、政令で定める。
en-us	Article 66-23 The provisions of Article 57, paragraphs (1) and (3) apply mutatis mutandis to the registration referred to in Article 66, and the provisions of Article 57, paragraphs (2) and (3) and Article 65-6 apply mutatis mutandis to a Financial Instruments Intermediary. The necessary technical replacement of terms for such a case is specified by Cabinet Order.

ja-jp	第五節　雑則
en-us	Section 5 Miscellaneous Provisions

ja-jp	（所属金融商品取引業者等の賠償責任）
en-us	(Compensatory Liability of an Entrusting Financial Services Provider, etc.)

ja-jp	第六十六条の二十四　金融商品仲介業者の所属金融商品取引業者等は、その委託を行つた金融商品仲介業者が金融商品仲介業につき顧客に加えた損害を賠償する責任を負う。ただし、当該所属金融商品取引業者等がその金融商品仲介業者への委託につき相当の注意をし、かつ、その者の行う金融商品仲介行為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	Article 66-24 The Entrusting Financial Services Provider, etc., of a Financial Instruments Intermediary is liable for damages that that the Financial Instruments Intermediary it entrusts causes to a customer in connection with Financial Instruments Intermediation Services; provided, however, that this does not apply if the Entrusting Financial Services Provider, etc. exercises due care in entrusting the Financial Instruments Intermediary, and endeavors to prevent the damage that the person causes to a customer in connection with the Intermediation for Financial Instruments that the person performs.

ja-jp	第六十六条の二十五　第六十四条から第六十四条の九まで（第六十四条の七第二項を除く。）の規定は、金融商品仲介業者について準用する。この場合において、必要な技術的読替えは、政令で定める。
en-us	Article 66-25 The provisions of Articles 64 to 64-9 inclusive (excluding Article 64-7, paragraph (2)) apply mutatis mutandis to a Financial Instruments Intermediary. The necessary technical replacement of terms for such a case is specified by Cabinet Order.

ja-jp	（内閣府令への委任）
en-us	(Delegation to Cabinet Office Ordinance)

ja-jp	第六十六条の二十六　第六十六条から前条までの規定を実施するための手続その他必要な事項は、内閣府令で定める。
en-us	Article 66-26 Procedures for the implementation of the provisions of Article 66 to the preceding Article inclusive and particulars that are otherwise necessary for their implementation are specified by Cabinet Office Ordinance.

ja-jp	第三章の三　信用格付業者
en-us	Chapter III-3 Credit Rating Agencies

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

ja-jp	第六十六条の二十七　信用格付業を行う法人（法人でない団体で代表者又は管理人の定めのあるものを含む。次条第一項第二号及び第六十六条の四十七を除き、以下この章において同じ。）は、内閣総理大臣の登録を受けることができる。
en-us	Article 66-27 A corporation engaged in Credit Rating Services (including an organization without legal personality whose representative or administrator has been designated; hereinafter the same applies in this Chapter, except in paragraph (1), item (ii) of the following Article and Article 66-47) may be registered by the Prime Minister.

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

ja-jp	第六十六条の二十八　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、外国法人は、国内における代表者（当該外国法人が信用格付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。）又はこれに準ずるものとして内閣府令で定める者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 66-28 (1) A person seeking to be registered as 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 such a case, a foreign corporation must designate a domestic representative (limited to one responsible for business at all business offices or offices that the foreign corporation operates in Japan so as to engage in Credit Rating Services) or a person specified by Cabinet Office Ordinance as equivalent to this, before submitting such a written application for registration:

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

ja-jp	二　役員（法人でない団体で代表者又は管理人の定めのあるものの代表者又は管理人を含む。以下この章において同じ。）の氏名又は名称
en-us	(ii) the names of its officers (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated; hereinafter the same applies in this Chapter);

ja-jp	三　信用格付業を行う営業所又は事務所（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	(iii) the name and location of the business offices or offices for Credit Rating Services (or the head office, principal business office or office, or any other business office or office in Japan, for a foreign corporation);

ja-jp	四　他に事業を行つているときは、その事業の種類
en-us	(iv) if it engages in other business, the business type; and

ja-jp	五　その他内閣府令で定める事項
en-us	(v) 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　第六十六条の三十第一項第二号及び第三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 the purview of Article 66-30, paragraph (1), item (ii) or (iii);

ja-jp	二　信用格付業の業務の内容及び方法として内閣府令で定める事項を記載した書類
en-us	(ii) a document stating the things specified by Cabinet Office Ordinance as constituting the business outline and business methods for Credit Rating Services;

ja-jp	三　定款及び会社の登記事項証明書（これらに準ずるものを含む。）
en-us	(iii) the articles of incorporation and the certificate of registered information for the company (including documents equivalent to these); and

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

ja-jp	３　前項第三号の場合において、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) In the case referred to in item (iii) of the preceding paragraph, if the articles of incorporation have been prepared as electronic or magnetic records, electronic or magnetic records (limited to that specified by Cabinet Office Ordinance) may accompany a written application for registration in lieu of documents.

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

ja-jp	第六十六条の二十九　内閣総理大臣は、第六十六条の二十七の登録の申請があつた場合においては、次条の規定により登録を拒否する場合を除くほか、次に掲げる事項を信用格付業者登録簿に登録しなければならない。
en-us	Article 66-29 (1) Whenever an application is filed for the registration referred to in Article 66-27, unless the Prime Minister refuses the registration pursuant to the provisions of the following Article, the Prime Minister shall register the following particulars in a Credit Rating Agencies 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 registration number.

ja-jp	２　内閣総理大臣は、信用格付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 Credit Rating Agencies register available to the public.

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

ja-jp	第六十六条の三十　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 66-30 (1) The Prime Minister must refuse to effect a registration if an applicant for registration falls under one of the following items, 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 if it omits a statement or record of a material fact:

ja-jp	一　法人でない者
en-us	(i) a person other than a corporation;

ja-jp	二　第二十九条の四第一項第一号イ又はロに該当する法人
en-us	(ii) a corporation that falls under Article 29-4, paragraph (1), sub-item (a) or (b);

ja-jp	三　役員のうちに第二十九条の四第一項第二号イからトまでのいずれかに該当する者のある法人
en-us	(iii) a corporation that has a person falling under any of sub-items (a) to (g) inclusive of Article 29-4, paragraph (2), item (ii) as an officer;

ja-jp	四　他に行つている事業が公益に反すると認められる法人
en-us	(iv) a corporation whose other business is found to be contrary to the public interest; or

ja-jp	五　信用格付業を公正かつ的確に遂行するための必要な体制が整備されていると認められない法人
en-us	(v) a corporation that is found not to have in place the necessary system for fairly and appropriately performing Credit Rating Services.

ja-jp	２　内閣総理大臣は、前項に定めるもののほか、登録申請者が外国法人である場合には、国内に営業所又は事務所を有しないときはその登録を拒否しなければならない。ただし、当該登録申請者が信用格付業の業務に相当すると認められる業務を行う者に対する監督を行う外国の行政機関その他これに準ずるものの適切な監督を受けると認められる場合として内閣府令で定める場合又はこの項本文の規定により登録を拒否することが条約その他の国際約束の誠実な履行を妨げることとなる場合は、この限りでない。
en-us	(2) In addition to what is provided for in the preceding paragraph, the Prime Minister must refuse a registration if the applicant for registration is a foreign corporation and has no business office or office in Japan; provided, however, that this does not apply in cases specified by Cabinet Office Ordinance as those in which the applicant for registration is found to be under appropriate supervision by a foreign administrative organization that supervises persons conducting business that is found to be equivalent to Credit Rating Services, or by any other organization equivalent to such an organization, and does not apply to a case in which refusal to effect a registration pursuant to the main clause of this paragraph would preclude the sincere implementation of a treaty or other international agreement.

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

ja-jp	第六十六条の三十一　信用格付業者は、第六十六条の二十八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 66-31 (1) If a particular set forth in one of the items of Article 66-28, paragraph (1) changes, the Credit Rating Agency 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信用格付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 a Credit Rating Agencies register.

ja-jp	３　信用格付業者は、第六十六条の二十八第二項第二号に掲げる書類に記載した事項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 a particular stated in a document set forth in Article 66-28, paragraph (2), item (ii) changes, the Credit Rating Agency must notify the Prime Minister of this without delay, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	第二節　業務
en-us	Section 2 Services

ja-jp	第六十六条の三十二　信用格付業者並びにその役員及び使用人は、独立した立場において公正かつ誠実にその業務を遂行しなければならない。
en-us	Article 66-32 A Credit Rating Agency as well as its officers and employees must be sincere and fair in the performance of its services, from an independent standpoint.

ja-jp	（業務管理体制の整備）
en-us	(Establishment of an Operational Control System)

ja-jp	第六十六条の三十三　信用格付業者は、信用格付業を公正かつ的確に遂行するため、内閣府令で定めるところにより、業務管理体制を整備しなければならない。
en-us	Article 66-33 (1) A Credit Rating Agency must establish an operational control system for the fair and appropriate performance of its Credit Rating Services, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	２　前項に規定する業務管理体制は、専門的知識及び技能を有する者の配置その他の業務の品質を管理するための措置並びに自己又は格付関係者（信用格付の対象となる事項に関し利害を有する者として内閣府令で定める者をいう。第六十六条の三十五において同じ。）の利益を図る目的をもつて投資者の利益を害することを防止するための措置その他業務の執行の適正を確保するための措置を含むものでなければならない。
en-us	(2) The operational control system referred to in the preceding paragraph must include measures for assigning persons with expert knowledge and skills and for otherwise managing the quality of business, measures for preventing the investors' interests from being harmed with the aim of benefiting the Credit Rating Agency itself or a person associated with a rating (meaning a person specified by Cabinet Office Ordinance as having an interest in the thing on which a Credit Rating is based; the same applies in Article 66-35) and other measures for ensuring the proper execution of business.

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

ja-jp	第六十六条の三十四　信用格付業者は、自己の名義をもつて、他人に信用格付業を行わせてはならない。
en-us	Article 66-34 A Credit Rating Agency must not allow another person to engage in Credit Rating Services using the name of said Credit Rating Agency.

ja-jp	第六十六条の三十五　信用格付業者又はその役員若しくは使用人は、その行う信用格付業に関して、次に掲げる行為をしてはならない。
en-us	Article 66-35 It is prohibited for a Credit Rating Agency or its officer or employee to engage in the following acts with regard to its Credit Rating Services:

ja-jp	一　信用格付業者又はその役員若しくは使用人が格付関係者と内閣府令で定める密接な関係を有する場合において、当該格付関係者が利害を有する事項として内閣府令で定める事項を対象とする信用格付を提供し、又は閲覧に供する行為
en-us	(i) providing or making available for inspection a Credit Rating that is based on anything specified by Cabinet Office Ordinance as those in which a person associated with a rating has an interest, if the Credit Rating Agency or its officer or employee is closely related as specified by Cabinet Office Ordinance to the person associated with that rating;

ja-jp	二　格付関係者に対し当該格付関係者に係る信用格付に重要な影響を及ぼすべき事項として内閣府令で定める事項に関して助言を行つた場合（格付関係者からの求めに応じ、次条第一項に規定する格付方針等の内容を告げた場合その他助言の態様に照らして投資者の保護に欠けるおそれが少ないと認められる場合として内閣府令で定める場合を除く。）において、当該信用格付を提供し、又は閲覧に供する行為
en-us	(ii) providing a Credit Rating or making it available for inspection, if the Credit Rating Agency or its officer or employee has given advice to the person associated with the rating about a matter specified by Cabinet Office Ordinance as those that may have a material influence on the Credit Rating of the person associated with that rating (this excludes the Credit Rating Agency or its officer or employee informing the person associated with a rating of the details of the Rating Policy as defined in paragraph (1) of the following Article at that person's request, and also excludes cases specified by Cabinet Office Ordinance as those in which such advice is found to have little likelihood of resulting in insufficient investor protection, in light of the form of that advice); and

ja-jp	三　前二号に掲げるもののほか、投資者の保護に欠け、又は信用格付業の信用を失墜させるものとして内閣府令で定める行為
en-us	(iii) any act beyond what is set forth in the preceding two items, which is specified by Cabinet Office Ordinance as resulting in insufficient investor protection or as causing a loss of confidence in Credit Rating Services.

ja-jp	（格付方針等）
en-us	(Rating Policy)

ja-jp	第六十六条の三十六　信用格付業者は、内閣府令で定めるところにより、信用格付を付与し、かつ、提供し又は閲覧に供するための方針及び方法（次項において「格付方針等」という。）を定め、公表しなければならない。これを変更したときも、同様とする。
en-us	Article 66-36 (1) A Credit Rating Agency, pursuant to the provisions of Cabinet Office Ordinance, must set a policy and methodology for determining Credit Ratings and for providing them or making them available for inspection (such a policy is referred to as a "Rating Policy" in the following paragraph) and must disclose the same. The same applies if the Credit Rating Agency changes its Rating Policy.

ja-jp	２　信用格付業者は、格付方針等に従い、信用格付業の業務を行わなければならない。
en-us	(2) A Credit Rating Agency must carry out its Credit Rating Services in accordance with the Rating Policy.

ja-jp	第三節　経理
en-us	Section 3 Accounting

ja-jp	（業務に関する帳簿書類）
en-us	(Business Books and Documents)

ja-jp	第六十六条の三十七　信用格付業者は、内閣府令で定めるところにより、信用格付業に関する帳簿書類を作成し、これを保存しなければならない。
en-us	Article 66-37 A Credit Rating Agency shall prepare and archive books and documents related to its Credit Rating Services pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（事業報告書の提出）
en-us	(Submission of Business Reports)

ja-jp	第六十六条の三十八　信用格付業者は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後政令で定める期間内に、これを内閣総理大臣に提出しなければならない。
en-us	Article 66-38 Each business year, pursuant to the provisions of Cabinet Office Ordinance, a Credit Rating Agency shall prepare a business report and submit it to the Prime Minister within the period specified by Cabinet Order after the end of the business year.

ja-jp	（説明書類の縦覧）
en-us	(Public Inspection of Explanatory Documents)

ja-jp	第六十六条の三十九　信用格付業者は、事業年度ごとに、業務の状況に関する事項として内閣府令で定めるものを記載した説明書類を作成し、毎事業年度経過後政令で定める期間を経過した日から一年間、これをすべての営業所又は事務所に備え置き、公衆の縦覧に供するとともに、内閣府令で定めるところにより、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	Article 66-39 Each business year, a Credit Rating Agency shall prepare explanatory documents stating the particulars specified by Cabinet Office Ordinance as pertinent to the state of its business, and during the one–year period beginning from the day on which the period specified by Cabinet Order elapses following the end of each business year, in addition to keeping these explanatory documents at all of its business offices and offices and making them available for public inspection, it shall disclose them over the Internet or by any other means, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	第四節　監督
en-us	Section 4 Supervision

ja-jp	（廃業等の届出等）
en-us	(Notification of Business Discontinuance)

ja-jp	第六十六条の四十　信用格付業者が次の各号のいずれかに該当することとなつたときは、当該各号に定める者は、その日から三十日以内に、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 66-40 (1) If a Credit Rating Agency comes to fall under one of the following items, the person specified in the relevant item must notify the Prime Minister of this within 30 days from the day in question:

ja-jp	一　信用格付業を廃止したとき（分割により事業（信用格付業に係るものに限る。以下この条において同じ。）の全部を承継させたとき、又は事業の全部を譲渡したときを含む。）　その信用格付業を廃止し、又は承継をさせ、若しくは譲渡をした法人
en-us	(i) the Credit Rating Agency discontinues Credit Rating Services (including if the Credit Rating Agency has the whole of its business (limited to business involved in Credit Rating Services; hereinafter the same applies in this Article) succeeded to in a company split or transfers the whole of business): the corporation that discontinues or transfers the Credit Rating Services or that has the Credit Rating Services succeeded to;

ja-jp	二　信用格付業者である法人が合併により消滅したとき　その法人を代表する役員であつた者
en-us	(ii) the Credit Rating Agency is a corporation, and that corporation disappears in a merger: the officer that represented the corporation;

ja-jp	三　信用格付業者である法人が破産手続開始の決定により解散したとき　その破産管財人
en-us	(iii) the Credit Rating Agency is a corporation, and that corporation is dissolved due to an order to commence bankruptcy proceedings: the bankruptcy trustee; and

ja-jp	四　信用格付業者である法人が合併及び破産手続開始の決定以外の理由により解散したとき　その清算人
en-us	(iv) the Credit Rating Agency is a corporation, and that corporation is dissolved for reasons other than a merger or an order to commence bankruptcy proceedings: the liquidator.

ja-jp	２　信用格付業者が前項各号のいずれかに該当することとなつたときは、当該信用格付業者の第六十六条の二十七の登録は、その効力を失う。
en-us	(2) If a Credit Rating Agency comes to fall under one of the items of the preceding paragraph, the Article 66-27 registration of the Credit Rating Agency ceases to be valid.

ja-jp	３　信用格付業者は、第六十六条の二十七の登録の抹消の申請をし、信用格付業の廃止をし、合併（当該信用格付業者が合併により消滅する場合の当該合併に限る。）をし、合併及び破産手続開始の決定以外の理由による解散をし、分割による事業の全部の承継をさせ、又は事業の全部の譲渡をしようとするときは、その日の三十日前までに、内閣府令で定めるところにより、その旨を公告しなければならない。
en-us	(3) If a Credit Rating Agency seeks to apply for the deletion of its Article 66-27 registration, to discontinue its Credit Rating Services, to implement a merger (limited to one in which the Credit Rating Agency disappears due to merger), to dissolve for reasons other than a merger or an order to commence bankruptcy proceedings, to have the whole of its business succeeded to in a company split, or to transfer the whole of its business, it shall issue public notice of this, pursuant to the provisions of Cabinet Office Ordinance, by 30 days prior to that day on which it seeks to do so.

ja-jp	４　信用格付業者は、前項の規定による公告をしたときは、直ちに、その旨を内閣総理大臣に届け出なければならない。
en-us	(4) If a Credit Rating Agency issues a public notice under the preceding paragraph, it must immediately notify the Prime Minister of this.

ja-jp	５　会社法第九百四十条第一項（第一号に係る部分に限る。）及び第三項の規定は、信用格付業者（会社に限る。）が電子公告により第三項の規定による公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
en-us	(5) The provisions of Article 940, paragraph (1) (limited to the part that involves item (i)) and paragraph (3) of the Companies Act apply mutatis mutandis if a Credit Rating Agency (limited to one that is a company) issues a public notice under paragraph (3) through an Electronic Public Notice. The necessary technical replacement of terms for such a case is specified by Cabinet Order.

ja-jp	６　会社法第九百四十条第一項（第一号に係る部分に限る。）及び第三項、第九百四十一条、第九百四十六条、第九百四十七条、第九百五十一条第二項、第九百五十三条並びに第九百五十五条の規定は、信用格付業者（外国会社に限る。）が電子公告により第三項の規定による公告をする場合について準用する。この場合において、必要な技術的読替えは、政令で定める。
en-us	(6) The provisions of Article 940, paragraph (1) (limited to the part that involves item (i)) and paragraph (3) of the Companies Act and Article 941; Article 946; Article 947; Article 951; paragraph (2); Article 953; and Article 955 of that Act apply mutatis mutandis if a Credit Rating Agency (limited to one that is a foreign company) issues a public notice under paragraph (3) through an Electronic Public Notice. The necessary technical replacement of terms for such a case is specified by Cabinet Order.

ja-jp	（業務改善命令）
en-us	(Business Improvement Orders)

ja-jp	第六十六条の四十一　内閣総理大臣は、信用格付業者の業務の運営の状況に関し、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、その必要の限度において、当該信用格付業者に対し、業務の方法の変更その他業務の運営の状況の改善に必要な措置をとるべきことを命ずることができる。
en-us	Article 66-41 If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors as concerns the state of a Credit Rating Agency's business operations, the Prime Minister, within the scope of this necessity, may order the Credit Rating Agency to change its business methods or may otherwise order it to take measures that are necessary for improving the state of its business operations.

ja-jp	（監督上の処分）
en-us	(Supervisory Measures)

ja-jp	第六十六条の四十二　内閣総理大臣は、信用格付業者が次の各号のいずれかに該当する場合においては、当該信用格付業者の第六十六条の二十七の登録を取り消し、又は六月以内の期間を定めて信用格付業の業務の全部若しくは一部の停止を命ずることができる。
en-us	Article 66-42 (1) If a Credit Rating Agency falls under one of the following items, the Prime Minister may rescind its Article 66-27 registration, or may order the suspension of all or a part of business activities during a fixed period of no longer than six months:

ja-jp	一　第六十六条の三十第一項各号（第三号を除く。）のいずれかに該当することとなつたとき。
en-us	(i) the Credit Rating Agency comes to fall under one of the items (excluding item (iii)) of Article 66-30, paragraph (1);

ja-jp	二　第六十六条の三十第二項の規定により登録を拒否すべき事由に該当することとなつたとき。
en-us	(ii) the Credit Rating Agency comes to fall under the purview of grounds upon which the Prime Minister is required to refuse registration pursuant to Article 66-30, paragraph (2),

ja-jp	三　不正の手段により第六十六条の二十七の登録を受けたとき。
en-us	(iii) the Credit Rating Agency has received its Article 66-27 registration by wrongful means;

ja-jp	四　信用格付業に関し法令又は法令に基づいてする行政官庁の処分に違反したとき。
en-us	(iv) the Credit Rating Agency violates a law or regulation or a disposition by a government agency which is based on a law or regulation, in connection with its Credit Rating Services;

ja-jp	五　信用格付業の運営に関し、投資者の利益を害する事実があるとき。
en-us	(v) a fact has occurred in connection with the operation of its Credit Rating Services, which is detrimental to investors' interests; or

ja-jp	六　信用格付業に関し、不正又は著しく不当な行為をした場合において、その情状が特に重いとき。
en-us	(vi) the Credit Rating Agency commits a wrongful or extremely unjust act in connection with Credit Rating Services, and the circumstances surrounding this are especially serious.

ja-jp	２　内閣総理大臣は、信用格付業者の役員（外国法人にあつては、国内における営業所若しくは事務所に駐在する役員又は国内における代表者に限る。以下この項において同じ。）が、第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたとき、第六十六条の二十七の登録当時既に同号イからトまでのいずれかに該当していたことが判明したとき、又は前項第四号から第六号までのいずれかに該当することとなつたときは、当該信用格付業者に対して、当該役員の解任を命ずることができる。
en-us	(2) If the officer of a Credit Rating Agency (for a foreign corporation, this is limited to an officer stationed at its domestic business office or office and its domestic representative; hereinafter the same applies in this paragraph) comes to fall under one of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive, is discovered to have fallen under one of the categories in sub-items (a) to (g) inclusive of that item at the time of the Article 66-27 registration, or comes to fall under one of the categories in items (iv) to (vi) inclusive of the preceding paragraph, the Prime Minister may order the Credit Rating Agency to dismiss that officer.

ja-jp	３　内閣総理大臣は、信用格付業者の営業所若しくは事務所の所在地を確知できないとき、又は信用格付業者を代表する役員の所在を確知できないときは、内閣府令で定めるところにより、その事実を公告し、その公告の日から三十日を経過しても当該信用格付業者から申出がないときは、当該信用格付業者の登録を取り消すことができる。
en-us	(3) If the Prime Minister is unable to ascertain the location of the business offices or offices of a Credit Rating Agency or is unable to ascertain the whereabouts of the officer representing the Credit Rating Agency, the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, may issue public notice of that fact and rescind the registration of the Credit Rating Agency if no filing is made by the Credit Rating Agency even after 30 days past the day of the public notice.

ja-jp	４　前項の規定による処分については、行政手続法第三章の規定は、適用しない。
en-us	(4) The provisions of Chapter III of the Administrative Procedure Act do not apply to a disposition under the preceding paragraph.

ja-jp	（監督処分の公告）
en-us	(Public Notice of Supervisory Measures)

ja-jp	第六十六条の四十三　内閣総理大臣は、前条第一項若しくは第三項の規定により第六十六条の二十七の登録を取り消し、又は前条第一項の規定により業務の全部若しくは一部の停止を命じたときは、内閣府令で定めるところにより、その旨を公告しなければならない。
en-us	Article 66-43 If the Prime Minister rescinds an Article 66-27 registration pursuant to the provisions of paragraph (1) or (3) of the preceding Article or orders the suspension of all or a part of business activities pursuant to paragraph (1) of the preceding Article, the Prime Minister must issue public notice of this pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（登録の抹消）
en-us	(Deletion of Registrations)

ja-jp	第六十六条の四十四　内閣総理大臣は、信用格付業者から第六十六条の二十七の登録の抹消の申請があつたとき、第六十六条の四十第二項の規定により第六十六条の二十七の登録がその効力を失つたとき、又は第六十六条の四十二第一項若しくは第三項の規定により第六十六条の二十七の登録を取り消したときは、当該登録を抹消しなければならない。
en-us	Article 66-44 Whenever an application is filed by a Credit Rating Agency for the deletion of an Article 66-27 registration, or if an Article 66-27 registration loses its validity pursuant to the provisions of Article 66-40, paragraph (2) or the Prime Minister rescinds an Article 66-27 registration pursuant to the provisions of Article 66-42, paragraph (1) or (3), the Prime Minister must delete that registration.

ja-jp	（報告の徴取及び検査）
en-us	(Collection of Reports and Inspection)

ja-jp	第六十六条の四十五　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、信用格付業者、これと取引をする者、当該信用格付業者から業務の委託を受けた者若しくは当該信用格付業者の関係法人（当該信用格付業者の子法人、当該信用格付業者を子法人とする法人又は当該信用格付業者を子法人とする法人の子法人（当該信用格付業者を除く。）であつて、信用格付の付与又は提供若しくは閲覧に供する行為を業として行う法人をいう。以下この項において同じ。）に対し当該信用格付業者の業務に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に当該信用格付業者、当該信用格付業者から業務の委託を受けた者若しくは当該信用格付業者の関係法人の業務の状況若しくは書類その他の物件の検査（当該信用格付業者から業務の委託を受けた者又は当該信用格付業者の関係法人にあつては、当該信用格付業者の業務に関し必要な検査に限る。）をさせることができる。
en-us	Article 66-45 (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 Credit Rating Agency, a person that conducts transactions with a Credit Rating Agency, the person that a Credit Rating Agency has entrusted with its business, or the affiliated corporation of a Credit Rating Agency (meaning the Subsidiary Corporation of a Credit Rating Agency, a corporation that has a Credit Rating Agency as its Subsidiary Corporation, or the Subsidiary Corporation of a corporation that has a Credit Rating Agency as its Subsidiary Corporation (other than the relevant Credit Rating Agency itself), which performs the act of determining Credit Ratings and providing them or making them available for inspection in the course of business; hereinafter the same applies in this paragraph) to submit reports or materials that should serve as a reference with regard to the business of the Credit Rating Agency, or may have the relevant officials inspect the state of business, documents, or other articles of a Credit Rating Agency, the person that a Credit Rating Agency has entrusted with its business, or the affiliated corporation of a Credit Rating Agency (but may only have the relevant officials inspect the person that a Credit Rating Agency has entrusted with its business or the affiliated corporation of a Credit Rating Agency as is necessary in connection with the business of the Credit Rating Agency).

ja-jp	２　前項の「子法人」とは、法人がその総株主等の議決権の過半数を保有する他の法人をいう。この場合において、法人及びその一若しくは二以上の子法人又は当該法人の一若しくは二以上の子法人がその総株主等の議決権の過半数を保有する他の法人は、当該法人の子法人とみなす。
en-us	(2) The term "Subsidiary Corporation" as used in the preceding paragraph means a second corporation in which a first corporation holds the majority of all shareholders', etc. voting rights In such a case, a second corporation in which a first corporation and one or more of its Subsidiary Corporations hold the majority all shareholders', etc. voting rights, or in which one or more of a first corporation's Subsidiary Corporations hold the majority all shareholders', etc. voting rights, is deemed to be the Subsidiary Corporation of that first corporation.

ja-jp	第五節　雑則
en-us	Section 5 Miscellaneous Provisions

ja-jp	（職務代行者）
en-us	(Acting Representative)

ja-jp	第六十六条の四十六　内閣総理大臣は、信用格付業者（外国法人に限る。以下この条において同じ。）の国内における代表者が欠けた場合において、必要があると認めるときは、一時その職務を行うべき者（次項において「職務代行者」という。）を選任することができる。この場合において、当該信用格付業者は、国内における主たる営業所又は事務所の所在地において、その登記をしなければならない。
en-us	Article 66-46 (1) If there is a position vacancy for the domestic representative of a Credit Rating Agency (limited to a foreign corporation; hereinafter the same applies in this Article), and the Prime Minister finds it to be necessary, the Prime Minister may appoint a person to temporarily perform the duties of the domestic representative (referred to as the "Acting Representative" in the following paragraph). In such a case, the Credit Rating Agency must register the appointment in connection with the location of the principal business office or office in Japan.

ja-jp	２　内閣総理大臣は、前項の規定により職務代行者を選任したときは、信用格付業者に対し、当該職務代行者に相当額の報酬を支払うべき旨を命ずることができる。
en-us	(2) If the Prime Minister appoints an Acting Representative pursuant to the provisions of the preceding paragraph, the Prime Minister may order the Credit Rating Agency to pay the Acting Representative a reasonable amount of remuneration.

ja-jp	（外国法人等に対するこの法律の規定の適用に当たつての技術的読替え等）
en-us	(Technical Replacement of Terms in the Application of Provisions of This Act to Foreign Corporations)

ja-jp	第六十六条の四十七　信用格付業者が外国法人又は法人でない団体で代表者若しくは管理人の定めのあるものである場合において、この法律の規定の適用に当たつての技術的読替えその他当該外国法人又は法人でない団体で代表者若しくは管理人の定めのあるものに対するこの法律の規定の適用に関し必要な事項は、政令で定める。
en-us	Article 66-47 If a Credit Rating Agency is a foreign corporation or an organization without legal personality for which a representative or administrator has been designated, the technical replacement of terms in the application of the provisions of this Act and necessary particulars otherwise relevant in the application of the provisions of this Act to the foreign corporation or to the organization without legal personality for which a representative or administrator has been designated are specified by Cabinet Order.

ja-jp	第六十六条の四十八　第五十七条第一項及び第三項の規定は第六十六条の二十七の登録について、第五十七条第二項及び第三項並びに第六十五条の六の規定は信用格付業者について、それぞれ準用する。この場合において、必要な技術的読替えは、政令で定める。
en-us	Article 66-48 The provisions of Article 57, paragraphs (1) and (3) apply mutatis mutandis to the registration referred to in Article 66-27, and the provisions of Article 57, paragraphs (2) and (3) and Article 65-6 apply mutatis mutandis to a Credit Rating Agency. The necessary technical replacement of terms for such a case is specified by Cabinet Order.

ja-jp	（内閣府令への委任）
en-us	(Delegation to Cabinet Office Ordinance)

ja-jp	第六十六条の四十九　第六十六条の二十七から前条までの規定を実施するための手続その他必要な事項は、内閣府令で定める。
en-us	Article 66-49 Procedures for the implementation of the provisions of Article 66-27 to the preceding Article inclusive and particulars that are otherwise necessary for their implementation are specified by Cabinet Office Ordinance.

ja-jp	第四章　金融商品取引業協会
en-us	Chapter IV Financial Instruments Business Associations

ja-jp	第一節　認可金融商品取引業協会
en-us	Section 1 Authorized Financial Instruments Business Associations

ja-jp	第一款　設立及び業務
en-us	Subsection 1 Incorporation and Services

ja-jp	（認可協会の目的）
en-us	(Purpose of an Authorized Association)

ja-jp	第六十七条　認可金融商品取引業協会（以下この章において「認可協会」という。）は、有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的とする。
en-us	Article 67 (1) An Authorized Financial Instruments Business Association (hereinafter referred to as an "Authorized Association" in this Chapter) aims to ensure fair and smooth purchase and sales and other transactions of Securities and to ensure fair and smooth Derivatives Transactions, etc., as well as to contribute to the sound development of the Financial Instruments Business and to the protection of investors.

ja-jp	２　認可協会は、有価証券（金融商品取引所に上場されていないものに限る。第六十七条の十一第一において同じ。）の流通を円滑にし、有価証券の売買その他の取引の公正を確保し、かつ、投資者の保護に資するため、店頭売買有価証券の売買（協会員（認可協会の会員をいう。以下この節において同じ。）が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。同項において同じ。）のための市場（以下「店頭売買有価証券市場」という。）を開設することができる。
en-us	(2) An Authorized Association may operate a market in which Over-the-Counter Traded Securities are traded (but only if the association members (meaning the members of an Authorized Association; hereinafter the same applies in this Section) make such transactions on their own accounts, and if association members provide intermediation, brokerage, or agency; the same applies in Article 67-11, paragraph (1)) (hereinafter referred to as an "Over-the-Counter Securities Market"), in order to facilitate the distribution of Securities (limited to Securities not listed on a Financial Instruments Exchange; the same applies in Article 67-11, paragraph (1)), to ensure fairness in purchase and sales and other transactions of Securities, and to contribute to the protection of investors.

ja-jp	３　認可協会は、定款の定めるところにより、その開設する店頭売買有価証券市場ごとに、協会員が特定投資家等以外の者（当該有価証券の発行者その他の内閣府令で定める者を除く。）の委託を受けて行う有価証券の買付け（第六十七条の十二第五号において「一般投資家等買付け」という。）を禁止することができる。
en-us	(3) For each Over-the-Counter Securities Market it operates, an Authorized Association may prohibit association members from making a purchase of Securities as requested by a person other than a Professional Investor, etc. (excluding the Issuer of the Securities or any other person specified by Cabinet Office Ordinance) (such a purchase is referred to as a "Purchase for a General Investor" in Article 67-12, item (v)), as prescribed in its articles of incorporation.

ja-jp	４　認可協会は、法人とする。
en-us	(4) An Authorized Association is as a juridical person.

ja-jp	５　認可協会でない者は、その名称中に、認可金融商品取引業協会であると誤認されるおそれのある文字を用いてはならない。
en-us	(5) A person that is not an Authorized Association must not use a term in its name which could give rise to the misconception that it is an Authorized Financial Instruments Business Association.

ja-jp	（設立の認可）
en-us	(Authorization for Incorporation)

ja-jp	第六十七条の二　認可協会は、金融商品取引業者でなければ、これを設立することができない。
en-us	Article 67-2 (1) An Authorized Association may be incorporated only by a Financial Services Provider.

ja-jp	２　金融商品取引業者は、認可協会を設立しようとするときは、内閣総理大臣の認可を受けなければならない。
en-us	(2) A Financial Services Provider must obtain the authorization of the Prime Minister if it seeks to incorporate as an Authorized Association.

ja-jp	３　登録金融機関は、登録金融機関業務を行う範囲において、前二項、第六十八条第一項及び第二項、第七十八条第一項、第七十九条の七第一項並びに第七十九条の十一の規定の適用については、金融商品取引業者とみなす。
en-us	(3) A registered financial institution is deemed to be a Financial Services Provider with regard to the application of the provisions of the preceding two paragraphs; Article 68, paragraphs (1) and (2); Article 78, paragraph (1); Article 79-7, paragraph (1); and Article 79-11, within the scope of the performance of the services of a registered financial institution.

ja-jp	（認可申請書の提出）
en-us	(Submission of a Written Application for Authorization)

ja-jp	第六十七条の三　前条第二項の認可を受けようとする者は、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 67-3 (1) A person seeking the authorization referred to in paragraph (2) of the preceding Article must submit a written application for authorization to the Prime Minister, in which it states the following particulars:

ja-jp	一　名称
en-us	(i) its name;

ja-jp	二　事務所の所在の場
en-us	(ii) the location of its office; and

ja-jp	三　役員の氏名及び協会員の名称
en-us	(iii) the names of its officers and names of its association members.

ja-jp	２　前項の認可申請書には、定款その他の規則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) The articles of incorporation and other rules as well as other documents specified by Cabinet Office Ordinance must accompany the written application for authorization referred to in the preceding paragraph.

ja-jp	（認可申請書の審査）
en-us	(Examination of Applications for Authorization)

ja-jp	第六十七条の四　内閣総理大臣は、前条第一項の規定による認可の申請があつた場合においては、その申請が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 67-4 (1) Whenever an application for authorization under paragraph (1) of the preceding Article is filed, the Prime Minister shall examine whether the application conforms to the following criteria:

ja-jp	一　定款その他の規則の規定が法令に適合し、かつ、有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業を健全に発展させるとともに、投資者を保護するために十分であること。
en-us	(i) the provisions of the articles of incorporation and other rules conform to laws and regulations, and are sufficient for ensuring fair and smooth purchase and sales and other transactions of Securities and for ensuring fair and smooth Derivatives Transactions, etc., as well as contributing to the sound development of the Financial Instruments Business and the protection of investors; and

ja-jp	二　当該申請に係る認可協会がこの法律の規定に適合するように組織されるものであること。
en-us	(ii) the Authorized Association to which the application pertains will be organized in a manner that conforms to the provisions of this Act.

ja-jp	２　内閣総理大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めるときは、次の各号のいずれかに該当する場合を除いて、設立の認可をしなければならない。
en-us	(2) If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the Prime Minister finds that an application for authorization conforms to the criteria in that paragraph, the Prime Minister must authorize incorporation, except in a case that falls under one of the following items:

ja-jp	一　認可申請者がこの法律の規定により罰金の刑に処せられ、その刑の執行を終わつた後又は執行を受けることがないこととなつた日から五年を経過するまでの者であるとき。
en-us	(i) the applicant for authorization is a person that has been sentenced to a fine pursuant to the provisions of this Act, and five years have yet to pass since the day on which the person finished serving that sentence or ceased to be subject to its enforcement;

ja-jp	二　役員のうちに第二十九条の四第一項第二号イからトまでのいずれかに該当する者があるとき。
en-us	(ii) the applicant has a person falling under one of sub-items (a) to (g) inclusive of Article 29-4, paragraph (1), item (ii) as an officer; or

ja-jp	三　認可申請書又はその添付書類のうちに重要な事項について虚偽の記載があるとき。
en-us	(iii) the written application for authorization or an accompanying document contains a false statement about a material particular.

ja-jp	（認可申請者の審問及び通知）
en-us	(Hearing and Notification of an Applicant for Authorization)

ja-jp	第六十七条の五　内閣総理大臣は、第六十七条の三第一項の規定による認可の申請があつた場合において、その認可をすることが適当でないと認めるときは、認可申請者に通知して、当該職員をして審問を行わせなければならない。
en-us	Article 67-5 (1) If an application for authorization under Article 67-3, paragraph (1) is filed and the Prime Minister finds it inappropriate to grant that authorization, the Prime Minister shall notify the applicant for authorization and have the relevant officials conduct a hearing.

ja-jp	２　内閣総理大臣は、第六十七条の二第二項の規定による認可をすることとし、又はしないこととした場合においては、遅滞なくその旨を書面により認可申請者に通知しなければならない。
en-us	(2) Upon deciding to grant or to refuse to grant the authorization under Article 67-2, paragraph (2), the Prime Minister shall notify the applicant for authorization of this in writing without delay.

ja-jp	（認可の取消し）
en-us	(Rescission of Authorization)

ja-jp	第六十七条の六　内閣総理大臣は、認可協会がその設立の認可を受けた当時既に第六十七条の四第二項各号のいずれかに該当していたことが判明したときは、その認可を取り消すことができる。
en-us	Article 67-6 If an Authorized Association is discovered to have fallen under one of the categories in the items of Article 67-4, paragraph (2) at the time it obtained its authorization for incorporation, the Prime Minister may rescind its authorization.

ja-jp	（営利追求の禁止）
en-us	(Prohibition of Profit-Seeking)

ja-jp	第六十七条の七　認可協会は、営利の目的をもつて業務を行つてはならない。
en-us	Article 67-7 An Authorized Association must not engage in any business for profit.

ja-jp	（定款の必要的記載事項）
en-us	(Particulars Required to Be Included in the Articles of Incorporation)

ja-jp	第六十七条の八　認可協会の定款には、次に掲げる事項（第十三号に掲げる事項にあつては、店頭売買有価証券市場を開設する認可協会に限る。）を記載しなければならない。
en-us	Article 67-8 (1) The articles of incorporation of an Authorized Association must include the following particulars (limited to an Authorized Association that operates an Over-the-Counter Securities Market, with regard to the particulars set forth in item (xiii)):

ja-jp	一　目的
en-us	(i) the purpose of the Authorized Association;

ja-jp	二　名称
en-us	(ii) its name;

ja-jp	三　事務所の所在地
en-us	(iii) the location of its offices;

ja-jp	四　協会員に関する事項
en-us	(iv) the particulars of its association members;

ja-jp	五　総会に関する事項
en-us	(v) the particulars of its general meetings;

ja-jp	六　役員に関する事項
en-us	(vi) the particulars of its officers;

ja-jp	七　理事会その他の会議に関する事項
en-us	(vii) the particulars of its board meetings and other meetings;

ja-jp	八　業務の執行に関する事項
en-us	(viii) the particulars of its execution of business operations;

ja-jp	九　協会員の役員及び使用人並びに金融商品仲介業者（協会員を所属金融商品取引業者等とする金融商品仲介業者に限る。以下この節において同じ。）並びにその役員及び使用人の資質の向上に関する事項
en-us	(ix) the particulars of its improvement in the quality of officers and employees of the association members, and qualities of Financial Instruments Intermediaries (limited to Financial Instruments Intermediaries whose Entrusting Financial Services Providers, etc. are association members; hereinafter the same applies in this Section) and their officers and employees;

ja-jp	十　規則の作成に関する事項
en-us	(x) the particulars involved in the preparation of rules;

ja-jp	十一　協会員及び金融商品仲介業者の業務に対する投資者からの苦情及び紛争の解決に関する事項
en-us	(xi) the particulars involved in complaints from investors concerning the operations of the association members or Financial Instruments Intermediaries, and dispute resolution;

ja-jp	十二　協会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘に関する事項
en-us	(xii) the particulars of purchase and sales and other transactions of Securities solicited by association members or Financial Instruments Intermediaries;

ja-jp	十三　店頭売買有価証券市場に関する事項
en-us	(xiii) the particulars of its Over-the-Counter Securities Market;

ja-jp	十四　協会員及び金融商品仲介業者の法令、法令に基づく行政官庁の処分若しくは定款その他の規則又は取引の信義則の遵守の状況の調査に関する事項
en-us	(xiv) the particulars of investigations into association members' and Financial Instruments Intermediaries' compliance with laws and regulations, dispositions by government agencies which are based on laws and regulations, the articles of incorporation and other rules, and the principle of good faith in their transactions;

ja-jp	十五　会費に関する事項
en-us	(xv) the particulars of membership fees;

ja-jp	十六　会計及び資産に関する事項
en-us	(xvi) the particulars of its accounting and assets; and

ja-jp	十七　公告の方法
en-us	(xvii) its method of public notice.

ja-jp	２　認可協会は、定款を変更しようとするときは、内閣総理大臣の認可を受けなければならない。
en-us	(2) An Authorized Association must obtain the authorization of the Prime Minister if it seeks to change its articles of incorporation.

ja-jp	３　認可協会は、第六十七条の三第一項第二号又は第三号に掲げる事項について変更があつたときは、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。認可協会の規則（定款及び店頭有価証券市場を開設する認可協会にあつては、第六十七条の十二の規則を除く。）の作成、変更又は廃止があつたときも、同様とする。
en-us	(3) If a particular set forth in Article 67-3, paragraph (1), item (ii) or (iii) changes, the Authorized Association must notify the Prime Minister of this without delay. The same applies when the rules of an Authorized Association (excluding the articles of incorporation; and with regard to an Authorized Association that operates an Over-the-Counter Securities Market, excluding the rules set forth in Article 67-12) are prepared, if they change, or if they are discontinued.

ja-jp	（代表者等の不法行為能力）
en-us	(Representatives' Capacity in Respect of Tortious Acts)

ja-jp	第六十七条の九　認可協会は、会長又は理事がその職務を行うことについて他人に加えた損害を賠償する責任を負う。
en-us	Article 67-9 An Authorized Association is liable for the damages that its president or board members cause another person in the performance of their duties.

ja-jp	（認可協会の住所）
en-us	(Address of an Authorized Association)

ja-jp	第六十七条の十　認可協会の住所は、その主たる事務所の所在地にあるものとする。
en-us	Article 67-10 The address of an Authorized Association is the address at which its principal office is located.

ja-jp	（店頭売買有価証券登録原簿への登録）
en-us	(Registration in the Over-the-Counter Traded Securities Register)

ja-jp	第六十七条の十一　店頭売買有価証券市場を開設する認可協会は、当該店頭売買有価証券市場において売買を行わせようとする有価証券の種類及び銘柄を当該認可協会に備える店頭売買有価証券登録原簿に登録しなければならない。
en-us	Article 67-11 (1) An Authorized Association that operates an Over-the-Counter Securities Market shall register the class and issues of Securities to be sold and purchased on that Over-the-Counter Securities Market in an Over-the-Counter Traded Securities register that is kept at the Authorized Association.

ja-jp	２　前項の認可協会は、店頭売買有価証券登録原簿の写しを、内閣府令で定めるところにより、その事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	(2) The Authorized Association set forth in the preceding paragraph shall keep a copy of the Over-the-Counter Traded Securities register at its office and make the copy available for public inspection, pursuant to the provisions of Cabinet Office Ordinance.

ja-jp	（規則の認可）
en-us	(Authorization for Regulations)

ja-jp	第六十七条の十二　認可協会は、店頭売買有価証券市場を開設しようとするときは、その規則において前条第一項の規定による登録及び店頭売買有価証券に関し、次に掲げる事項を定め、内閣総理大臣の認可を受けなければならない。当該規則を変更し、又は廃止しようとするときも、同様とする。
en-us	Article 67-12 If an Authorized Association seeks to establish an Over-the-Counter Securities Market, it must provide for the following matters in its rules, in connection with the registration under paragraph (1) of the preceding Article and Over-the-Counter Traded Securities, and obtain the authorization of the Prime Minister. The same applies if the Authorized Association seeks to change or discontinue those rules:

ja-jp	一　登録及びその取消しの基準及び方法
en-us	(i) the criteria and process for registration, and for rescission of registrations;

ja-jp	二　売買価格の報告及び発表に関する事項
en-us	(ii) the particulars involved in the reporting and announcement of trading prices;

ja-jp	三　売買その他の取引の契約の締結の方法
en-us	(iii) the process for concluding a contract for a purchase and sale or other transaction;

ja-jp	四　受渡しその他の決済方法
en-us	(iv) delivery and other means of settlement;

ja-jp	五　第六十七条第三項の規定により一般投資家等買付けを禁止する場合にあつては、前各号に掲げるもののほか、次に掲げる事項
en-us	(v) if the Authorized Association prohibits Purchases for General Investors pursuant to the provisions of Article 67, paragraph (3), the following matters, in addition to those set forth in the preceding items:

ja-jp	イ　店頭売買有価証券市場における協会員の有価証券の売買の受託の制限に関する事項
en-us	(a) the particulars of limitations imposed on association members' acceptance of requests to entrust them with the purchase and sale of Securities on the Over-the-Counter Securities Market; and

ja-jp	ロ　当該店頭売買有価証券市場において売買が行われる特定投資家向け有価証券（以下この号において「店頭売買特定投資家向け有価証券」という。）の発行者が提供又は公表をすべき特定証券情報及び発行者情報の内容、提供又は公表の方法及び時期その他店頭売買特定投資家向け有価証券に係る情報の提供又は公表に関し必要な事項
en-us	(b) the content and the means of provision or timing for the disclosure of the Specified Information on Securities and Information on the Issuer that the Issuer of Securities for Professional Investors that are traded on that Over-the-Counter Securities Market (hereinafter referred to as "Over-the-Counter Traded Securities for Professional Investors" in this item) is required to provide or disclose, and necessary particulars otherwise relevant to the provision or disclosure of information on Over-the-Counter Traded Securities for Professional Investors.

ja-jp	六　前各号に掲げる事項のほか、店頭売買有価証券の売買その他の取引に関し必要な事項
en-us	(vi) necessary particulars relevant to purchase and sales and other transactions of Over-the-Counter Traded Securities, other than the particulars set forth in the preceding items.

ja-jp	（登録等の届出）
en-us	(Notification of Registration)

ja-jp	第六十七条の十三　認可協会は、第六十七条の十一第一項の規定による登録又はその取消しを行おうとするときは、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 67-13 If an Authorized Association seeks to make a registration under Article 67-11, paragraph (1) or to rescind such registration, it must notify the Prime Minister of this.

ja-jp	（株券等の登録命令）
en-us	(Order to Register Share Certificates)

ja-jp	第六十七条の十四　内閣総理大臣は、認可協会が登録する店頭売買有価証券（株券又は第二条第一項第二十号に掲げる証券若しくは証書のうち株券に係る権利を表示するもの（以下この条及び第百二十五条において「株券等」という。）に限る。）の発行者が発行者である株券等で当該認可協会が第六十七条の十一第一項の規定による登録をしていないものを、当該認可協会が同項の規定により登録することが公益又は投資者保護のため必要かつ適当あると認めるときは、当該認可協会に対し、その株券等を同項の規定により登録すべきことを命ずることができる。
en-us	Article 67-14 If the Issuer of Over-the-Counter Traded Securities that an Authorized Association registers (limited to share certificates or the securities or certificates set forth in Article 2, paragraph (1), item (xx) that indicate a right connected with share certificates (hereinafter referred to as "Share Certificates, etc." in this Article and in Article 125)) issues Share Certificates, etc. that the Authorized Association does not register as under the provisions of Article 67-11, paragraph (1), and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors for the Authorized Association to register those Share Certificates, etc. pursuant to that paragraph, the Prime Minister may order the Authorized Association to register those Share Certificates, etc. pursuant to the provisions of that paragraph.

ja-jp	（登録取消し等の命令）
en-us	(Order to Rescind a Registration)

ja-jp	第六十七条の十五　内閣総理大臣は、認可協会が第六十七条の十二第一号に係る同条に規定する規則に違反して第六十七条の十一第一項の規定による有価証券の登録又はその取消しを行おうとする場合又は行つた場合には、当該認可協会に対し、当該登録を行つた有価証券の登録の取消し又は当該登録の取消しを行つた有価証券の再登録その他当該違反を是正するために必要な措置をとることを命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	Article 67-15 (1) If an Authorized Association violates the rules provided for in Article 67-12 as they pertain to item (i) of that Article in seeking to make or having made a registration of Securities under the provisions of Article 67-11, paragraph (1), or in seeking to rescind or having rescinded such a registration, the Prime Minister may order the Authorized Association to rescind the registration of those Securities or to re-register Securities whose registration has been rescinded, or to otherwise take the necessary measures to rectify the violation. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.

ja-jp	２　前項の規定による処分に係る聴聞において行政手続法第十五条第一項の通知があつた場合における同法第三章第二節の規定の適用については、当該有価証券の発行者は、同項の通知を受けた者とみなす。
en-us	(2) With regard to the application of the provisions of Chapter III, Section 2 of the Administrative Procedure Act if the notice referred to in Article 15, paragraph (1) of that Act is given at the hearing for a disposition under the provisions of the preceding paragraph, the Issuer of the relevant Securities is deemed to be the person that receives the notice referred to in Article 15, paragraph (1) of that Act.

ja-jp	（売買の停止等の届出）
en-us	(Notification of Suspension of Purchase and Sales)

ja-jp	第六十七条の十六　認可協会は、その登録する店頭売買有価証券について、店頭売買有価証券市場におけるその売買を停止し、又は停止を解除したときは、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	Article 67-16 If an Authorized Association suspends or cancels the suspension of purchase and sales on the Over-the-Counter Securities Market of Over-the-Counter Traded Securities that it has registered, it must notify the Prime Minister of this without delay.

ja-jp	（売買停止命令等）
en-us	(Order to Suspend Purchase and Sales)

ja-jp	第六十七条の十七　内閣総理大臣は、店頭売買有価証券の発行者が、この法律、この法律に基づく命令又は当該店頭売買有価証券を登録する認可協会の規則に違反した場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、当該認可協会に対し、その開設する店頭売買有価証券市場における当該店頭売買有価証券の売買を停止し、又は登録を取り消すことを命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	Article 67-17 (1) If an Issuer of Over-the-Counter Traded Securities violates this Act, an order given based on this Act, or the rules of the Authorized Association that has registered the relevant Over-the-Counter Traded Securities, and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may order the Authorized Association to suspend purchase and sales of, or to rescind the registration of, the Over-the-Counter Traded Securities on the Over-the-Counter Securities Market that it operates. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.

ja-jp	２　前項の規定による処分に係る聴聞において行政手続法第十五条第一項の通知があつた場合における同法第三章第二節の規定の適用については、前項の発行者は、同項の通知を受けた者とみなす。
en-us	(2) With regard to the application of the provisions of Chapter III, Section 2 of the Administrative Procedure Act if the notice referred to in Article 15, paragraph (1) of that Act is given at the hearing for a disposition under the provisions of the preceding paragraph, the Issuer referred to in the preceding paragraph is deemed to be the person that receives the notice referred to in Article 15, paragraph (1) of that Act.

ja-jp	（認可協会への報告）
en-us	(Reporting to an Authorized Association)

ja-jp	第六十七条の十八　協会員（第一号から第三号までに掲げる場合にあつては、店頭売買有価証券市場を開設する認可協会の協会員に限る。）は、次の各号に掲げる場合において当該各号に定める事項を、内閣府令で定めるところにより、その所属する認可協会に報告しなければならない。
en-us	Article 67-18 In a case set forth in one of the following items, an association member (in a case set forth in items (i) to (iii) inclusive, this is limited to the association member of an Authorized Association that operates an Over-the-Counter Securities Market) must report the particulars specified in that item to the Authorized Association to which it belongs, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　自己の計算において行う店頭売買有価証券の売買又は媒介、取次ぎ若しくは代理を行う店頭売買有価証券の売買が成立した場合　当該売買に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項
en-us	(i) if a purchase and sale of Over-the-Counter Traded Securities is made on the association member's own account, or a purchase and sale of Over-the-Counter Traded Securities is made and the association member provides intermediation, brokerage, or agency for it: the class, issue, price, volume, and other particulars specified by Cabinet Office Ordinance, with regard to the Securities subject to the purchase and sale;

ja-jp	二　自己の計算において店頭売買有価証券の売付け又は買付けの申込みをした場合　当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項
en-us	(ii) if the association member makes an offer to sell or purchase Over-the-Counter Traded Securities on its own account: the class, issue, price, and other particulars specified by Cabinet Office Ordinance, with regard to the Securities subject to the offer to sell or purchase;

ja-jp	三　店頭売買有価証券の売買の受託等をした場合　当該受託等に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項
en-us	(iii) if the association member is entrusted, etc. with a purchase and sale of Over-the-Counter Traded Securities: the class, issues, price, volume, and other particulars specified by Cabinet Office Ordinance, with regard to the Securities subject to the entrustment, etc.;

ja-jp	四　自己の計算において行う取扱有価証券（当該認可協会がその規則において、売買その他の取引の勧誘を行うことを禁じていない株券、新株予約権付社債券その他内閣府令で定める有価証券（金融商品取引所に上場されている有価証券及び店頭売買有価証券を除く。）をいう。以下同じ。）の売買又は媒介、取次ぎ若しくは代理を行う取扱有価証券の売買が成立した場合　当該売買に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項
en-us	(iv) if a purchase and sale of tradable Securities (meaning Share Certificates, corporate bond certificates with share options, or any other Securities specified by Cabinet Office Ordinance, with regard to which the Authorized Association does not prohibit solicitation for purchase and sales and other transactions in its rules (excluding Securities listed on a Financial Instruments Exchange and Over-the-Counter Traded Securities); the same applies hereinafter) is made on the association member's own account, or a purchase and sale of tradable Securities is made and the association member provides intermediation, brokerage, or agency for it: the class, issue, price, volume, and other particulars specified by Cabinet Office Ordinance, with regard to the Securities subject to the purchase and sale;

ja-jp	五　自己の計算において取扱有価証券の売付け又は買付けの申込みをした場合　当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項
en-us	(v) if the association member makes an offer to sell or purchase tradable Securities on its own account: the class, issue, price, and other particulars specified by Cabinet Office Ordinance, with regard to the Securities subject to the offer to sell or purchase;

ja-jp	六　取扱有価証券の売買の受託等をした場合　当該受託等に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項
en-us	(vi) if the association member is entrusted, etc. with the purchase and sale of tradable Securities: the class, issue, price, volume, and other particulars specified by Cabinet Office Ordinance, with regard to the Securities subject to the entrustment, etc.;

ja-jp	七　自己の計算において行う上場株券等（金融商品取引所に上場されている株券、新株予約権付社債券その他の有価証券で内閣府令で定めるものをいう。以下この条から第七十八条の五までにおいて同じ。）の取引所金融商品市場外での売買又は媒介、取次ぎ若しくは代理を行う上場株券等の取引所金融商品市場外での売買が成立した場合　当該売買に係る上場株券等の種類、銘柄、価格、数量その他内閣府令で定める事項
en-us	(vii) if a purchase and sale of Listed Share Certificates, etc. (meaning share certificates, corporate bond certificates with share options, or any other Securities specified by Cabinet Office Ordinance, which are listed on a Financial Instruments Exchange; hereinafter the same applies in this Article to Article 78-5 inclusive) is made outside of a Financial Instruments Exchange Market and on the association member's own account; or a purchase and sale of Listed Share Certificates, etc. is made outside of a Financial Instruments Exchange Market, and the association member provides intermediation, brokerage, or agency for it: the class, issue, price, volume, and other particulars specified by Cabinet Office Ordinance, with regard to the Listed Share Certificates, etc. subject to the purchase and sale; or

ja-jp	八　同時に多数の者に対し、取引所金融商品市場外での上場株券等の売付け又は買付けの申込みをした場合その他の内閣府令で定める場合　当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項
en-us	(viii) if the association member makes an offer to sell or purchase Listed Share Certificates, etc. to a large number of persons simultaneously outside of a Financial Instruments Exchange Market, or in any other case specified by Cabinet Office Ordinance: the class, issue, price, and other particulars specified by Cabinet Office Ordinance, with regard to the Securities subject to the offer to sell or purchase.

ja-jp	（売買高、価格等の通知等）
en-us	(Notice of Trading Volume, Price, etc.)

ja-jp	第六十七条の十九　認可協会は、前条の規定による報告に基づき、その開設する店頭売買有価証券市場における店頭売買有価証券の売買、取扱有価証券の売買及び上場株券等の取引所金融商品市場外での売買（協会員が自己の計算において行うもの並びに協会員が媒介、取次ぎ及び代理を行うものに限る。次条において同じ。）について、内閣府令で定めるところにより、銘柄別に毎日の売買高、最高、最低及び最終の価格その他の事項をその協会員に通知し、公表しなければならない。
en-us	Article 67-19 Pursuant to the provisions of Cabinet Office Ordinance and based on the reports under the provisions of the preceding Article, an Authorized Association shall notify its association members of, and disclose to the public, the daily trading volume and the highest price, lowest price, closing price, and other particulars, for each day and for each issue, in respect of purchase and sales of Over-the-Counter Traded Securities, purchase and sales of tradable Securities, and purchase and sales of Listed Share Certificates, etc. outside a Financial Instruments Exchange Market, on the Over-the-Counter Securities Market that it operates (limited to those which the association members make on their own accounts and those for which the association members provide intermediation, brokerage, or agency; hereinafter the same applies in the following Article).

ja-jp	（売買高、価格等の報告）
en-us	(Reporting of Trading Volume, Price, etc.)

ja-jp	第六十七条の二十　認可協会は、内閣府令で定めるところにより、その開設する店頭売買有価証券市場における店頭売買有価証券の売買、取扱有価証券の売買及び上場株券等の取引所金融商品市場外での売買に関する銘柄別の毎日の売買高、最高、最低及び最終の価格その他の事項を内閣総理大臣に報告しなければならない。
en-us	Article 67-20 Pursuant to the provisions of Cabinet Office Ordinance, an Authorized Association shall report the daily trading volume and the highest price, lowest price, closing price, and other particulars, for each day and for each issue, in respect of purchase and sales of Over-the-Counter Traded Securities, purchase and sales of tradable Securities, and purchase and sales of Listed Share Certificates, etc. outside of a Financial Instruments Exchange Market, on the Over-the-Counter Securities Market that it operates, to the Prime Minister.

ja-jp	第二款　協会員
en-us	Subsection 2 Association Members

ja-jp	（協会員の資格及び認可協会への加入の制限）
en-us	(Eligibility for Association Membership and Restrictions on Joining an Authorized Association)

ja-jp	第六十八条　認可協会の協会員は、金融商品取引業者に限る。
en-us	Article 68 (1) Membership in an Authorized Association is limited to Financial Services Providers.

ja-jp	２　認可協会は、その定款において、第五項に定める場合を除くほか、金融商品取引業者は何人も協会員として加入することができる旨を定めなければならない。ただし、金融商品取引業者の地理的条件又は業務の種類に関する事由により、協会員の加入を制限する場合は、この限りではない。
en-us	(2) Except in a case set forth in paragraph (5), an Authorized Association must stipulate in its articles of incorporation that any Financial Services Provider may join as an association member; provided, however, that this does not apply if membership is restricted by reason of a condition as to the geographic location or business type of the Financial Services Provider.

ja-jp	３　認可協会は、その定款において、詐欺行為、相場を操縦する行為又は不当な手数料若しくは費用の徴収その他協会員及び金融商品仲介業者の不当な利得行為を防止して、取引の信義則を助長することに努める旨を定めなければならない。
en-us	(3) An Authorized Association must stipulate in its articles of incorporation that it will endeavor to prevent fraudulent acts, market manipulation, the collection of unreasonable fees and costs, and profiteering by association members and Financial Instruments Intermediaries, as well as to promote the principle of good faith in their transactions.

ja-jp	４　認可協会は、その定款において、協会員に、法令及び認可協会の定款その他の規則を遵守するための当該協会員及び当該協会員を所属金融商品取引業者等とする金融商品仲介業者の社内規則及び管理体制を整備させることにより、法令又は認可協会の定款その他の規則に違反する行為を防止して、投資者の信頼を確保することに努める旨を定めなければならない。
en-us	(4) An Authorized Association must stipulate in its articles of incorporation that it will endeavor to prevent acts that are in violation of laws and regulations or the Authorized Association's articles of incorporation and other rules, and to ensure confidence of investors, by having internal rules and control systems established so that its association members and the Financial Instruments Intermediaries that have those association members as Entrusting Financial Services Providers, etc. comply with laws and regulations and with the Authorized Association's articles of incorporation and other rules.

ja-jp	５　認可協会は、その定款において、法令、法令に基づく行政官庁の処分若しくは認可協会若しくは金融商品取引所の定款その他の規則に違反し、又は取引の信義則に背反する行為をして、有価証券の売買その他の取引若しくはデリバティブ取引等の停止を命ぜられ、又は認可協会若しくは金融商品取引所から除名若しくは取引資格の取消しの処分を受けたことのある者については、その者が協会員として加入することを拒否することができる旨を定めることができる。
en-us	(5) An Authorized Association may stipulate in its articles of incorporation that it may refuse admission as an association member if an applicant has been ordered to suspend purchase and sales and other transactions of Securities or to suspend Derivatives Transactions, etc.; or has been expelled from the membership of, or had its trading license rescinded by, an Authorized Association or a Financial Instruments Exchange, on account of having violated a law or regulation, a disposition by a government agency which is based on a law or regulation, or the articles of incorporation or other rules of the Authorized Association or Financial Instrument Exchange, or on account of having engaged in an act that is contrary to the principle of good faith in transactions.

ja-jp	６　認可協会は、協会員の名簿を公衆の縦覧に供しなければならない。
en-us	(6) An Authorized Association must make a list of association members available for public inspection.

ja-jp	（協会員に対する処分等）
en-us	(Dispositions against Association Members)

ja-jp	第六十八条の二　認可協会は、その定款において、協会員又は当該協会員を所属金融商品取引業者等とする金融商品仲介業者が、法令、法令に基づく行政官庁の処分若しくは当該認可協会の定款その他の規則に違反し、又は取引の信義則に背反した場合に、当該協会員に対し、過怠金を課し、定款の定める協会員の権利の停止若しくは制限を命じ、又は除名する旨を定めなければならない。
en-us	Article 68-2 An Authorized Association must stipulate in its articles of incorporation that, if an association member or a Financial Instruments Intermediary whose Entrusting Financial Services Provider, etc. is an association member violates a law or regulation, a disposition by a government agency which is based on a law or regulation, or the Authorized Association's articles of incorporation or other rules, or if it violates the principle of good faith in transactions, the Authorized Association will impose an administrative surcharge on the association member, order the suspension or restriction of its rights as an association member as provided in the articles of incorporation, or expel it from the Authorized Association.

ja-jp	第三款　管理
en-us	Subsection 3 Management

ja-jp	（役員の選任及びその職務権限）
en-us	(Appointment of Officers and Their Official Authority)

ja-jp	第六十九条　認可協会に、役員として、会長一人、理事二人以上及び監事二人以上を置く。
en-us	Article 69 (1) An Authorized Association has one president, two or more board members, and two or more inspectors as its officers.

ja-jp	２　会長は、認可協会を代表し、その事務を総理する。
en-us	(2) A president represents an Authorized Association and presides over its affairs.

ja-jp	３　理事は、定款の定めるところにより、認可協会を代表し、会長を補佐して認可協会の事務を掌理し、会長に事故があるときはその職務を代理し、会長が欠員のときはその職務を行う。
en-us	(3) A board member, pursuant to the provisions of the articles of incorporation, represents an Authorized Association, assists the president in administering the affairs of the Authorized Association, acts as a proxy in handling the duties of the president if the president is unable to attend to them, and performs the duties of the president if the position is vacant.

ja-jp	４　監事は、認可協会の事務を監査する。
en-us	(4) An inspector examines the affairs of an Authorized Association.

ja-jp	５　役員が第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたときは、その職を失う。
en-us	(5) An officer loses the position of officer upon coming to fall under one of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive.

ja-jp	（役員の解任命令）
en-us	(Order to Dismiss an Officer)

ja-jp	第七十条　内閣総理大臣は、不正の手段により役員となつた者のあることを発見したとき、又は役員が法令、法令に基づく行政官庁の処分若しくは定款に違反したときは、認可協会に対し、当該役員の解任を命ずることができる。
en-us	Article 70 If the Prime Minister discovers that a person has become the officer of an Authorized Association by wrongful means, or if the officer of an Authorized Association violates a law or regulation, a disposition by a government agency which is based on a law or regulation, or the articles of incorporation, the Prime Minister may order the Authorized Association to dismiss that officer.

ja-jp	（仮理事又は仮監事）
en-us	(Provisional Board Members and Provisional Inspectors)

ja-jp	第七十一条　内閣総理大臣は、理事又は監事の職務を行う者のない場合において、必要があると認めるときは、仮理事又は仮監事を選任することができる。
en-us	Article 71 If there is no one to perform the duties of a board member or inspector and the Prime Minister finds it to be necessary, the Prime Minister may appoint a provisional board member or provisional inspector.

ja-jp	（役職員の秘密保持義務等）
en-us	(Duty of Confidentiality of the Officers and Employees)

ja-jp	第七十二条　認可協会の役員若しくは職員又はこれらの職にあつた者は、その職務に関して知り得た秘密を漏らし、又は盗用してはならない。
en-us	Article 72 (1) It is prohibited for the officer or employee of an Authorized Association, or for a person that that has held one of these positions, to divulge or misappropriate any secret learned in the course of duty.

ja-jp	２　認可協会の役員若しくは職員又はこれらの職にあつた者は、その職務に関して知り得た情報を、認可協会の業務の用に供する目的以外に利用してはならない。
en-us	(2) It is prohibited for the officer or employee of an Authorized Association, or for a person that has held one of these positions, to use information learned in the course of duty for a purpose other than the business uses of the Authorized Association for which the information is provided.

ja-jp	第四款　監督
en-us	Subsection 4 Supervision

ja-jp	（定款、業務規程等の変更命令）
en-us	(Order to Change the Articles of Incorporation, Operational Rules, etc.)

ja-jp	第七十三条　内閣総理大臣は、認可協会の定款その他の規則若しくは取引の慣行又は業務の運営若しくは財産の状況に関し、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、その必要の限度において、当該認可協会に対し、定款その他の規則又は取引の慣行の変更その他監督上必要な措置をとることを命ずることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	Article 73 If the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors in connection with an Authorized Association's articles of incorporation or other rules, its trade practices, or its business operations or the state of its assets, the Prime Minister, within the scope of this necessity, may order the Authorized Association to change its articles of incorporation or other rules, to change its trade practices, or to otherwise take measures that are necessary from a supervisory perspective. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister must conduct a hearing.

ja-jp	（法令違反等による認可の取消し、業務の停止、役員の解任等）
en-us	(Rescission of Authorization, Suspension of Business, and Dismissal of Officers, Due to Violation of Laws and Regulations)

ja-jp	第七十四条　内閣総理大臣は、認可協会が法令、法令に基づく行政官庁の処分若しくは当該認可協会の定款その他の規則（以下この条において「法令等」という。）に違反した場合又は協会員、金融商品仲介業者若しくは店頭売買有価証券若しくは取扱有価証券の発行者が法令等に違反し、若しくは定款その他の規則に定める取引の信義則に背反する行為をしたにもかかわらず、これらの者に対し法令等若しくは当該取引の信義則を遵守させるために認可協会がこの法律、この法律に基づく命令若しくは定款その他の規則により認められた権能を行使せずその他必要な措置をすることを怠つた場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、その設立の認可を取り消し、一年以内の期間を定めてその業務の全部若しくは一部の停止を命じ、その業務の方法の変更若しくはその業務の一部の禁止を命じ、その役員の解任を命じ、又は定款その他の規則に定める必要な措置をすることを命ずることができる。
en-us	Article 74 (1) If an Authorized Association violates a law or regulation, a disposition by a government agency which is based on a law or regulation, or its articles of incorporation or other rules (hereinafter referred to as a "Law or Regulation, etc." in this Article); or, even though an association member, a Financial Instruments Intermediary, or an Issuer of Over-the-Counter Traded Securities or tradable Securities has violated a Law or Regulation, etc. or engaged in an act that is contrary to the principle of good faith in transactions as specified in the articles of incorporation or other rules, the Authorized Association fails to exercise the powers accorded it under this Act, an order based on this Act, or its articles of incorporation or other rules, or to take other necessary measures to cause the person to observe Laws and Regulations, etc. or the principle of good faith in transactions; and the Prime Minister finds it to be necessary and appropriate in the public interest or for the protection of investors, the Prime Minister may rescind its authorization for incorporation, order the suspension of all or a part of its business activities during a fixed period of no longer than one year, order a change to its business methods, issue an order prohibiting a part of its business activities, order the dismissal of its officers, or order it to take any necessary measures that are specified in the articles of incorporation or other rules.

ja-jp	２　内閣総理大臣は、前項の規定により業務の全部若しくは一部の停止、業務の方法の変更若しくは業務の一部の禁止を命じ、又は定款その他の規則に定める必要な措置をすることを命じようとするときは、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	(2) Irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, before seeking to order the suspension of all or a part of business activities, to order a change of business methods, to issue an order prohibiting a part of business activities, or to issue an order to take any necessary measures that are specified in the articles of incorporation or other rules pursuant to the provisions of the preceding paragraph, the Prime Minister must conduct a hearing.

ja-jp	（報告の徴取及び検査）
en-us	(Collection of Reports and Inspections)

ja-jp	第七十五条　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、認可協会、店頭売買有価証券若しくは取扱有価証券の発行者又は当該認可協会から業務の委託を受けた者に対し当該認可協会の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に当該認可協会又は当該認可協会から業務の委託を受けた者の業務若しくは財産の状況若しくは帳簿書類その他の物件の検査（当該認可協会から業務の委託を受けた者にあつては、当該認可協会の業務又は財産に関し必要なものに限る。）をさせることができる。
en-us	Article 75 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 Authorized Association, an Issuer of Over-the-Counter Traded Securities or tradable Securities, or the person that an Authorized Association has entrusted with its business, to submit reports or materials that should serve as a reference with regard to the business or assets of the Authorized Association, and may have the relevant officials inspect the state of the business or assets, or the books and documents or any other articles, of an Authorized Association or the person that an Authorized Association has entrusted with its business (but may only have the relevant officials inspect the person that an Authorized Association has entrusted with its business as is necessary in connection with the business or assets of the Authorized Association).

ja-jp	（内閣総理大臣への提出書類）
en-us	(Documents to Be Submitted to the Prime Minister)

ja-jp	第七十六条　認可協会は、毎事業年度の開始の日から三月以内に、次に掲げる書類を内閣総理大臣に提出しなければならない。
en-us	Article 76 An Authorized Association shall submit the following documents to the Prime Minister within three months from the day on which each business year begins:

ja-jp	一　前事業年度の事業概況報告書及び当該事業年度の事業計画書
en-us	(i) the business summary report for the previous business year and the business plan for the current business year;

ja-jp	二　前事業年度末における財産目録
en-us	(ii) the inventory of assets as of the end of the previous business year; and

ja-jp	三　前事業年度の収支決算書及び当該事業年度の収支予算書
en-us	(iii) the statement of accounts for the previous business year and the budget statements for the current business year.

ja-jp	第五款　雑則
en-us	Subsection 5 Miscellaneous Provisions

ja-jp	（投資者からの苦情に対する対応等）
en-us	(Responding to Complaints from Investors)

ja-jp	第七十七条　認可協会は、投資者から協会員又は金融商品仲介業者の行う業務に関する苦情について解決の申出があつたときは、その相談に応じ、申出人に必要な助言をし、その苦情に係る事情を調査するとともに、当該協会員又は金融商品仲介業者に対し、その苦情の内容を通知してその迅速な処理を求めなければならない。
en-us	Article 77 (1) If an investor files for the resolution of a complaint involving business carried out by an association member or a Financial Instruments Intermediary, in addition to providing the claimant with the necessary advice and investigating the circumstances to which the complaint pertains based on its consultation with the claimant, the Authorized Association must notify the association member or Financial Instruments Intermediary of the substance and content of the complaint and request that it process the complaint expeditiously.

ja-jp	２　認可協会は、前項の申出に係る苦情の解決について必要があると認めるときは、当該協会員又は金融商品仲介業者に対し、文書若しくは口頭による説明を求め、又は資料の提出を求めることができる。
en-us	(2) If an Authorized Association finds that it is necessary in connection with the resolution of a complaint under a filing referred to in the preceding paragraph, it may request the relevant association member or Financial Instruments Intermediary to provide a written or oral explanation or submit materials.

ja-jp	３　協会員又は金融商品仲介業者は、認可協会から前項の規定による求めがあつたときは、正当な理由がないのに、これを拒んではならない。
en-us	(3) If an association member or Financial Instruments Intermediary has had a request under the preceding paragraph from an Authorized Association, it must not refuse this request without just cause for doing so.

ja-jp	４　認可協会は、第一項の申出、当該苦情に係る事情及びその解決の結果について協会員又は金融商品仲介業者に周知させなければならない。
en-us	(4) An Authorized Association must fully inform its association members and Financial Instruments Intermediaries about any filing as referred to in paragraph (1), the circumstances to which the complaint pertains, and the outcome of its resolution.

ja-jp	５　第一項の規定は、認可協会が第百五十六条の三十九第一項の規定による指定を受けている場合において、第一項の申出が当該指定に係る紛争解決等業務の種別（第百五十六条の三十八第十二項に規定する紛争解決等業務の種別をいう。次条第九項（第七十九条の十三において準用する場合を含む。）において同じ。）に関する苦情に係るものであるときは、適用しない。
en-us	(5) The provisions of paragraph (1) do not apply if an Authorized Association has obtained a designation under Article 156-39, paragraph (1) and the filing referred to in paragraph (1) is for a complaint in the Category of Dispute Resolution Services (meaning a Category of Dispute Resolution Services as prescribed in Article 156-38, paragraph (12); the same applies in paragraph (9) of the following Article (including as applied mutatis mutandis pursuant to Article 79-13) to which that designation pertains).

ja-jp	（認可協会によるあつせん）
en-us	(Mediation by Authorized Associations)

ja-jp	第七十七条の二　協会員又は金融商品仲介業者の行う有価証券の売買その他の取引又はデリバティブ取引等につき争いがある場合においては、当事者は、その争いの解決を図るため、認可協会に申し立て、あつせんを求めることができる。
en-us	Article 77-2 (1) If there is a dispute about a purchase and sale or other transaction of Securities or about a Derivatives Transaction, etc. conducted by an association member or a Financial Instruments Intermediary, any of the parties to the transaction may file for mediation with an Authorized Association, for the purpose of attempting to resolve that dispute.

ja-jp	２　認可協会は、前項の規定による申立てを受けたときは、学識経験を有する者であつてその申立てに係る争い（以下この条において「事件」という。）の当事者と特別の利害関係のない者をあつせん委員として選任し、当該あつせん委員によるあつせんに付するものとする。ただし、あつせん委員は、事件がその性質上あつせんを行うのに適当でないと認めるとき、又は当事者が不当な目的でみだりにあつせんの申立てをしたと認めるときは、あつせんを行わないものとする。
en-us	(2) If an Authorized Association receives a filing under the preceding paragraph, it must appoint a mediator that has the relevant knowledge and experience and that has no special interest in the parties to the dispute subject to that filing (hereinafter referred to as the "Case" in this Article), and must refer the Case to mediation by that mediator; provided, however, that a mediator must not mediate if the mediator finds that the Case is not suited for mediation due to its nature, or that the party has filed for mediation for unjust purposes and without due cause.

ja-jp	３　あつせん委員は、当事者若しくは参考人から意見を聴取し、若しくは報告書の提出を求め、又は当事者から参考となるべき帳簿書類その他の物件の提出を求め、適当と認めたときは、事件の解決に必要なあつせん案を作成し、その受諾を勧告することができる。
en-us	(3) A mediator may hear the opinions of the parties and witnesses, request them to submit reports, and request the parties to submit books and documents or other articles that should serve as reference; and may prepare the mediation proposal that is needed to resolve the Case and recommend that the parties accept it, as the mediator finds appropriate.

ja-jp	４　前三項の場合において、金融商品仲介業者が当事者であるときは、その所属金融商品取引業者等も当事者とみなす。
en-us	(4) In the cases referred to in the preceding three paragraphs, if a Financial Instruments Intermediary is a party, its Entrusting Financial Services Provider, etc. is also deemed to be a party.

ja-jp	５　協会員又は金融商品仲介業者は、第三項の規定による求めがあつたときは、正当な理由がないのに、これを拒んではならない。
en-us	(5) If an association member or a Financial Instruments Intermediary has had a request under the provisions of paragraph (3), it must not refuse this request without just cause.

ja-jp	６　認可協会は、あつせんに関し要した費用の全部又は一部を、当事者から徴収することができる。
en-us	(6) An Authorized Association may collect from the parties all or part of the expenses incurred in relation to mediation.

ja-jp	７　あつせん委員又はその職にあつた者は、その職務に関して知り得た秘密を漏らし、又は盗用してはならない。
en-us	(7) It is prohibited for a mediator or former mediator to divulge or misappropriate any secret learned in the course of duty.

ja-jp	８　あつせん委員又はその職にあつた者は、その職務に関して知り得た情報を、認可協会の業務の用に供する目的以外に利用してはならない。
en-us	(8) It is prohibited for a mediator or former mediator to use information learned in the course of duty for a purpose other than the business use of the Authorized Association for which the information is provided.

ja-jp	９　第一項の規定は、認可協会が第百五十六条の三十九第一項の規定による指定を受けている場合において、第一項の争いが当該指定に係る紛争解決等業務の種別に係るときは、適用しない。
en-us	(9) The provisions of paragraph (1) do not apply if an Authorized Association has obtained a designation under Article 156-39, paragraph (1) and the dispute referred to in paragraph (1) is in the Category of Dispute Resolution Services to which that designation pertains.

ja-jp	（あつせん業務の第三者への委託）
en-us	(Entrustment of Mediation Services to Third Parties)

ja-jp	第七十七条の三　認可協会は、第七十七条第一項に規定する苦情についての解決の業務及び前条第一項に規定するあつせんの業務について、これらの業務を適確に遂行するに足りる財産的基礎及び人的構成を有する者にこれらの業務を委託することができる。
en-us	Article 77-3 (1) An Authorized Association may entrust the complaint resolution services prescribed in Article 77, paragraph (1) and the mediation services prescribed in paragraph (1) of the preceding Article to a person that has a sufficient financial basis and personnel structure for performing these services in an appropriate manner.

ja-jp	２　前項の規定にかかわらず、認可協会は、同項の苦情についての解決の業務及びあつせんの業務を、次の各号のいずれかに該当する者に委託することができない。
en-us	(2) Notwithstanding the provisions of the preceding paragraph, an Authorized Association may not entrust the complaint resolution services and mediation services referred to in that paragraph to a person that falls under one of the following items:

ja-jp	一　この法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
en-us	(i) a person that has been sentenced pursuant to any provision of this Act, if two years have not yet passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement;

ja-jp	二　第七十四条第一項の規定により認可を取り消され、その取消しの日から二年を経過しない者
en-us	(ii) a person whose authorization has been rescinded pursuant to Article 74, paragraph (1), if two years have not yet passed since the date of rescission; or

ja-jp	三　その業務を行う役員のうちに、次のいずれかに該当する者がある者
en-us	(iii) a person that has a person falling under one of the following as an officer conducting its business:

ja-jp	イ　禁錮以上の刑に処せられ、若しくはこの法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
en-us	(a) a person that has been sentenced to imprisonment or a heavier punishment or that has been sentenced pursuant to any provision of this Act, if two years have not yet passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement; or

ja-jp	ロ　第七十四条第一項の規定により認可を取り消された認可協会において、その取消しの日前三十日以内にその役員であつた者でその取消しの日から二年を経過しない者
en-us	(b) a person that, during the 30 days before the date of rescission, was the officer of an Authorized Association whose authorization has been rescinded pursuant to Article 74, paragraph (1), if two years have not yet passed since the date of rescission.

ja-jp	３　第一項の規定により業務の委託を受けた者は、当該委託に係る業務を再委託することができない。
en-us	(3) A person entrusted with services pursuant to the provisions of paragraph (1) may not further entrust the services under that entrustment.

ja-jp	４　前二条の規定は、第一項の規定により認可協会から委託を受けた業務について準用する。
en-us	(4) The provisions of the preceding two Articles apply mutatis mutandis to the services entrusted by an Authorized Association pursuant to the provisions of paragraph (1).

ja-jp	（認可協会による啓発活動等）
en-us	(Educational Activities by Authorized Associations)

ja-jp	第七十七条の四　認可協会は、金融に係る知識の普及、啓発活動及び広報活動を通じて、金融商品取引業の健全な発展及び投資者の保護の促進に努めなければならない。
en-us	Article 77-4 An Authorized Association must endeavor to facilitate the sound development of the Financial Instruments Business and the protection of investors through the dissemination of financial knowledge and through educational and publicity campaigns.

ja-jp	（協会の登記）
en-us	(Registration of Associations)

ja-jp	第七十七条の五　認可協会は、政令で定めるところにより、登記しなければならない。
en-us	Article 77-5 (1) An Authorized Association must register pursuant to the provisions of Cabinet Order.

ja-jp	２　認可協会は、その主たる事務所の所在地において、設立の登記をすることによつて成立する。
en-us	(2) An Authorized Association is established by a registration of its incorporation being recorded in connection with the location of its principal office.

ja-jp	３　第一項の規定により登記しなければならない事項は、登記の後でなければ、これをもつて第三者に対抗することができない。
en-us	(3) The particulars that must be registered pursuant to the provisions of paragraph (1) may not be duly asserted against a third party until after their registration.

ja-jp	（協会の解散事由等）
en-us	(Grounds for the Dissolution of an Association)

ja-jp	第七十七条の六　認可協会は、次の事由により解散する。
en-us	Article 77-6 (1) An Authorized Association is dissolved for the following reasons:

ja-jp	一　定款に定める事由の発生
en-us	(i) the occurrence of a cause specified by the articles of incorporation;

ja-jp	二　総会の決議
en-us	(ii) a general meeting resolution;

ja-jp	三　協会員の数が五以下となつたこと。
en-us	(iii) the number of association members falls to five or below;

ja-jp	四　破産手続開始の決定
en-us	(iv) an order to commence bankruptcy proceedings; or

ja-jp	五　認可協会の設立の認可の取消し
en-us	(v) the rescission of the authorization for incorporation of the Authorized Association.

ja-jp	２　認可協会の解散に関する総会の決議は、内閣総理大臣の認可を受けなければ、その効力を生じない。
en-us	(2) A general meeting resolution concerning the dissolution of an Authorized Association does not become effective without the authorization of the Prime Minister.

ja-jp	３　認可協会が第一項第一号又は第三号の規定により解散したときは、その代表者であつた者は、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	(3) If an Authorized Association has been dissolved pursuant to the provisions of item (i) or (iii) of paragraph (1), the former representative must notify the Prime Minister of this without delay.

ja-jp	４　認可協会について破産手続開始若しくは破産手続終結の決定があつた場合又は破産手続開始の決定の取消し若しくは破産手続廃止の決定が確定した場合には、裁判所書記官は、その旨を内閣総理大臣に通知しなければならない。
en-us	(4) , If an order to commence bankruptcy proceedings or an order to terminate bankruptcy proceedings is issued with regard to an Authorized Association, or if the rescission of an order to commence bankruptcy proceedings, or an order to discontinue bankruptcy proceedings, becomes final and binding with regard to an Authorized Association, the court clerk must notify the Prime Minister of this.

ja-jp	５　前各項に定めるもののほか、認可協会の解散に関し必要な事項は、政令で定める。
en-us	(5) Beyond what is provided for in the preceding paragraphs, necessary particulars relevant to the dissolution of an Authorized Association are specified by Cabinet Order.

ja-jp	（内閣府令への委任）
en-us	(Delegation to Cabinet Office Ordinance)

ja-jp	第七十七条の七　第六十七条から前条までの規定を実施するための手続その他その執行について必要な事項は、内閣府令で定める。
en-us	Article 77-7 Procedures for the implementation of the provisions of Article 67 to the preceding Article inclusive and particulars that are otherwise necessary for their enforcement are specified by Cabinet Office Ordinance.

ja-jp	第二節　認定金融商品取引業協会
en-us	Section 2 Certified Financial Instruments Business Associations

ja-jp	第一款　認定及び業務
en-us	Subsection 1 Certification and Services

ja-jp	（認定金融商品取引業協会の認定）
en-us	(Certification of Certified Financial Instruments Business Associations)

ja-jp	第七十八条　内閣総理大臣は、政令で定めるところにより、金融商品取引業者が設立した一般社団法人であつて、次に掲げる要件に該当すると認められるものを、その申請により、次項に規定する業務を行う者として認定することができる。
en-us	Article 78 (1) The Prime Minister, pursuant to the provisions of Cabinet Order, may certify a general incorporated association that has been incorporated by a Financial Services Provider and that is found to satisfy the following requirements, to conduct the services set forth in the following paragraph, at the application of such a general incorporated association:

ja-jp	一　有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的とすること。
en-us	(i) its aim is to ensure fair and smooth purchase and sales and other transactions of Securities and to ensure fair and smooth Derivatives Transactions, etc., as well as contributing to the sound development of the Financial Instruments Business and to the protection of investors;

ja-jp	二　金融商品取引業者を会員とする旨の定款の定めがあること。
en-us	(ii) its articles of incorporation stipulate that its members be Financial Services Providers;

ja-jp	三　次項に規定する業務を適正かつ確実に行うに必要な業務の実施の方法を定めているものであること。
en-us	(iii) it has established the necessary methods of business implementation for it to perform the services prescribed in the following paragraph properly and reliably; and

ja-jp	四　次項に規定する業務を適正かつ確実に行うに足りる知識及び能力並びに財産的基礎を有するものであること。
en-us	(iv) it has the necessary knowledge, ability, and financial basis for performing the services prescribed in the following paragraph properly and reliably.

ja-jp	２　前項の規定により認定された一般社団法人（以下この項及び次条において「認定金融商品取引業協会」という。）は、次に掲げる業務を行うものとする。
en-us	(2) A general incorporated association certified pursuant to the preceding paragraph (hereinafter referred to as a "Certified Financial Instruments Business Association" in this paragraph and the following Article) is to conduct the following services:

ja-jp	一　金融商品取引業を行うに当たり、この法律その他法令の規定を遵守させるための会員及び金融商品仲介業者（会員を所属金融商品取引業者等とするものに限る。以下この節において同じ。）に対する指導、勧告その他の業務
en-us	(i) providing its members and Financial Instruments Intermediaries (limited to those whose Entrusting Financial Services Providers, etc. are its members; hereinafter the same applies in this Section) with guidance, recommendations, and other services in order to have them comply the provisions of this Act and other laws and regulations while operating in Financial Instruments Business:

ja-jp	二　会員及び金融商品仲介業者の行う金融商品取引業に関し、契約の内容の適正化、資産運用の適正化、その他投資者の保護を図るため必要な調査、指導、勧告その他の業務
en-us	(ii) conducting the necessary investigations and providing the necessary guidance, recommendations, and other services for ensuring the propriety of contracts and of asset management, and for otherwise protecting investors with regard to the Financial Instruments Business in which its members and Financial Instruments Intermediaries operate;

ja-jp	三　会員及び金融商品仲介業者のこの法律若しくはこの法律に基づく命令若しくはこれらに基づく処分若しくは定款その他の規則又は取引の信義則の遵守の状況の調査
en-us	(iii) investigating members' and Financial Instruments Intermediaries' compliance with this Act, orders that are based on this Act, dispositions that are based on this Act or on such orders, the articles of incorporation and other rules, and the principle of good faith in transactions;

ja-jp	四　会員及び金融商品仲介業者の行う金融商品取引業に関する投資者からの苦情の解決
en-us	(iv) resolving complaints filed by investors with regard to the Financial Instruments Business in which its members and Financial Instruments Intermediaries operate;

ja-jp	五　会員及び金融商品仲介業者の行う金融商品取引業に関する紛争の解決
en-us	(v) resolving disputes arisen from the Financial Instruments Business in which its members and Financial Instruments Intermediaries operate;

ja-jp	六　第六十四条の七第一項（第六十六条の二十五において準用する場合を含む。）又は第二項の規定により行う登録事務
en-us	(vi) carrying out the Registration Work that is done pursuant to Article 64-7, paragraph (1) (including as applied mutatis mutandis pursuant to Article 66-25) or Article 64-7, paragraph (2);

ja-jp	七　会員及び金融商品仲介業者の有価証券の売買その他の取引の勧誘の適正化に必要な業務のため必要な規則の制定その他の業務
en-us	(vii) establishing the necessary rules and providing other services for ensuring propriety in its members' and Financial Instruments Intermediaries' solicitation in respect of purchase and sales and other transactions of Securities;

ja-jp	八　投資者に対する広報その他認定金融商品取引業協会の目的を達成するため必要な業務
en-us	(viii) conducting public relations aimed at investors and providing other services that are necessary for the Certified Financial Instruments Business Association to achieve its purpose; and

ja-jp	九　前各号に掲げるもののほか、金融商品取引業の健全な発展又は投資者の保護に資する業務
en-us	(ix) services beyond what is set forth in the preceding items, which contribute to the sound development of the Financial Instruments Transaction Business and to the protection of investors.

ja-jp	（投資者保護の促進等）
en-us	(Furtherance of Investors Protection)

ja-jp	第七十八条の二　認定金融商品取引業協会（以下この章において「認定協会」という。）は、前条第二項各号に掲げるもののほか、金融に係る知識の普及、啓発活動及び広報活動を通じて、金融商品取引業の健全な発展及び投資者の保護の促進に努めなければならない。
en-us	Article 78-2 (1) A Certified Financial Instruments Business Association (hereinafter referred to as a "Certified Association" in this Chapter) must endeavor to further the sound development of the Financial Instruments Business and the protection of investors through the dissemination of financial knowledge, and through educational and publicity campaigns, in addition to what is set forth in the items of paragraph (2) of the preceding Article.

ja-jp	２　認定協会は、会員名簿を公衆の縦覧に供しなければならない。
en-us	(2) A Certified Association must make the membership list available for public inspection.

ja-jp	３　認定協会でない者は、その名称中に、認定金融商品取引業協会であると誤認されるおそれのある文字を用いてはならない。
en-us	(3) A person that is not a Certified Association must not use a term in its name which could give rise to the misconception that it is a Certified Financial Instruments Business Association.

ja-jp	（認定協会への報告）
en-us	(Reporting to Certified Associations)

ja-jp	第七十八条の三　会員は、次の各号に掲げる場合において当該各号に定める事項を、内閣府令で定めるところにより、その所属する認定協会に報告しなければならない。
en-us	Article 78-3 In a case set forth in one of the following items, the member of a Certified Association must report the particulars prescribed in that item to the Certified Association, pursuant to the provisions of Cabinet Office Ordinance:

ja-jp	一　自己の計算において行う上場株券等の取引所金融商品市場外での売買又は媒介、取次ぎ若しくは代理を行う上場株券等の取引所金融商品市場外での売買が成立した場合　当該売買に係る上場株券等の種類、銘柄、価格、数量その他内閣府令で定める事項
en-us	(i) a purchase and sale of Listed Share Certificates, etc. is made outside of a Financial Instruments Exchange Market and on the member's own account, or a purchase and sale of Listed Share Certificates, etc. is made outside of a Financial Instruments Exchange Market and the member provides intermediation, brokerage, or agency for it: the class, issue, price, volume, and other particulars specified by Cabinet Office Ordinance, with regard to the Listed Share Certificates, etc. that are subject to the purchase and sale; and

ja-jp	二　同時に多数の者に対し、取引所金融商品市場外での上場株券等の売付け又は買付けの申込みをした場合その他の内閣府令で定める場合　当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項
en-us	(ii) the member makes an offer to sell or purchase Listed Share Certificates, etc. to a large number of persons simultaneously outside of a Financial Instruments Exchange Market, or in any other case specified by Cabinet Office Ordinance: the class, issue, price, volume, and other particulars specified by Cabinet Office Ordinance, with regard to the Listed Share Certificates, etc. subject to the offer to sell or purchase.

ja-jp	（売買高、価格等の通知等）
en-us	(Notice of Trading Volume, Price, etc.)

ja-jp	第七十八条の四　認定協会は、前条の規定による報告に基づき、上場株券等の取引所金融商品市場外での売買（会員が自己の計算において行うもの並びに会員が媒介、取次ぎ及び代理を行うものに限る。次条において同じ。）について、内閣府令で定めるところにより、銘柄別に毎日の売買高、最高、最低及び最終の価格その他の事項をその会員に通知し、公表しなければならない。
en-us	Article 78-4 Pursuant to the provisions of Cabinet Office Ordinance and based on the reports under the provisions of the preceding Article, a Certified Association shall notify its members of, and disclose to the public, the daily trading volume and the highest price, lowest price, closing price, and other particulars, for each day and for each issue, in respect of purchase and sales of Listed Share Certificates, etc. outside a Financial Instruments Exchange Market (limited to those made by its member on their own accounts, and those for which its members provide intermediation, brokerage, or agency; the same applies in the following Article).

ja-jp	（売買高、価格等の報告）
en-us	(Reporting of Trading Volume, Price, etc.)

ja-jp	第七十八条の五　認定協会は、内閣府令で定めるところにより、上場株券等の取引所金融商品市場外での売買に関する銘柄別の毎日の売買高、最高、最低及び最終の価格その他の事項を内閣総理大臣に報告しなければならない。
en-us	Article 78-5 Pursuant to the provisions of Cabinet Office Ordinance, a Certified Association shall report the daily trading volume and the highest price, lowest price, closing price, and other particulars, for each day and for each issue, in respect of purchase and sales of Listed Share Certificates, etc. outside of a Financial Instruments Exchange Market, to the Prime Minister.

ja-jp	（投資者からの苦情に対する対応等）
en-us	(Responding to Complaints from Investors)

ja-jp	第七十八条の六　第七十七条の規定は、認定協会が投資者からの苦情の解決を行う場合について準用する。この場合において、同条中「協会員」とあるのは、「会員」と読み替えるものとする。
en-us	Article 78-6 The provisions of Article 77 apply mutatis mutandis to the resolution of investors' complaints by a Certified Association. In this case, in that Article, the term "association member" is deemed to be replaced with "member".

ja-jp	（認定協会によるあつせん）
en-us	(Mediation by Certified Associations)

ja-jp	第七十八条の七　第七十七条の二の規定は、認定協会があつせんを行う場合について準用する。この場合において、同条第一項及び第五項中「協会員」とあるのは、「会員」と読み替えるものとする。
en-us	Article 78-7 The provisions of Article 77-2 apply mutatis mutandis to mediation conducted by a Certified Association. In this case, in paragraphs (1) and (5) of that Article, the term "association member" is deemed to be replaced with "member".

ja-jp	（あつせん業務の第三者への委託）
en-us	(Entrustment of Mediation Services to a Third Party)

ja-jp	第七十八条の八　認定協会は、第七十八条の六において準用する第七十七条第一項に規定する苦情についての解決の業務及び前条において準用する第七十七条の二第一項に規定するあつせんの業務について、これらの業務を適確に遂行する財産的基礎及び人的構成を有する者にこれらの業務を委託することができる。
en-us	Article 78-8 (1) A Certified Association may entrust the complaint resolution services prescribed in Article 77, paragraph (1) as applied mutatis mutandis pursuant to Article 78-6 and the mediation services prescribed in Article 77-2, paragraph (1) as applied mutatis mutandis pursuant to the preceding Article to a person that has the financial basis and personnel structure to perform these services in an appropriate manner.

ja-jp	２　前項の規定にかかわらず、同項の苦情についての解決の業務及びあつせんの業務は、次の各号のいずれかに該当する者に委託することができない。
en-us	(2) Notwithstanding the provisions of the preceding paragraph, the complaint resolution services and mediation services referred to in that paragraph may not be entrusted to a person that falls under one of the following items:

ja-jp	一　この法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
en-us	(i) a person that has been sentenced pursuant to any provision of this Act, if two years have not yet passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement;

ja-jp	二　第七十九条の六第二項の規定により認定を取り消され、その取消しの日から二年を経過しない者
en-us	(ii) a person whose recognition has been rescinded pursuant to Article 79-6, paragraph (2), if two years have not yet passed since the date of the rescission; or

ja-jp	三　その業務を行う役員のうちに、次のいずれかに該当する者がある者
en-us	(iii) a person that has a person falling under one of the following as an officer conducting its business:

ja-jp	イ　禁錮以上の刑に処せられ、若しくはこの法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
en-us	(a) a person that has been sentenced to imprisonment or a heavier punishment or has been sentenced pursuant to any provision of this Act, if two years have not yet passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement; or

ja-jp	ロ　第七十九条の六第二項の規定により認定を取り消された法人において、その取消しの日前三十日以内にその役員であつた者でその取消しの日から二年を経過しない者
en-us	(b) a person that, during the 30 days prior to the date of rescission, was the officer of a corporation whose recognition has been rescinded pursuant to Article 79-6, paragraph (2), if two years have not yet passed since the date of the rescission.

ja-jp	３　第一項の規定により業務の委託を受けた者は、当該委託に係る業務を再委託することができない。
en-us	(3) A person entrusted with services pursuant to paragraph (1) may not further entrust the services under that entrustment.

ja-jp	４　第七十八条の六において準用する第七十七条及び前条において準用する第七十七条の二の規定は、第一項の規定により認定協会から業務の委託を受けた者が行う業務について準用する。
en-us	(4) The provisions of Article 77 as applied mutatis mutandis pursuant to Article 78-6, and Article 77-2 as applied mutatis mutandis pursuant to the preceding Article, apply to the services performed by the person that a Certified Association entrusts with its services pursuant to paragraph (1).

ja-jp	（役職員の秘密保持義務等）
en-us	(Duty of Confidentiality of the Officers and Employees)

ja-jp	第七十九条　第七十二条の規定は、認定協会の役員若しくは職員又はこれらの職にあつた者について準用する。
en-us	Article 79 The provisions of Article 72 apply to the officers and employees of a Certified Association, and to any person that has held one of these positions.

ja-jp	第二款　監督
en-us	Subsection 2 Supervision

ja-jp	（定款の必要的記載事項）
en-us	(Particulars Required to Be Included in the Articles of Incorporation)

ja-jp	第七十九条の二　一般社団法人及び一般財団法人に関する法律（平成十八年法律第四十八号）第十一条第一項各号に掲げる事項及び第七十八条第一項第二号に規定する定款の定めのほか、認定協会は、その定款において、この法律若しくはこの法律に基づく命令若しくはこれらに基づく処分若しくは当該認定協会の定款その他の規則に違反し、又は取引の信義則に背反する行為をした会員に対し、過怠金を課し、定款で定める会員の権利の停止若しくは制限を命じ、又は除名する旨を定めなければならない。
en-us	Article 79-2 In addition to the matters set forth in the items of Article 11, paragraph (1) of the Act on General Incorporated Associations and General Incorporated Foundations (Act No. 48 of 2006) and the provisions of the articles of incorporation as set forth in Article 78, paragraph (1), item (ii), a Certified Association must stipulate in its articles of incorporation that if a member violates this Act, an order that is based on this Act, a disposition that is based on this Act or on such an order, or the articles of incorporation or other rules of the Certified Association, or if a member engages in an act that is contrary to the principle of good faith in transactions, the Certified Association will impose an surcharge on the member, order the suspension or restriction of its rights as a member as provided in the articles of incorporation, or expel it from the Certified Association.

ja-jp	第七十九条の三　認定協会は、次に掲げる事項に関する規程を定め、内閣総理大臣の認可を受けなければならない。これを変更しようとするときも、同様とする。
en-us	Article 79-3 (1) A Certified Association must establish rules concerning the following particulars and must obtain the authorization of the Prime Minister for the same. The same applies if the Certified Association seeks to change the rules:

ja-jp	一　第七十八条第二項に規定する業務に関する事項
en-us	(i) the particulars of the services prescribed in Article 78, paragraph (2); and

ja-jp	二　売買その他の取引の勧誘を行うことが禁じられない株券、新株予約権付社債券その他内閣府令で定める有価証券（金融商品取引所に上場されている有価証券及び店頭売買有価証券を除く。）の種類に関する事項
en-us	(ii) the particulars of the classes of share certificates, corporate bond certificates with share options, or Securities specified by Cabinet Office Ordinance (excluding Securities listed on a Financial Instruments Exchange and Over-the-Counter Traded Securities) with no prohibition on solicitation being carried out in respect of purchase and sales and other transactions.

ja-jp	２　認定協会は、当該公益協会の役員又は会員に異動があつたときは、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	(2) A Certified Association must notify the Prime Minister of any change in its officers or members without delay.

ja-jp	（報告の徴取及び立入検査）
en-us	(Submission of Reports and On-Site Inspections)

ja-jp	第七十九条の四　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、認定協会又は当該認定協会から業務の委託を受けた者に対し、その業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に、当該認定協会又は当該認定協会から業務の委託を受けた者の事務所に立ち入り、その業務若しくは財産の状況若しくは帳簿書類その他の物件の検査（当該認定協会から業務の委託を受けた者にあつては、当該認定協会の業務又は財産に関し必要なものに限る。）をさせ、若しくは関係者に質問（当該認定協会から業務の委託を受けた者にあつては、当該認定協会の業務又は財産に関し必要なものに限る。）をさせることができる。
en-us	Article 79-4 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 Certified Association or the person that a Certified Association has entrusted with its business, to submit reports or materials that should serve as a reference with regard to the business or assets of the Certified Association or person, and may have the relevant officials enter the office of a Certified Association or the person that a Certified Association has entrusted with its business to inspect the state of its business or assets or its books and documents or any other articles (but may only have the relevant officials inspect the person that a Certified Association has entrusted with its business as is necessary in connection with the business or assets of the Certified Association) or to question the relevant persons (but may only have the relevant officials question the person that a Certified Association has entrusted with its business as is necessary in connection with the business or assets of the Certified Association).

ja-jp	（内閣総理大臣に対する協力）
en-us	(Cooperation with the Prime Minister)

ja-jp	第七十九条の五　内閣総理大臣は、この節の規定の円滑な実施を図るため、内閣府令で定めるところにより、当該規定に基づく資料の提出、届出その他必要な事項について、認定協会に協力させることができる。
en-us	Article 79-5 For the purpose of promoting the smooth implementation of the provisions of this Section, the Prime Minister, pursuant to the provisions of Cabinet Office Ordinance, may have a Certified Association submit materials or make notifications as prescribed in the relevant provisions of this Section, or provide cooperation with regard to particulars that are otherwise necessary.

ja-jp	（認定協会に対する監督命令）
en-us	(Issuance of Supervision Orders against Certified Associations)

ja-jp	第七十九条の六　内閣総理大臣は、業務の運営に関し改善が必要であると認めるときは、この節の規定の施行に必要な限度において、認定協会に対し、その改善に必要な措置をとるべきことを命ずることができる。
en-us	Article 79-6 (1) If the Prime Minister finds that improvement is needed in connection with the business operations of a Certified Association, the Prime Minister, within the scope that is necessary for the implementation of the provisions of this Section, may order the Certified Association to take measures that are necessary for this improvement.

ja-jp	２　内閣総理大臣は、認定協会の業務の運営がこの法律若しくはこの法律に基づく命令又はこれらに基づく処分に違反していると認めるときは、その認定を取り消し、又は六月以内の期間を定めてその業務の全部若しくは一部の停止を命ずることができる。
en-us	(2) If the Prime Minister finds a Certified Association's business operations to be in violation of this Act, an order that is based on this Act, or a disposition that is based on this Act or on such an order, the Prime Minister may rescind its recognition or order the suspension of all or part of its business activities during a fixed period of no longer than six months.

ja-jp	第三節　認定投資者保護団体
en-us	Section 3 Certified Investor Protection Organizations

ja-jp	（認定投資者保護団体の目的及び業務）
en-us	(Purpose and Services of Certified Investor Protection Organizations)

ja-jp	第七十九条の七　有価証券の売買その他の取引及びデリバティブ取引等を公正かつ円滑にし、並びに金融商品取引業の健全な発展及び投資者の保護に資することを目的として、次の各号に掲げる業務を行おうとする法人（法人でない団体で代表者又は管理人の定めのあるものを含み、認可協会及び認定協会を除く。次条第三号ロにおいて同じ。）は、内閣総理大臣の認定を受けることができる。
en-us	Article 79-7 (1) A corporation (including an organization without legal personality for which a representative or administrator has been designated, and excluding an Authorized Association or a Certified Association; hereinafter the same applies in item (iii), sub-item (b) of the following Article) that seeks to provide the services set forth in each of the following items with the aim of ensuring fair and smooth purchase and sales and other transactions of Securities and of ensuring fair and smooth Derivatives Transactions, etc. as well as contributing to the sound development of the Financial Instruments Business and to the protection of investors, may obtain the certification of the Prime Minister:

ja-jp	一　金融商品取引業者又は金融商品仲介業者の行う金融商品取引業に対する苦情の解決
en-us	(i) resolution of complaints about Financial Instruments Business that a Financial Services Provider or a Financial Instruments Intermediary engages in;

ja-jp	二　金融商品取引業者又は金融商品仲介業者の行う金融商品取引業に争いがある場合のあつせん
en-us	(ii) mediation in the event of a dispute about Financial Instruments Business that a Financial Services Provider or a Financial Instruments Intermediary engages in; and

ja-jp	三　前二号に掲げるもののほか、金融商品取引業の健全な発展又は投資者の保護に資する業務
en-us	(iii) services beyond what is set forth in the preceding two items, which contribute to the sound development of the Financial Instruments Business and to the protection of investors.

ja-jp	２　前項の認定を受けようとする者は、政令で定めるところにより、内閣総理大臣に対し申請をしなければならない。
en-us	(2) A person seeking to obtain the certification referred to in the preceding paragraph must file an application with the Prime Minister pursuant to the provisions of Cabinet Order.

ja-jp	３　内閣総理大臣は、第一項の認定をしたときは、その旨を公示しなければならない。
en-us	(3) Upon granting the certification referred to in paragraph (1), the Prime Minister shall issue public notice of this.

ja-jp	第七十九条の八　次の各号のいずれかに該当する者は、前条第一項の認定を受けることができない。
en-us	Article 79-8 A person that falls under one of the following items may not obtain the certification referred to in paragraph (1) of the preceding Article:

ja-jp	一　この法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
en-us	(i) a person that has been sentenced pursuant to any provision of this Act, if two years have not yet passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement;

ja-jp	二　第七十九条の十九第一項の規定により認定を取り消され、その取消しの日から二年を経過しない者
en-us	(ii) a person whose certification has been rescinded pursuant to Article 79-19, paragraph (1), if two years have not yet passed since the date of the rescission; or

ja-jp	三　その業務を行う役員（法人でない団体で代表者又は管理人の定めのあるものの代表者又は管理人を含む。以下この条において同じ。）のうちに、次のいずれかに該当する者があるもの
en-us	(iii) a person that has a person falling under one of the following as an officer conducting its business (including the representative or administrator of an organization without legal personality for which a representative or administrator has been designated; hereinafter the same applies in this Article):

ja-jp	イ　禁錮以上の刑に処せられ、若しくはこの法律の規定により刑に処せられ、その執行を終わり、又は執行を受けることがなくなつた日から二年を経過しない者
en-us	(a) a person that has been sentenced to imprisonment or a heavier punishment or that has been sentenced pursuant to any provision of this Act, if two years have not yet passed since the day on which the person finished serving that sentence or ceased to be subject to its enforcement; or

ja-jp	ロ　第七十九条の十九第一項の規定により認定を取り消された法人において、その取消しの日前三十日以内にその役員であつた者でその取消しの日から二年を経過しない者
en-us	(b) a person that, during the 30 days prior to the date of rescission, was the officer of a corporation whose certification has been rescinded pursuant to Article 79-19, paragraph (1), if two years have not yet passed since the date of the rescission.

ja-jp	（認定の基準）
en-us	(Criteria for Certification)

ja-jp	第七十九条の九　内閣総理大臣は、第七十九条の七第二項の規定による申請が次の各号のいずれにも適合していると認めるときでなければ、その認定をしてはならない。
en-us	Article 79-9 The Prime Minister must not grant a certification unless the Prime Minister finds that an application under Article 79-7, paragraph (2) conforms to all of the following items:

ja-jp	一　第七十九条の七第一項各号に掲げる業務を適正かつ確実に行うに必要な業務の実施の方法を定めているものであること。
en-us	(i) the applicant has established the necessary methods of business implementation for it to perform the services set forth in the items of Article 79-7, paragraph (1) properly and reliably;

ja-jp	二　第七十九条の七第一項各号に掲げる業務を適正かつ確実に行うに足りる知識及び能力並びに経理的基礎を有するものであること。
en-us	(ii) the applicant has the necessary knowledge, ability, and financial basis for it to perform the services set forth in the items of Article 79-7, paragraph (1) properly and reliably; and

ja-jp	三　第七十九条の七第一項各号に掲げる業務以外の業務を行つている場合には、その業務を行うことによつて当該各号に掲げる業務が不公正になるおそれがないものであること。
en-us	(iii) if a person provides services other than what is set forth in one of the items of Article 79-7, paragraph (1), its provision of those services is unlikely to cause any unfairness in the services set forth in that item.

ja-jp	（業務廃止の届出）
en-us	(Notification of the Discontinuation of Services)

ja-jp	第七十九条の十　第七十九条の七第一項の認定を受けた者（次条第一項において「認定投資者保護団体」という。）は、その認定に係る業務（以下この節において「認定業務」という。）を廃止しようとするときは、政令で定めるところにより、あらかじめ、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 79-10 (1) If a person that has received the certification referred to in Article 79-7, paragraph (1) (hereinafter referred to as the "Certified Investor Protection Organization" in paragraph (1) of the following Article) seeks to discontinue the services to which that certification pertains (hereinafter referred to as "Certified Services" in this Section), that person must notify the Prime Minister of this in advance, pursuant to the provisions of Cabinet Order.

ja-jp	２　内閣総理大臣は、前項の規定による届出があつたときは、その旨を公示しなければならない。
en-us	(2) If a notification under the provisions of the preceding paragraph is filed, the Prime Minister shall issue public notice of this.

ja-jp	（対象事業者）
en-us	(Covered Operators)

ja-jp	第七十九条の十一　認定投資者保護団体（以下この節において「認定団体」という。）は、当該認定団体の構成員である金融商品取引業者若しくは金融商品仲介業者又は認定業務の対象となることについて同意を得た金融商品取引業者、金融商品仲介業者その他内閣府令で定める者を対象事業者（当該認定団体の業務の対象となる金融商品取引業者、金融商品仲介業者その他内閣府令で定める者をいう。以下この節において同じ。）としなければならない。
en-us	Article 79-11 (1) A Certified Investor Protection Organization (hereinafter referred to as a "Certified Organization" in this Section) must have the Financial Services Providers and Financial Instruments Intermediaries that are its constituent members, as well as Financial Services Providers and Financial Instruments Intermediaries that agree to be covered by its Certified Services and any other person specified by Cabinet Office Ordinance, as its covered operators (meaning Financial Services Providers, Financial Instruments Intermediaries, and any other person specified by Cabinet Office Ordinance, that are covered by the services of the Certified Organization; hereinafter the same applies in this Section).

ja-jp	２　認定団体は、対象事業者の名簿を公衆の縦覧に供しなければならない。
en-us	(2) A Certified Organization must make a list of the covered operators available for public inspection.

ja-jp	（認定団体による苦情の処理）
en-us	(Complaint Processing by Certified Organizations)

ja-jp	第七十九条の十二　第七十七条の規定は、認定団体が投資者からの苦情（対象事業者に関するものに限る。）の解決を行う場合について準用する。この場合において、同条中「協会員又は金融商品仲介業者」とあるのは、「第七十九条の十一第一項に規定する対象事業者」と読み替えるものとする。
en-us	Article 79-12 The provisions of Article 77 apply mutatis mutandis when a Certified Organization works to resolve complaints from investors (limited complaints involving covered operators). In this case, in that Article, the term "association member or Financial Instruments Intermediary" is deemed to be replaced with "covered operators prescribed in Article 79-11, paragraph (1)".

ja-jp	（認定団体によるあつせん）
en-us	(Mediation by Certified Organizations)

ja-jp	第七十九条の十三　第七十七条の二第一項から第三項まで及び第五項から第九項までの規定は、認定団体があつせん（対象事業者に関するものに限る。）を行う場合について準用する。この場合において、同条第一項中「協会員又は金融商品仲介業者」とあるのは「第七十九条の十一第一項に規定する対象事業者」と、「デリバティブ取引等」とあるのは「デリバティブ取引等（これらの取引に付随する取引その他の内閣府令で定める取引を含む。）」と、同条第五項中「協会員又は金融商品仲介業者」とあるのは「第七十九条の十一第一項に規定する対象事業者」と読み替えるものとする。
en-us	Article 79-13 The provisions of Article 77-2, paragraphs (1) to (3) inclusive and paragraphs (5) to (9) inclusive apply mutatis when a Certified Organization engages in mediation (limited to mediation involving covered operators). In this case, in paragraph (1) of that Article, the phrase "association member or Financial Instruments Intermediary" is deemed to be replaced with "covered operator as prescribed in Article 79-11, paragraph (1)" and the term "Derivatives Transactions, etc." is deemed to be replaced with "Derivatives Transactions, etc. (including transactions incidental to these and any other transactions specified by Cabinet Office Ordinance)"; and in paragraph (5) of that Article, the phrase "association member or Financial Instruments Intermediary" is deemed to be replaced with "covered operator as prescribed in Article 79-11, paragraph (1)".

ja-jp	（役職員の秘密保持義務等の準用）
en-us	(Mutatis Mutandis Application of the Duty of Confidentiality of the Officers and Employees)

ja-jp	第七十九条の十四　第七十二条の規定は、認定団体の役員若しくは職員又はこれらの職にあつた者について準用する。
en-us	Article 79-14 The provisions of Article 72 apply mutatis mutandis to the officers and employees of a Certified Organization, and to any person that has held one of these positions.

ja-jp	（名称の使用制限）
en-us	(Restriction on the Use of Names)

ja-jp	第七十九条の十五　認定団体でない者は、認定投資者保護団体という名称又はこれに紛らわしい名称を用いてはならない。
en-us	Article 79-15 A person that is not a Certified Organization must not use a name that refers to it as a Certified Investor Protection Organization, and must not use any other name that is confusingly similar to this.

ja-jp	（報告の徴取）
en-us	(Collection of Reports)

ja-jp	第七十九条の十六　内閣総理大臣は、この節の規定の施行に必要な限度において、認定団体に対し、認定業務に関し報告をさせることができる。
en-us	Article 79-16 The Prime Minister may have a Certified Organization submit a report about its Certified Services, within the scope that this is necessary for implementing the provisions in this Section.

ja-jp	（投資者保護指針）
en-us	(Investor Protection Guidelines)

ja-jp	第七十九条の十七　認定団体は、金融商品取引業の健全な発展及び投資者の保護のために、対象事業者による金融商品取引の契約内容、対象事業者による資産運用のあり方その他投資者の保護を図るため必要な事項に関し、この法律の規定の趣旨に沿つた指針（以下「投資者保護指針」という。）を作成し、公表するよう努めなければならない。
en-us	Article 79-17 (1) A Certified Organization must endeavor to prepare and publish guidelines that are in line with the purport of the provisions of this Act, with regard to the content of contracts for Financial Instruments Transactions by covered operators, the nature of asset management by covered operators, and particulars that are otherwise necessary for ensuring the protection of investors (hereinafter referred to as "Investor Protection Guidelines"), in order to ensure the sound development of the Financial Instruments Business and the protection of investors.

ja-jp	２　認定団体は、前項の規定により投資者保護指針を公表したときは、対象事業者に対し、当該投資者保護指針を遵守させるため必要な指導、勧告その他の措置をとるよう努めなければならない。
en-us	(2) Once a Certified Organization publishes Investor Protection Guidelines pursuant to the preceding paragraph, it must endeavor to provide the covered operators with the necessary guidance and recommendations, and take other measures for having the covered operators comply with the Investor Protection Guidelines.

ja-jp	３　認定団体は、金融に係る知識の普及、啓発活動及び広報活動を通じて、金融商品取引業の健全な発展及び投資者の保護の促進に努めなければならない。
en-us	(3) A Certified Organization must endeavor to further the sound development of the Financial Instruments Business and the protection of investors through the dissemination of financial knowledge and through educational and publicity campaigns.

ja-jp	第七十九条の十八　内閣総理大臣は、この節の規定の施行に必要な限度において、認定団体に対し、認定業務の実施の方法の改善、投資者保護指針の変更その他の必要な措置をとるべき旨を命ずることができる。
en-us	Article 79-18 The Prime Minister may order a Certified Organization to improve the implementation methods of its Certified Services, to change the Investor Protection Guidelines, and to take any other necessary measures, within the scope that this is necessary for implementing the provisions in this Section.

ja-jp	（認定の取消し）
en-us	(Rescission of Certification)

ja-jp	第七十九条の十九　内閣総理大臣は、認定団体が次の各号のいずれかに該当するときは、その認定を取り消すことができる。
en-us	Article 79-19 (1) If a Certified Organization falls under one of the following items, the Prime Minister may rescind its certification:

ja-jp	一　第七十九条の八第一号又は第三号に該当するに至つたとき。
en-us	(i) it comes to fall under Article 79-8, item (i) or (iii);

ja-jp	二　第七十九条の九各号のいずれかに適合しなくなつたとき。
en-us	(ii) it no longer conforms to one of the items of Article 79-9;

ja-jp	三　前条の規定による命令に従わないとき。
en-us	(iii) it fails to comply with an order under the provisions of the preceding Article; or

ja-jp	四　不正の手段により第七十九条の七第一項の認定を受けたとき。
en-us	(iv) it has obtained Article 79-7, paragraph (1) certification by wrongful means.

ja-jp	２　内閣総理大臣は、前項の規定により認定を取り消したときは、その旨を公示しなければならない。
en-us	(2) Upon rescinding a certification pursuant to the provisions of the preceding paragraph, the Prime Minister must issue public notice of this.

ja-jp	第四章の二　投資者保護基金
en-us	Chapter IV-2 Investor Protection Funds

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

ja-jp	（一般顧客等）
en-us	(General Customers)

ja-jp	第七十九条の二十　この章において「一般顧客」とは、金融商品取引業者（第二十八条第八項に規定する有価証券関連業を行う金融商品取引業者に限る。以下この章において同じ。）の本店その他の国内の営業所又は事務所（外国法人である金融商品取引業者にあつては、国内に有する営業所又は事務所）の顧客であつて当該金融商品取引業者と対象有価証券関連取引をする者（適格機関投資家及び国、地方公共団体その他の政令で定める者を除く。）をいう。
en-us	Article 79-20 (1) The term "General Customer" as used in this Chapter means a customer of a Financial Services Provider's (limited to a Financial Services Provider that conducts Securities Services prescribed in Article 28, paragraph (8); hereinafter the same applies in this Chapter) head office or other domestic business office or office (with regard to a Financial Services Provider that is a foreign judicial person, its business office or office in Japan) which conducts a Transaction Related to Subject Securities with that Financial Services Provider (excluding the qualified institutional investors, states, local governments, and other persons specified by Cabinet Order).

ja-jp	２　金融商品取引業者がその一般顧客の計算において他の金融商品取引業者と対象有価証券関連取引をする場合には、前項の規定にかかわらず、当該金融商品取引業者を当該他の金融商品取引業者の一般顧客とみなして、この章の規定を適用する。
en-us	(2) Notwithstanding the provisions of the preceding paragraph, if a first Financial Services Provider conducts a Transaction Related to Subject Securities with a second Financial Services Provider on the account of the first Financial Services Provider's General Customer, the first Financial Services Provider is deemed to be the General Customer of the second Financial Services Provider, and the provisions of this Chapter apply.

ja-jp	３　この章において「顧客資産」とは、次に掲げるものをいう。
en-us	(3) The term "Customer Assets" as used in this Chapter means the following:

ja-jp	一　第百十九条の規定により金融商品取引業者が一般顧客から預託を受けた金銭若しくは有価証券（有価証券関連デリバティブ取引に関して預託を受けたものに限る。）又は第百六十一条の二の規定により金融商品取引業者が一般顧客から預託を受けた金銭若しくは有価証券
en-us	(i) the money and Securities that a General Customer deposits with a Financial Services Provider pursuant to the provisions of Article 119 (limited those deposited in connection with Transactions of Securities-Related Derivatives) and money and Securities that a General Customer deposits with a Financial Services Provider pursuant to the provisions of Article 161-2;

ja-jp	二　金融商品取引業（第二十八条第八項に規定する有価証券関連業に限る。以下この章において同じ。）に係る取引（店頭デリバティブ取引その他の政令で定める取引を除く。次号において同じ。）に関し、一般顧客の計算に属する金銭又は金融商品取引業者が一般顧客から預託を受けた金銭（前号に規定する金銭を除く。）
en-us	(ii) money on the account of a General Customer and money that a General Customer deposits with a Financial Services Provider (other than money prescribed in the preceding item) in connection with a transaction linked to the Financial Instruments Business (limited to Securities Services prescribed in Article 28, paragraph (8); hereinafter the same applies in this Chapter) (excluding Over-the-Counter Derivatives Transactions or other transactions specified by Cabinet Order; the same applies in the following item);

ja-jp	三　金融商品取引業に係る取引に関し、一般顧客の計算に属する有価証券又は金融商品取引業者が一般顧客から預託を受けた有価証券（第一号に規定する有価証券、契約により金融商品取引業者が消費できる有価証券その他政令で定める有価証券を除く。）
en-us	(iii) Securities on the account of a General Customer or Securities that a General Customer deposits with a Financial Services Provider (other than Securities prescribed in item (i), Securities that a Financial Services Provider may expend pursuant to a contract, and Securities specified by Cabinet Order), in connection with a transaction linked to the Financial Instruments Business; and

ja-jp	四　前三号に掲げるもののほか、政令で定めるもの
en-us	(iv) anything other than what is set forth in the preceding three items, which is specified by Cabinet Order.

ja-jp	第七十九条の二十一　投資者保護基金（以下この章及び附則において「基金」という。）は、第七十九条の五十六第一項の規定による一般顧客に対する支払その他の業務を行うことにより投資者の保護を図り、もつて証券取引に対する信頼性を維持することを目的とする。
en-us	Article 79-21 The purpose of an Investor Protection Fund (hereinafter referred to as a "Fund" in this Chapter and the Supplementary Provisions) is to ensure the protection of investors through payments to General Customers pursuant to the provisions of Article 79-56, paragraph (1) and through other services, thereby maintaining the credibility of securities transactions.

ja-jp	（法人格及び住所）
en-us	(Legal Personality and Address)

ja-jp	第七十九条の二十二　基金は、法人とする。
en-us	Article 79-22 (1) Funds is a juridical person.

ja-jp	２　基金の住所は、その主たる事務所の所在地にあるものとする。
en-us	(2) The address of a Fund is the address at which its principal office is located.

ja-jp	第七十九条の二十三　基金は、その名称のうちに投資者保護基金という文字を用いなければならない。
en-us	Article 79-23 (1) A Fund must use the characters " toushisha hogo kikin" (meaning "investor protection fund") in its name.

ja-jp	２　基金でない者は、その名称のうちに投資者保護基金という文字を用いてはならない。
en-us	(2) A person that is not a Fund must not use the characters " toushisha hogo kikin" in its name.

ja-jp	第七十九条の二十四　基金は、政令で定めるところにより、登記しなければならない。
en-us	Article 79-24 (1) A Fund must register pursuant to the provisions of Cabinet Order.

ja-jp	２　前項の規定により登記しなければならない事項は、登記の後でなければ、これをもつて第三者に対抗することができない。
en-us	(2) Particulars that must be registered pursuant to the provisions of the preceding paragraph may not be asserted against a third party until after their registration.

ja-jp	（不法行為能力等）
en-us	(Capacity in Respect of Tortious Acts)

ja-jp	第七十九条の二十五　基金は、理事長又は理事がその職務を行うについて他人に加えた損害を賠償する責任を負う。
en-us	Article 79-25 A Fund is liable for the damages that its president or board members cause another person in the performance of their duties.

ja-jp	第二節　会員
en-us	Section 2 Members

ja-jp	（会員の資格）
en-us	(Eligibility for Membership)

ja-jp	第七十九条の二十六　基金の会員の資格を有する者は、金融商品取引業者に限る。
en-us	Article 79-26 (1) The scope of persons eligible for membership in a Fund is limited to Financial Services Providers.

ja-jp	２　基金は、金融商品取引業者が当該基金に加入しようとするときは、業務の種類に関する特別の事由その他の正当な事由により加入を制限する場合を除き、その加入を拒み、又はその加入について不当な条件を付してはならない。
en-us	(2) If a Financial Services Provider seeks to join a Fund, the Fund must not refuse it and must not attach unreasonable conditions to its joining the Fund, unless entry into the Fund is restricted for a special reason related to business type or for any other legitimate reason.

ja-jp	（加入義務等）
en-us	(Obligation to Join)

ja-jp	第七十九条の二十七　金融商品取引業者（政令で定める金融商品取引業者を除く。）は、いずれか一の基金にその会員として加入しなければならない。
en-us	Article 79-27 (1) A Financial Services Provider (excluding one that is specified by Cabinet Order) must join any single Fund, as a member.

ja-jp	２　第二十九条の登録又は第三十一条第四項の変更登録を受けて金融商品取引業を行おうとする者（政令で定める者を除く。）は、その登録又は変更登録の申請と同時に、いずれか一の基金に加入する手続をとらなければならない。
en-us	(2) A person seeking to engage in Financial Instruments Business after obtaining Article 29 registration or an Article 31, paragraph (4) registration of a change (excluding a person specified by Cabinet Order) must go through the process for joining any single Fund at the same time as applying for the registration or the registration of the change.

ja-jp	３　前項の規定により基金に加入する手続をとつた者は、同項の登録又は変更登録を受けた時に、当該基金の会員となる。
en-us	(3) A person that has gone through the process for joining a Fund pursuant to the provisions of the preceding paragraph becomes a member of that Fund at the time that the person becomes registered or has the change registered as referred to in that paragraph.

ja-jp	４　金融商品取引業者は、基金に加入した場合又は所属する基金を変更した場合には、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	(4) When a Financial Services Provider joins a Fund or if it changes the Fund to which it belongs, it must notify the Prime Minister of this without delay.

ja-jp	第七十九条の二十八　基金の会員である金融商品取引業者は、次に掲げる事由により、当然、その所属する基金を脱退する。
en-us	Article 79-28 (1) A Financial Services Provider that is a member of a Fund is withdrawn from the Fund to which it belongs by operation of law for the following reasons:

ja-jp	一　金融商品取引業の廃止（有価証券関連業を行わない旨の第三十一条第四項の変更登録及び外国法人である金融商品取引業者にあつては、国内に設けられたすべての営業所又は事務所における金融商品取引業の廃止を含む。）又は金融商品取引業者の解散（外国法人である金融商品取引業者にあつては、国内に設けられた営業所又は事務所の清算の開始を含む。）
en-us	(i) discontinuation of a Financial Services Provider's Financial Instruments Business (this includes an Article 31, paragraph (4) registration of a change indicating that the Financial Services Provider no longer provides Securities Services, and also includes a foreign corporation's discontinuation of Financial Instruments Business at all of the business offices and offices it has established in Japan) or the dissolution of the Financial Services Provider (with regard to a Financial Services Provider which is a foreign corporation, this includes the commencement of liquidation at a business office or office it has established in Japan); or

ja-jp	二　第五十二条第一項若しくは第四項、第五十三条第三項、第五十四条又は第五十七条の六第三項の規定による第二十九条の登録の取消し
en-us	(ii) the Article 52, paragraph (1) or (4); Article 53, paragraph (3); Article 54; or Article 57-6, paragraph (3) rescission of an Article 29 registration.

ja-jp	２　前項の規定により基金を脱退した者は、第七十九条の五十二から第七十九条の六十一までの規定の適用については、なお当該基金の会員である金融商品取引業者とみなす。
en-us	(2) A person that is withdrawn from a Fund pursuant to the provisions of the preceding paragraph is deemed to continue to be a Financial Services Provider and a member of that Fund for the purpose of the application of Articles 79-52 to 79-61 inclusive.

ja-jp	３　金融商品取引業者は、第一項各号に掲げる事由による場合又は内閣総理大臣及び財務大臣の承認を受けて他の基金の会員となる場合を除き、その所属する基金を脱退することができない。
en-us	(3) A Financial Services Provider may not withdraw from the Fund to which it belongs unless the withdrawal is for a cause set forth in one of the items of paragraph (1) or unless it becomes the member of another Fund with the approval of the Prime Minister and the Minister of Finance.

ja-jp	４　金融商品取引業者は、その所属する基金を脱退した場合（第一項の規定により脱退した場合を除く。）においても、当該基金を脱退するまでに当該基金が受けた第七十九条の五十三第一項又は第三項から第五項までの規定による通知に係る金融商品取引業者のために当該基金が行う業務に要する費用のうち、脱退した金融商品取引業者の負担すべき費用の額として業務規程の定めるところにより当該基金が算定した額を負担金として納付する義務を負う。
en-us	(4) Even if a Financial Services Provider withdraws from the Fund to which it belongs (excluding a case of withdrawal pursuant to the provisions of paragraph (1)), it incurs the obligation to pay the amount calculated by the Fund pursuant to the provisions of its operational rules in dues, for the amount of costs that the withdrawn Financial Services Provider is required to bear out of the amount of the costs required for the services the Fund provides for the Financial Services Provider in connection with any notice under the provisions of Article 79-53, paragraph (1) or paragraphs (3) to (5) inclusive, that said Fund receives up until the Operator's withdrawal from the Fund.

ja-jp	５　内閣総理大臣及び財務大臣は、第三項の承認の申請があつたときは、次に掲げる要件を満たしている場合でなければ、その承認をしてはならない。
en-us	(5) Whenever an application is filed for the approval referred to in paragraph (3), the Prime Minister and the Minister of Finance must not grant that approval unless the following requirements are satisfied:

ja-jp	一　当該金融商品取引業者が、その承認の申請の時においてその脱退しようとする基金に対し会員として負担する債務を完済しており、かつ、前項に規定する義務を履行することが確実と見込まれること。
en-us	(i) the Financial Services Provider has repaid in full the obligation it bears as a member, to the Fund from which it seeks to withdraw, by the time of filing the application for approval, and its performance of the obligation prescribed in the preceding paragraph is expected to be reliable; and

ja-jp	二　当該金融商品取引業者が、他の基金に会員として加入する手続をとつていること。
en-us	(ii) the Financial Services Provider gone through the process for joining another Fund as a member.

ja-jp	第三節　設立
en-us	Section 3 Incorporation

ja-jp	第七十九条の二十九　基金を設立するには、その会員になろうとする二十以上の金融商品取引業者が発起人とならなければならない。
en-us	Article 79-29 (1) In order to incorporate a Fund, 20 or more Financial Services Providers that seek to become its members must become the founders.

ja-jp	２　発起人は、定款及び業務規程を作成した後、会員になろうとする者を募り、これを会議の日時及び場所とともにその会議開催日の二週間前までに公告して、創立総会を開かなければならない。
en-us	(2) After preparing the articles of incorporation and operational rules, the founders must invite persons seeking to become members, and hold an organizational meeting, issuing public notice of the articles of incorporation and operational rules as well as the date, time, and place of the meeting by two weeks prior to the day of the meeting.

ja-jp	３　定款及び業務規程の承認その他設立に必要な事項の決定は、創立総会の議決によらなければならない。
en-us	(3) Approval of the articles of incorporation and operational rules and decisions about matters that are otherwise necessary for the incorporation of a Fund must be effected by organizational meeting resolution.

ja-jp	４　創立総会では、定款及び業務規程を修正することができる。
en-us	(4) The articles of incorporation and operational rules may be revised at an organizational meeting.

ja-jp	５　第三項の創立総会の議事は、その開会までに発起人に対して会員となる旨を申し出た金融商品取引業者（以下この条において「加入予定者」という。）及び発起人の二分の一以上が出席して、その出席者の議決権の三分の二以上の多数で決する。
en-us	(5) The items of organizational meeting business that are referred to in paragraph (3) are decided with at least a two-thirds majority of the votes of attendees, at a meeting where at least half of the Financial Services Providers that have proposed themselves as members to the founders before the opening of the meeting (hereinafter, each such Financial Services Provider is referred to as an "Expected Member" in this Article) and the founders, are present.

ja-jp	６　基金の成立の日を含む事業年度の業務の運営に必要な事項（予算及び資金計画を含む。）の決定は、第七十九条の四十二第一項の規定にかかわらず、創立総会の議決によることができる。
en-us	(6) Notwithstanding the provisions of Article 79-42, paragraph (1), matters that are necessary for business operations in the business year that includes the day of establishment of a Fund (including the budget and financial plan) may be decided by organizational meeting resolution.

ja-jp	７　第七十九条の四十三の規定は、前項の創立総会の議事について準用する。この場合において、同条中「総会員」とあるのは、「その開会までに発起人に対して会員となる旨を申し出た金融商品取引業者及び発起人」と読み替えるものとする。
en-us	(7) The provisions of Article 79-43 apply mutatis mutandis to the items of business at an organizational meeting that are referred to in the preceding paragraph. In this case, in that Article, the term "all members" is deemed to be replaced with "the Financial Services Providers that have proposed themselves as members to the founders before the opening of the meeting, and the founders".

ja-jp	８　各加入予定者の創立総会の議決権は、平等とする。
en-us	(8) Each of the Expected Members holds an equal voting right for organizational meetings.

ja-jp	９　創立総会に出席しない加入予定者は、書面で、又は代理人によつて議決をすることができる。
en-us	(9) An Expected Member not attending an organizational meeting may vote in writing or by proxy.

ja-jp	１０　前二項の規定は、定款に別段の定めがある場合には、適用しない。
en-us	(10) The provisions of the preceding two paragraphs do not apply if it is otherwise provided for in the articles of incorporation.

ja-jp	１１　基金と特定の加入予定者との関係について創立総会の議決をする場合には、その加入予定者は、議決権を有しない。
en-us	(11) If an organizational meeting resolution concerns the relationship between a Fund and a specific Expected Member, that Expected Member has no voting right.

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

ja-jp	第七十九条の三十　発起人は、創立総会の終了後遅滞なく、次に掲げる事項を記載した認可申請書を内閣総理大臣及び財務大臣に提出して、設立の認可を受けなければならない。
en-us	Article 79-30 (1) Founders must obtain authorization for incorporation by submitting a written application for authorization to the Prime Minister and the Minister of Finance, in which the founders give the following particulars, without delay after the completion of the organizational meetings:

ja-jp	一　名称
en-us	(i) the name;

ja-jp	二　事務所の所在の場所
en-us	(ii) the location of the office; and

ja-jp	三　役員の氏名及び会員の名称
en-us	(iii) the names of officers and members.

ja-jp	２　前項の認可申請書には、定款、業務規程その他内閣府令・財務省令で定める書類を添付しなければならない。
en-us	(2) The articles of incorporation, operational rules, and other documents specified by Cabinet Office Ordinance and Ordinance of the Ministry of Finance must accompany the written application for authorization referred to in the preceding paragraph.

ja-jp	（認可審査基準）
en-us	(Examination Criteria for Authorization)

ja-jp	第七十九条の三十一　内閣総理大臣及び財務大臣は、前条第一項の規定による認可の申請があつた場合においては、その申請が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 79-31 (1) Whenever an application is filed for the authorization under the provisions of paragraph (1) of the preceding Article, the Prime Minister and the Minister of Finance shall examine whether the application conforms to the following criteria:

ja-jp	一　設立の手続並びに定款及び業務規程の内容が法令に適合していること。
en-us	(i) procedures for incorporation and the content of the articles of incorporation and operational rules conform to laws and regulations;

ja-jp	二　認可申請書、定款及び業務規程に虚偽の記載がないこと。
en-us	(ii) there is no false statement in the written application for authorization, the articles of incorporation, or the operational rules;

ja-jp	三　役員のうちに第二十九条の四第一項第二号イからトまでのいずれかに該当する者がいないこと。
en-us	(iii) a person falling under any of sub-items (a) to (g) inclusive of Article 29-4, paragraph (1), item (ii) is not an officer;

ja-jp	四　当該申請に係る基金が、その業務を遂行するために必要な資産を備えていると認められること又は備えることが確実であると認められること。
en-us	(iv) the Fund to which the application pertains is found to have the necessary assets for it to conduct its business or it is found to be possible to rely upon the Fund having such assets;

ja-jp	五　業務の運営が適正に行われることが確実であると認められること。
en-us	(v) it is found to be possible to rely upon business operations being conducted properly; and

ja-jp	六　当該申請に係る基金の組織がこの法律の規定に適合するものであること。
en-us	(vi) the organization of the Fund to which the application pertains conforms to the provisions of this Act.

ja-jp	２　内閣総理大臣及び財務大臣は、前項の規定により審査した結果、その申請が同項の基準に適合していると認めるときは、設立の認可をしなければならない。
en-us	(2) If, as a result of having conducted an examination pursuant to the provisions of the preceding paragraph, the Prime Minister and the Minister of Finance find that an application conforms to the criteria in that paragraph, they shall authorize incorporation.

ja-jp	３　内閣総理大臣及び財務大臣は、前条第一項の規定による認可の申請があつた場合において、その認可をすることが適当でないと認めるときは、認可申請者に通知して、当該職員をして審問を行わせなければならない。
en-us	(3) If an application is filed for the authorization under the provisions of paragraph (1) of the preceding Article and the Prime Minister and the Minister of Finance find it inappropriate to grant that authorization, they shall notify the applicant for authorization and have the relevant officials conduct a hearing.

ja-jp	４　内閣総理大臣及び財務大臣は、設立の認可をすることとし、又はしないこととした場合においては、遅滞なく、その旨を書面により認可申請者に通知しなければならない。
en-us	(4) Upon deciding to grant or not to grant authorization for incorporation, the Prime Minister and the Minister of Finance shall notify the applicant for authorization of this in writing without delay.

ja-jp	（理事長への事務引継ぎ）
en-us	(The Handing Over of Administrative Affairs to the President)

ja-jp	第七十九条の三十二　設立の認可があつたときは、発起人は、遅滞なく、その事務を理事長となるべき者に引き継がなければならない。
en-us	Article 79-32 Upon having authorization for incorporation, the founders must hand over administrative affairs to the person that is to become the president, without delay.

ja-jp	第七十九条の三十三　基金は、その主たる事務所の所在地において設立の登記をすることによつて成立する。
en-us	Article 79-33 (1) A Fund is established by a registration of incorporation being recorded in connection with the location of its principal office.

ja-jp	２　基金は、前項の設立の登記をしたときは、遅滞なく、その旨を内閣総理大臣及び財務大臣に届け出なければならない。
en-us	(2) Once the registration of incorporation referred to in the preceding paragraph has been made, the Fund must notify the Prime Minister and the Minister of Finance of this without delay.

ja-jp	第四節　管理
en-us	Section 4 Management

ja-jp	（定款の必要的記載事項）
en-us	(Particulars Required to Be Included in the Articles of Incorporation)

ja-jp	第七十九条の三十四　基金の定款には、次に掲げる事項を記載しなければならない。
en-us	Article 79-34 (1) The articles of incorporation of a Fund must include the following particulars:

ja-jp	一　目的
en-us	(i) its purposes;

ja-jp	二　名称
en-us	(ii) its name;

ja-jp	三　事務所の所在地
en-us	(iii) the location of its offices;

ja-jp	四　会員に関する事項（業務の種類に関する特別の事由等により会員の加入を制限する場合は、当該特別の事由等を含む。）
en-us	(iv) the particulars of its members (if it restricts membership based on a special cause, etc. involving business type, this includes the special cause, etc.);

ja-jp	五　総会に関する事項
en-us	(v) the particulars of its general meetings;

ja-jp	六　役員に関する事項
en-us	(vi) the particulars of its officers;

ja-jp	七　運営審議会に関する事項
en-us	(vii) the particulars of its governing board;

ja-jp	八　業務及びその執行に関する事項
en-us	(viii) the particulars of its business and business execution;

ja-jp	九　負担金に関する事項
en-us	(ix) the particulars of dues;

ja-jp	十　財務及び会計に関する事項
en-us	(x) the particulars of its finance and accounting;

ja-jp	十一　定款の変更に関する事項
en-us	(xi) the particulars involved in changing the articles of incorporation;

ja-jp	十二　解散に関する事項
en-us	(xii) the particulars of dissolution; and

ja-jp	十三　公告の方法
en-us	(xiii) the means of public notice.

ja-jp	２　定款の変更は、内閣総理大臣及び財務大臣の認可を受けなければ、その効力を生じない。
en-us	(2) A change to the articles of incorporation does not become effective without the authorization of the Prime Minister and the Minister of Finance.

ja-jp	３　基金は、第七十九条の三十第一項第二号又は第三号に掲げる事項について変更があつたときは、遅滞なく、その旨を内閣総理大臣及び財務大臣に届け出なければならない。
en-us	(3) If a particular set forth in Article 79-30, paragraph (1), item (ii) or (iii) changes, the Fund must notify the Prime Minister and the Minister of Finance of this without delay.

ja-jp	第七十九条の三十五　基金に、役員として、理事長一人、理事二人以上及び監事一人以上を置く。
en-us	Article 79-35 (1) A Fund has one president, two or more board members, and one or more inspectors as its officers.

ja-jp	２　基金の業務は、法令又は定款に別段の定めのあるものを除き、理事長及び理事の過半数をもつて決する。
en-us	(2) The business of a Fund is decided by majority among the president and board members, unless otherwise provided for in laws and regulations or the articles of incorporation.

ja-jp	（役員の権限）
en-us	(Authority of an Officer)

ja-jp	第七十九条の三十六　理事長は、基金を代表し、その業務を総理する。
en-us	Article 79-36 (1) The president represents the Fund and presides over its business.

ja-jp	２　理事は、定款の定めるところにより、基金を代表し、理事長を補佐して基金の業務を掌理し、理事長に事故があるときはその職務を代理し、理事長が欠員のときはその職務を行う。
en-us	(2) A board member, pursuant to the provisions of the articles of incorporation, represents the Fund, assists the president in administering the business of the Fund, acts as a proxy in handling the duties of the president if the president is unable to attend to them, and performs the duties of the president if the position is vacant.

ja-jp	３　監事は、基金の業務を監査する。
en-us	(3) An inspector examines the business of the Fund.

ja-jp	４　監事は、監査の結果に基づき、必要があると認めるときは、理事長又は内閣総理大臣及び財務大臣に意見を提出することができる。
en-us	(4) An inspector may submit an opinion to the president or to the Prime Minister and the Minister of Finance based on the results of an examination if the auditor finds this to be necessary.

ja-jp	５　役員が第二十九条の四第一項第二号イからトまでのいずれかに該当することとなつたときは、その職を失う。
en-us	(5) An officer loses the position of officer upon coming to fall under one of the categories in Article 29-4, paragraph (1), item (ii), sub-items (a) to (g) inclusive.

ja-jp	（役員の選任、任期及び解任）
en-us	(Appointment, Term of Office, and Dismissal of Officers)

ja-jp	第七十九条の三十七　役員は、定款の定めるところにより、総会において選任し、又は解任する。ただし、設立当時の役員は、創立総会において選任する。
en-us	Article 79-37 (1) Officers are appointed and dismissed at a general meeting pursuant to the provisions of the articles of incorporation; provided, however, that the officers at the time of incorporation are appointed at an organizational meeting.

ja-jp	２　前項の規定による基金の役員の選任（設立当時の役員の選任を除く。）及び解任は、内閣総理大臣及び財務大臣の認可を受けなければ、その効力を生じない。
en-us	(2) The appointment (excluding the appointment of the officers at the time of incorporation) or dismissal of the officer of a Fund under the provisions of the preceding paragraph does not become effective without the authorization of the Prime Minister and the Minister of Finance.

ja-jp	３　役員の任期は、二年以内において定款の定める期間とする。
en-us	(3) The term of office of an officer is a period specified by the articles of incorporation not exceeding two years.

ja-jp	４　役員は、再任されることができる。
en-us	(4) Officers may be reappointed.

ja-jp	５　内閣総理大臣及び財務大臣は、不正の手段により役員となつた者のあることが判明したとき、又は役員が法令、法令に基づく行政官庁の処分若しくは定款に違反したときは、基金に対し、当該役員の解任を命ずることができる。
en-us	(5) If an officer is discovered to have become an officer by wrongful means or if an officer violates a law or regulation, a disposition by a government agency which is based on a law or regulation, or the articles of incorporation, the Prime Minister and the Minister of Finance may order the Fund to dismiss that officer.

ja-jp	（監事の兼職禁止）
en-us	(Prohibition on the Concurrent Holding of Positions by Auditors)

ja-jp	第七十九条の三十八　監事は、理事長、理事、運営審議会の委員又は基金の職員を兼ねてはならない。
en-us	Article 79-38 An inspector must not concurrently hold the position of president, board member, member of the governing board, or employee of the Fund.

ja-jp	（代表権の制限）
en-us	(Restrictions on the Authority of Representation)

ja-jp	第七十九条の三十九　基金と理事長又は理事との利益が相反する事項については、これらの者は、代表権を有しない。この場合には、監事が基金を代表する。
en-us	Article 79-39 The president and board members have no authority of representation with regard to a matter that constitutes a conflict of interests between the president or a board member and the Fund. In such a case, an auditor represents the Fund.

ja-jp	（仮理事又は仮監事）
en-us	(Provisional Board Members and Provisional Auditors)

ja-jp	第七十九条の四十　内閣総理大臣及び財務大臣は、理事又は監事の職務を行う者のない場合において、必要があると認めるときは、仮理事又は仮監事を選任することができる。
en-us	Article 79-40 If there is no one to perform the duties of a board member or an inspector and the Prime Minister and the Minister of Finance find it to be necessary, they may appoint a provisional board member or provisionalinspector .

ja-jp	第七十九条の四十一　理事長は、定款の定めるところにより、毎事業年度一回通常総会を招集しなければならない。
en-us	Article 79-41 (1) The president must call an ordinary general meeting once every business year, pursuant to the provisions of the articles of incorporation.

ja-jp	２　理事長は、必要があると認めるときは、臨時総会を招集することができる。
en-us	(2) The president may call an extraordinary general meeting whenever the president finds this to be necessary.

ja-jp	３　基金は、総会の議決を内閣総理大臣及び財務大臣に報告しなければならない。
en-us	(3) A Fund shall report general meeting resolutions to the Prime Minister and the Minister of Finance.

ja-jp	４　内閣総理大臣及び財務大臣は、当該職員をして総会に出席させ、意見を述べさせることができる。
en-us	(4) The Prime Minister and the Minister of Finance may have the relevant officials attend a general meeting and state their opinions.

ja-jp	（総会の決議事項）
en-us	(Matters for General Meeting Resolution)

ja-jp	第七十九条の四十二　この章で規定するもののほか、次に掲げる事項は、総会の議決を経なければならない。
en-us	Article 79-42 (1) The following matters, beyond those that are otherwise prescribed in this Chapter, require a general meeting resolution:

ja-jp	一　定款の変更
en-us	(i) a change in the articles of incorporation;

ja-jp	二　予算及び資金計画の決定又は変更
en-us	(ii) a decision on or change in the budget or financial plan;

ja-jp	三　業務規程の変更
en-us	(iii) a change in the operational rules;

ja-jp	四　決算
en-us	(iv) the settlement of accounts;

ja-jp	五　解散
en-us	(v) dissolution; and

ja-jp	六　前各号に掲げるもののほか、定款の定める重要事項
en-us	(vi) material matters beyond those that are otherwise set forth in the preceding items, which are specified by the articles of incorporation.

ja-jp	２　総会は、監事に対し基金の業務に関する監査を求め、その結果の報告を請求することができる。
en-us	(2) The members, at a general meeting, may request an inspector to examine the business of the Fund and report the results of theexamination.

ja-jp	（総会の議事）
en-us	(General Meeting Decisions)

ja-jp	第七十九条の四十三　総会の議事は、総会員の二分の一以上が出席してその出席者の議決権の過半数で決し、可否同数のときは、議長が決する。ただし、前条第一項第一号、第三号及び第五号の議事は、出席者の議決権の三分の二以上の多数で決する。
en-us	Article 79-43 A general meeting decision is effected with over half of the votes of the attendees, at a meeting where at least half of all members are present, and by the chairperson in the case of a tie; provided, however, that a decision on a matter set forth in paragraph (1), item (i), (iii), or (v) of the preceding Article is decided with at least a two-thirds majority of the votes of the attendees.

ja-jp	第七十九条の四十四　総会員の五分の一以上から会議の目的である事項を示して請求があつたときは、理事は、臨時総会を招集しなければならない。ただし、総会員の五分の一の割合については、定款でこれと異なる割合を定めることができる。
en-us	Article 79-44 If at least one-fifth of the members specify the purpose of a general meeting and demand that one be called, the board members must call an extraordinary general meeting; provided, however, that a proportion different from one-fifth of the members may be specified in the articles of incorporation.

ja-jp	（総会の招集）
en-us	(The Calling of a General Meeting)

ja-jp	第七十九条の四十四の二　総会の招集の通知は、会日より少なくとも五日前に、その会議の目的である事項を示し、定款で定めた方法に従つてしなければならない。
en-us	Article 79-44-2 A convocation notice for a general meeting must specify the purpose of the general meeting, and must be issued as specified by the articles of incorporation by at least five days prior to the day of the meeting.

ja-jp	（総会の決議事項）
en-us	(Matters for General Meeting Resolution)

ja-jp	第七十九条の四十四の三　総会においては、前条の規定によりあらかじめ通知をした事項についてのみ、決議をすることができる。ただし、定款に別段の定めがあるときは、この限りでない。
en-us	Article 79-44-3 Only the matters for which advance notice has been given pursuant to the provisions of the preceding Article may be resolved at a general meeting; provided, however, that, this does not apply if it is otherwise provided for in the articles of incorporation.

ja-jp	（会員の議決権）
en-us	(Voting Rights of Members)

ja-jp	第七十九条の四十四の四　各会員の議決権は、平等とする。
en-us	Article 79-44-4 (1) Each of the members holds an equal voting right.

ja-jp	２　総会に出席しない会員は、書面で、又は代理人によつて議決をすることができる。
en-us	(2) A member not attending a general meeting may vote in writing or by proxy.

ja-jp	３　前二項の規定は、定款に別段の定めがある場合には、適用しない。
en-us	(3) The provisions of the preceding two paragraphs do not apply if it is otherwise provided for in the articles of incorporation.

ja-jp	（議決権のない場合）
en-us	(When a Member Has No Voting Right)

ja-jp	第七十九条の四十四の五　基金と特定の会員との関係について議決をする場合には、その会員は、議決権を有しない。
en-us	Article 79-44-5 If a resolution concerns the relationship between a Fund and a specific member, that member has no voting right.

ja-jp	（運営審議会）
en-us	(Governing Council)

ja-jp	第七十九条の四十五　基金の業務の適正な運営を図るため、基金に運営審議会（以下「審議会」という。）を置く。
en-us	Article 79-45 (1) A Fund sets in place a governing council (hereinafter referred to as the "Council") in order to further the appropriate operation of the business of the Fund.

ja-jp	２　次に掲げる場合には、理事長は、あらかじめ、審議会の意見を聴かなければならない。
en-us	(2) In the following cases, the president must hear the opinions of the Council in advance:

ja-jp	一　第七十九条の五十四の規定により行う認定を行う場合
en-us	(i) before granting a recognition pursuant to the provisions of Article 79-54;

ja-jp	二　第七十九条の五十五第一項の規定により定めるべき事項を定める場合
en-us	(ii) before specifying the matters that are required to be specified pursuant to the provisions of Article 79-55, paragraph (1);

ja-jp	三　第七十九条の五十九の規定による貸付けを行うかどうかの決定を行う場合
en-us	(iii) before making a decision on whether to provide a loan under the provisions of Article 79-59; and

ja-jp	四　その他基金の業務の運営に関する重要事項を決定する場合として定款の定める場合
en-us	(iv) other cases specified by the articles of incorporation as cases in which material matters concerning the Fund's business operation are decided.

ja-jp	３　審議会は、委員八人以内で組織する。
en-us	(3) A Council comprises of no more than eight members.

ja-jp	４　委員は、基金の業務の適正な運営に必要な学識経験を有する者のうちから、内閣総理大臣及び財務大臣の認可を受けて、理事長が任命する。
en-us	(4) The members are appointed by the president from among persons that have the necessary knowledge and experience to appropriately operate the business of the Fund, with the authorization of the Prime Minister and the Minister of Finance.

ja-jp	５　第七十九条の四十一第四項の規定は、審議会について準用する。
en-us	(5) The provisions of Article 79-41, paragraph (4) apply mutatis mutandis to the Council.

ja-jp	（職員の任命）
en-us	(Appointment of Employees)

ja-jp	第七十九条の四十六　基金の職員は、理事長が任命する。
en-us	Article 79-46 The employees of a Fund are appointed by the president.

ja-jp	（役員及び職員等の秘密保持義務）
en-us	(Duty of Confidentiality of the Officers and Employees)

ja-jp	第七十九条の四十七　基金の役員若しくは職員若しくは審議会の委員又はこれらの職にあつた者は、その職務に関して知り得た秘密を漏らし、又は盗用してはならない。
en-us	Article 79-47 (1) It is prohibited for the officer or employee of a Fund, a member of the Council, or a person that has held one of these positions, to divulge or misappropriate any secret learned in the course of duty.

ja-jp	２　基金の役員若しくは職員若しくは審議会の委員又はこれらの職にあつた者は、その職務に関して知り得た情報を、基金の業務の用に供する目的以外に利用してはならない。
en-us	(2) It is prohibited for the officer or employee of a Fund, a member of the Council, or a person that has held one of these positions, to utilize information learned in the course of duty for a purpose other than the business use of the Fund for which the information is provided.

ja-jp	（役員及び職員の地位）
en-us	(Position of Officers and Employees)

ja-jp	第七十九条の四十八　基金の役員及び職員並びに審議会の委員は、刑法その他の罰則の適用については、法令により公務に従事する職員とみなす。
en-us	Article 79-48 With regard to the application of the Penal Code and other penal provisions, the officers and employees of a Fund and the members of a Council are deemed to be officials who are engaged in public service pursuant to laws and regulations.

ja-jp	第五節　業務
en-us	Section 5 Services

ja-jp	（業務の範囲）
en-us	(Scope of Services)

ja-jp	第七十九条の四十九　基金は、第七十九条の二十一に規定する目的を達成するため、次に掲げる業務を行う。
en-us	Article 79-49 A Fund provides the following services in order to achieve the purpose prescribed in Article 79-21:

ja-jp	一　第七十九条の五十六第一項の規定による一般顧客に対する支払
en-us	(i) the payment of General Customers under the provisions of Article 79-56, paragraph (1);

ja-jp	二　第七十九条の五十九第一項の規定による資金の貸付け
en-us	(ii) the lending of funds under the provision of Article 79-59, paragraph (1);

ja-jp	三　第七十九条の六十第一項に規定する裁判上又は裁判外の行為
en-us	(iii) judicial or non-judicial act prescribed in Article 79-60, paragraph (1);

ja-jp	四　第七十九条の六十一に規定する顧客資産の迅速な返還に資するための業務
en-us	(iv) services for contributing to the expeditious refunding of Customer Assets prescribed in Article 79-61;

ja-jp	五　負担金（第七十九条の二十八第四項及び第七十九条の六十四第一項に規定する負担金をいう。第七十九条の五十一第一項において同じ。）の徴収及び管理
en-us	(v) collection and management of dues (meaning the dues prescribed in Article 79-28, paragraph (4) and Article 79-64, paragraph (1); the same applies in Article 79-51, paragraph (1));

ja-jp	六　金融機関等の更生手続の特例等に関する法律（平成八年法律第九十五号）第四章第五節、第五章第三節及び第六章第三節の規定による顧客表の提出その他これらの規定による業務
en-us	(vi) the submission of the customer lists under the provisions of Chapter IV, Section 5, Chapter V, Section 3 and Chapter VI, Section 3 of the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions (Act No. 95 of 1996) and other services under those provisions; and

ja-jp	七　前各号に掲げる業務に附帯する業務
en-us	(vii) services incidental to the services set forth in the preceding items.

ja-jp	（業務の委託）
en-us	(Entrustment of Services)

ja-jp	第七十九条の五十　基金は、あらかじめ内閣総理大臣及び財務大臣の認可を受けて、金融商品取引業協会（認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいう。次項において同じ。）又は金融商品取引業者に対し、その業務の一部を委託することができる。
en-us	Article 79-50 (1) A Fund may entrust part of its services to a Financial Instruments Business Association (meaning an Authorized Financial Instruments Business Association or Certified Financial Instruments Business Association prescribed in Article 78, paragraph (2); the same applies in the following paragraph) or a Financial Services Provider with the advance authorization of the Prime Minister and the Minister of Finance.

ja-jp	２　前項に規定する認可があつたときは、金融商品取引業協会及び金融商品取引業者は、この法律又は他の法令の規定にかかわらず、当該認可に係る業務を受託し、当該業務を行うことができる。
en-us	(2) Notwithstanding the provisions of this Act or other laws and regulations, if the authorization prescribed in the preceding paragraph is granted, the Financial Instruments Business Association or Financial Services Provider may be entrusted with the services to which that authorization pertains and perform those services.

ja-jp	第七十九条の五十一　基金の業務規程には、第七十九条の五十六第一項の規定による一般顧客に対する支払に関する事項、負担金の算定方法及び納付に関する事項その他内閣府令・財務省令で定める事項を記載しなければならない。
en-us	Article 79-51 (1) The operational rules of a Fund must state the particulars of the payments to General Customers under the provisions of Article 79-56, paragraph (1), the particulars of the method of calculation of dues and their payment, and other matters specified by Cabinet Office Ordinance and Ordinance of the Ministry of Finance.

ja-jp	２　基金は、業務規程を変更しようとするときは、内閣総理大臣及び財務大臣の認可を受けなければならない。
en-us	(2) A Fund must obtain the authorization of the Prime Minister and the Minister of Finance if it seeks to change its operational rules.

ja-jp	（報告又は資料の提出）
en-us	(Submission of Reports and Materials)

ja-jp	第七十九条の五十二　基金は、その業務を行うため必要があるときは、その会員である金融商品取引業者に対し、当該金融商品取引業者の業務又は財産の状況に関し、参考となるべき報告又は資料の提出を求めることができる。
en-us	Article 79-52 (1) Whenever it is necessary in order for a Fund to perform its services, that Fund may request a Financial Services Provider that is its member to submit reports or materials that should serve as a reference with regard to the state of the business or assets of that Financial Services Provider.

ja-jp	２　前項の規定によりその業務又は財産の状況に関し参考となるべき報告又は資料の提出を求められた金融商品取引業者は、遅滞なく、報告又は資料の提出をしなければならない。
en-us	(2) A Financial Services Provider that has been requested to submit reports or materials that should serve as a reference with regard to the state of its business or assets pursuant to the provisions of the preceding paragraph, must submit the reports or materials without delay.

ja-jp	３　内閣総理大臣は、基金から要請があつた場合において、基金が業務を行うため特に必要があると認めるときは、基金に対し、資料を交付し、又はこれを閲覧させることができる。
en-us	(3) The Prime Minister may issue materials to a Fund or allow a Fund to inspect the same, if the Fund has so requested and the Prime Minister finds this to be particularly necessary in order for the Fund to perform its services.

ja-jp	（基金への通知）
en-us	(Notifying the Fund)

ja-jp	第七十九条の五十三　基金の会員である金融商品取引業者は、次の各号に該当する場合には、直ちに、その旨をその所属する基金に通知しなければならない。
en-us	Article 79-53 (1) If a Financial Services Provider that is a member of a Fund falls under one of the following items, it must immediately notify the Fund to which it belongs of this:

ja-jp	一　第五十二条第一項、第五十三条第三項、第五十四条又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とき。
en-us	(i) its Article 29 registration is rescinded pursuant to the provisions of Article 52, paragraph (1); Article 53, paragraph (3); Article 54; or Article 57-6, paragraph (3);

ja-jp	二　破産手続開始、再生手続開始、更生手続開始又は特別清算開始の申立てを行つたとき（有価証券関連業を行わない旨の第三十一条第四項の変更登録及び外国法人である金融商品取引業者にあつては、国内において破産手続開始、再生手続開始、更生手続開始若しくは特別清算開始の申立てを行つたとき、又は本店の所在する国において当該国の法令に基づき同種類の申立てを行つたとき。）。
en-us	(ii) it files a petition to commence bankruptcy proceedings, rehabilitation proceedings, Reorganization proceedings, or special liquidation proceedings (or it makes an Article 31, paragraph (4) registration of a change indicating that it no longer provides Securities Services; or if the Financial Services Provider is a foreign corporation, it files a petition to commence bankruptcy proceedings, rehabilitation proceedings, reorganization proceedings, or special liquidation proceedings in Japan, or a petition of the same kind in the state where its head office is located based on the laws and regulations of that state);

ja-jp	三　金融商品取引業の廃止（外国法人である金融商品取引業者にあつては、国内に設けられたすべての営業所又は事務所における金融商品取引業の廃止を含む。以下この号において同じ。）をしたとき若しくは解散（外国法人である金融商品取引業者にあつては、国内に設けられた営業所又は事務所の清算の開始を含む。）をしたとき、又は第五十条の二第六項の規定による金融商品取引業等の廃止若しくは解散の公告をしたとき。
en-us	(iii) it discontinues its Financial Instruments Business (with regard to a Financial Services Provider that is a foreign corporation, this includes the discontinuation of Financial Instruments Business at all business offices and offices it has established in Japan; hereinafter the same applies in this item) or is dissolved (with regard to a Financial Services Provider that is a foreign corporation, this includes the commencement of liquidation of the business offices and offices it has established in Japan) or it issues a public notice of its discontinuation of Financial Instruments Business, etc. under the provisions of Article 50-2, paragraph (6) or of its dissolution; or

ja-jp	四　第五十二条第一項の規定による業務の全部又は一部の停止の命令（同項第七号に該当する場合に限る。）を受けたとき。
en-us	(iv) it becomes subject to an order for the suspension of all or a part of business activities under the provisions of Article 52, paragraph (1) (limited to a case falling under item (vii) of that paragraph).

ja-jp	２　基金は、前項の規定による通知を受けたときは、直ちに、その旨を内閣総理大臣及び財務大臣に報告しなければならない。
en-us	(2) If a Fund receives a notice under the provisions of the preceding paragraph, it must immediately report this to the Prime Minister and the Minister of Finance.

ja-jp	３　内閣総理大臣は、基金の会員である金融商品取引業者に対し次に掲げる処分をしたときは、直ちに、その旨を財務大臣及び当該金融商品取引業者が所属する基金に通知しなければならない。
en-us	(3) If the Prime Minister issues one of the following dispositions with regard to a Financial Services Provider that is a member of a Fund, the Prime Minister must immediately notify the Minister of Finance and the Fund to which that Financial Services Provider belongs of this:

ja-jp	一　第五十二条第一項若しくは第四項、第五十三条第三項、第五十四条又は第五十七条の六第三項の規定による第二十九条の登録の取消し
en-us	(i) the Article 52, paragraph (1) or (4); Article 53, paragraph (3); Article 54; or Article 57-6, paragraph (3) rescission of an Article 29 registration; or

ja-jp	二　第五十二条第一項の規定による業務の全部又は一部の停止の命令（同項第七号に該当する場合に限る。）
en-us	(ii) an order for the suspension of all or a part of business activities under the provisions of Article 52, paragraph (1) (limited to a case falling under item (vii) of that paragraph).

ja-jp	４　内閣総理大臣は、基金の会員である金融商品取引業者につき、裁判所に対し、金融機関等の更生手続の特例等に関する法律第四百九十条第一項の規定による破産手続開始の申立てをしたときは、直ちに、その旨を財務大臣及び当該金融商品取引業者が所属する基金に通知しなければならない。
en-us	(4) Upon filing with the court a petition to commence bankruptcy proceedings under the provisions of Article 490, paragraph (1) of the Act on Special Treatment of Corporate reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions against a Financial Services Provider that is a member of a Fund, the Prime Minister must immediately notify the Minister of Finance and the Fund to which the Financial Services Provider belongs of this.

ja-jp	５　内閣総理大臣は、基金の会員である金融商品取引業者につき、金融機関等の更生手続の特例等に関する法律第三百七十九条第二項、第四百四十八条第二項又は第四百九十二条の規定による通知その他特別清算に関する通知を受けたときは、直ちに、その旨を財務大臣及び当該金融商品取引業者が所属する基金に通知しなければならない。
en-us	(5) If the Prime Minister receives a notice under the provisions of Article 379, paragraph (2); Article 448, paragraph (2); or Article 492 of the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions or any other notice concerning special liquidation proceedings with regard to a Financial Services Provider that is a member of a Fund, the Prime Minister must immediately notify the Minister of Finance and the Fund to which the Financial Services Provider belongs of this.

ja-jp	（弁済困難の認定）
en-us	(Finding of Difficulty in Payment)

ja-jp	第七十九条の五十四　基金は、前条第一項又は第三項から第五項までの規定による通知を受けた場合には、投資者の保護に欠けるおそれがないことが明らかであると認められるときを除き、当該通知に係る金融商品取引業者（以下「通知金融商品取引業者」という。）につき、顧客資産の返還に係る債務の円滑な履行が困難であるかどうかの認定を、遅滞なく、行わなければならない。
en-us	Article 79-54 If a Fund receives a notice under the provisions of paragraph (1) or paragraphs (3) to (5) inclusive of the preceding Article, it must, without delay, reach a finding as to whether it is difficult for the Financial Services Provider to which the notice pertains (hereinafter referred to as a "Financial Services Provider That Is the Subject of a Notice") to smoothly perform its obligations in connection with the refunding of Customer Assets, unless it is found to be clearly unlikely that not reaching such a finding would result in insufficient investor protection.

ja-jp	（認定の公告）
en-us	(Public Notice of Finding)

ja-jp	第七十九条の五十五　基金は、通知金融商品取引業者につき、前条の規定により、顧客資産の返還に係る債務の円滑な履行が困難であるとの認定を行つた場合には、速やかに、次条第一項の請求の届出期間、届出場所その他政令で定める事項を定め、これを公告しなければならない。
en-us	Article 79-55 (1) If a Fund, pursuant to the provisions of the preceding Article, reaches the finding that it is difficult for a Financial Services Provider That Is the Subject of a Notice to smoothly perform its obligations in connection with the refunding of Customer Assets, it must promptly specify the period and place of notification set forth in paragraph (1) of the following Article and other matters specified by Cabinet Order and issue public notice of the same.

ja-jp	２　基金は、前項の規定により公告した後に、同項の認定に係る金融商品取引業者（以下「認定金融商品取引業者」という。）について破産法（平成十六年法律第七十五号）第百九十七条第一項（同法第二百九条第三項において準用する場合を含む。）の規定による公告、第五項の規定による通知その他の政令で定める事由が生じたときは、前項の規定により公告した届出期間を変更することができる。
en-us	(2) If a public notice under the provisions of Article 197, paragraph (1) of the Bankruptcy Act (Act No. 75 of 2004) (including as applied mutatis mutandis pursuant to Article 209, paragraph (3) of that Act) or a notice under the provisions of paragraph (5) is issued or if any other cause specified by Cabinet Order occurs with regard to a Financial Services Provider that is subject to the finding referred to in the preceding paragraph (hereinafter referred to as a "Distressed Financial Services Provider") after the Fund has issued public notice pursuant to the provisions of the preceding paragraph, the Fund may change the period of notification with regard to which it has issued the public notice pursuant to the provisions of that paragraph.

ja-jp	３　基金は、前項の規定により届出期間を変更したときは、遅滞なく、その変更に係る事項を公告しなければならない。
en-us	(3) If a Fund changes the period of notification pursuant to the provisions of the preceding paragraph, it must issue public notice of the particulars of the change without delay.

ja-jp	４　基金は、第一項に規定する事項を定めた場合又は第二項の規定により届出期間を変更した場合には、直ちに、その旨を内閣総理大臣及び財務大臣に報告しなければならない。
en-us	(4) When a Fund specifies the matters prescribed in paragraph (1) or if it changes the period of notification pursuant to the provisions of paragraph (2), it must immediately report this to the Prime Minister and the Minister of Finance.

ja-jp	５　認定金融商品取引業者の破産手続において、破産法第百九十七条第一項（同法第二百九条第三項において準用する場合を含む。）若しくは第二百四条第二項の規定による通知をしたとき、又は同法第二百八条第一項の規定による許可を受けたときは、破産管財人は、その旨を基金に通知しなければならない。
en-us	(5) The bankruptcy trustee must notify the Fund upon providing the notice under the provisions of Article 197, paragraph (1) (including as applied mutatis mutandis pursuant to Article 209, paragraph (3) of the Bankruptcy Act) or Article 204, paragraph (2) of the Bankruptcy Act or upon receipt of permission under the provisions of Article 208, paragraph (1) of that Act in connection with the bankruptcy proceedings of the Financial Services Provider That Is Subject to the Finding.

ja-jp	（補償対象債権の支払）
en-us	(Payment of Claims to Be Compensated)

ja-jp	第七十九条の五十六　基金は、認定金融商品取引業者の一般顧客の請求に基づいて、前条第一項の規定により公告した日において現に当該一般顧客が当該認定金融商品取引業者に対して有する債権（当該一般顧客の顧客資産に係るものに限る。）であつて基金が政令で定めるところにより当該認定金融商品取引業者による円滑な弁済が困難であると認めるもの（以下「補償対象債権」という。）につき、内閣府令・財務省令で定めるところにより算出した金額の支払を行うものとする。
en-us	Article 79-56 (1) At the request of the General Customer of a Distressed Financial Services Provider, the Fund is to pay the amount calculated pursuant to the provisions of Cabinet Office Ordinance and Ordinance of the Ministry of Finance on any claim that the General Customer has against the Financial Services Provider That Is Subject to the Finding as of the day that the Fund issues public notice pursuant to the provisions of paragraph (1) of the preceding Article (limited to a claim for the Customer Assets of said General Customer), and which the Fund, pursuant to the provisions of Cabinet Order, finds would be difficult for the Financial Services Provider That Is Subject to the Finding to smoothly pay (hereinafter referred to as "Claims to Be Compensated").

ja-jp	２　基金は、前項の規定にかかわらず、認定金融商品取引業者の役員その他の政令で定める者に対しては、同項の支払を行わないものとする。
en-us	(2) Notwithstanding the provisions of the preceding paragraph, a Fund is not to make the payment referred to in that paragraph to the officer of a Distressed Financial Services Provider or to any other person specified by Cabinet Order.

ja-jp	３　第一項の請求は、前条第一項又は第三項の規定により公告した届出期間内でなければ、することができない。ただし、その届出期間内に請求しなかつたことにつき、災害その他やむを得ない事情があると基金が認めるときは、この限りでない。
en-us	(3) A request set forth in paragraph (1) may only be made within the period of notification for which public notice is issued pursuant to the provisions of paragraph (1) or (3) of the preceding Article; provided, however, that this does not apply if there has been a natural disaster or if the Fund otherwise finds there to be a compelling reason for the failure to make a request within the period of notification.

ja-jp	（支払金額等）
en-us	(Amount of Payment)

ja-jp	第七十九条の五十七　前条第一項の請求をした認定金融商品取引業者の一般顧客が次の各号に該当する場合において基金が同項の規定により支払をすべき金額は、同項の規定にかかわらず、同項の規定による金額から当該各号に定める額を控除した金額に相当する金額とする。
en-us	Article 79-57 (1) Notwithstanding the provisions of paragraph (1) of the preceding Article, if the General Customer of a Distressed Financial Services Provider which makes the request set forth in that paragraph falls under one of the following items, the amount that must be paid by the Fund pursuant to the provisions of that paragraph is equivalent to the amount under the provisions of that paragraph less the amount provided for in the relevant item:

ja-jp	一　補償対象債権に係る顧客資産の全部又は一部を担保権の目的として提供している場合　その担保権の目的として提供している顧客資産の全部又は一部を内閣府令・財務省令で定めるところにより評価した金額（当該金額が当該担保権に係る被担保債権の額を超える場合には、当該担保権に係る被担保債権の額）
en-us	(i) if the General Customer has provided the whole or a part of the Customer Assets that are under the Claim to Be Compensated as the subject matter of a security interest: the amount of the relevant whole or part of the Customer Assets provided as the subject matter of the security interest, as valued pursuant to the provisions of Cabinet Office Ordinance and Ordinance of the Ministry of Finance (or, if that amount exceeds the amount of the secured claim connected with the security interest, the amount of the secured claim connected with that security interest);

ja-jp	二　当該認定金融商品取引業者に対して債務を負つている場合　その債務の額（当該債務に関して前号に該当する場合には、同号に定める額を控除した額）
en-us	(ii) if the General Customer has incurred an obligation to the Financial Services Provider That Is Subject to the Finding: the amount of the obligation (or, if the General Customer falls under the preceding item in connection with that obligation, the amount of the obligation less the amount provided for in that item); or

ja-jp	三　補償対象債権に係る顧客資産のうちに社債等の振替に関する法律第六十条第一項に規定する補償対象債権を有する場合　同項の補償対象債権に相当する顧客資産を内閣府令・財務省令で定めるところにより評価した金額（当該顧客資産について同条第五項の適用がある場合には、当該金額から同項の規定により減額された支払額を控除した金額）
en-us	(iii) if the Customer Assets that are subject to the Claim to Be Compensated include a Claim to Be Compensated prescribed in Article 60, paragraph (1) of the Act on the Book-Entry of Corporate Bonds: the amount of Customer Assets equivalent to the Claims to Be Compensated set forth in that paragraph, as valued pursuant to the provisions of Cabinet Office Ordinance and Ordinance of the Ministry of Finance (or, if the provisions of paragraph (5) of that Article apply to those Customer Assets, that amount less the amount of payment reduced pursuant to the provisions of that paragraph).

ja-jp	２　金融商品取引業者が、第七十九条の二十第二項の規定により一般顧客とみなされる場合における前条第一項及び前項の規定の適用については、当該一般顧客とみなされる起因となつている当該金融商品取引業者の一般顧客ごとに、一般顧客としての地位を有するものとする。
en-us	(2) With regard to the application of paragraph (1) of the preceding Article and the provisions of the preceding paragraph if a Financial Services Provider is deemed to be a General Customer pursuant to the provisions of Article 79-20, paragraph (2), each General Customer of the Financial Services Provider which causes the Financial Services Provider to be deemed a General Customer has the position of a General Customer.

ja-jp	３　前条第一項及び第一項の規定により支払をすべき金額が政令で定める金額を超えるときは、当該政令で定める金額を当該支払をすべき金額とする。
en-us	(3) If the amount that must be paid pursuant to the provisions of paragraph (1) of the preceding Article and paragraph (1) exceeds the amount specified by Cabinet Order, the amount specified by Cabinet Order is the amount that must be paid.

ja-jp	４　基金は、前条第一項の支払をしたときは、その支払をした金額に応じ、政令で定めるところにより、当該支払に係る補償対象債権を取得する。
en-us	(4) If a Fund makes the payment referred to in paragraph (1) of the preceding Article, it acquires a Claim to Be Compensated in connection with that payment and in line with the amount it pays, pursuant to the provisions of Cabinet Order.

ja-jp	（所得税法等の適用）
en-us	(Application of the Income Tax Act)

ja-jp	第七十九条の五十八　一般顧客である個人が、認定金融商品取引業者に対して有する補償対象債権（有価証券に係るものに限る。以下この項において同じ。）に係る第七十九条の五十六第一項の支払を受けたときは、その支払を受けた時に、その支払を受けた金額により、当該個人から当該支払をした基金に対し当該支払に係る補償対象債権（当該補償対象債権のうち当該支払をしたことにより当該基金が取得した部分に限る。）に係る有価証券の譲渡があつたものとみなして、所得税法（昭和四十年法律第三十三号）その他の所得税に関する法令の規定を適用する。
en-us	Article 79-58 (1) If a General Customer is an individual and that individual receives a payment set forth in Article 79-56, paragraph (1) on a Claim to Be Compensated that the individual holds against a Distressed Financial Services Provider (limited to a claim involving Securities; hereinafter the same applies in this paragraph), the Securities under the Claim to Be Compensated that is connected with that payment (limited to the part of the Claim to Be Compensated that the Fund acquires based on that payment) are deemed to transfer from the individual to the Fund that makes the payment, based on the amount of payment that the individual receives and at the time the individual receives that payment, and the provisions of the Income Tax Act (Act No. 33 of 1965) and other laws and regulations concerning income tax apply.

ja-jp	２　前項の規定の適用がある場合における租税特別措置法（昭和三十二年法律第二十六号）第四条の二及び第四条の三の規定の特例の適用に関し必要な事項は、政令で定める。
en-us	(2) Necessary particulars relevant to the application of the special provisions of Article 4-2 and Article 4-3 of the Act on Special Measures Concerning Taxation (Act No. 26 of 1957) in a case to which the provisions of the preceding paragraph are applicable are specified by Cabinet Order.

ja-jp	（返還資金融資）
en-us	(Loans of Funds for Refunds)

ja-jp	第七十九条の五十九　基金は、通知金融商品取引業者（認定金融商品取引業者を除く。）又は通知金融商品取引業者に係る第四十三条の二第二項に規定する信託の受益者代理人の申込みに基づき、その必要と認められる金額の範囲内において、これらの者に対し、顧客資産の返還に係る債務の迅速な履行に必要な資金の貸付け（以下「返還資金融資」という。）を行うことができる。
en-us	Article 79-59 (1) At the application of a Financial Services Provider That Is the Subject of a Notice (excluding a Distressed Financial Services Provider g) or the agent of the beneficiary of a trust prescribed in Article 43-2, paragraph (2) that is connected to a Financial Services Provider That Is the Subject of a Notice, a Fund may loan the necessary funds for the expeditious performance of obligations connected with the refunding of Customer Assets (hereinafter referred to as a "Loan of Funds for Refunds") to such a person, within the limits of the amount that is found to be necessary.

ja-jp	２　返還資金融資の申込みを行う者は、当該申込みを行う時までに、当該返還資金融資に関し、次に掲げる要件のすべてに該当することについて、内閣総理大臣の認定（以下この条において「適格性の認定」という。）を受けなければならない。
en-us	(2) A person that files an application for a Loan of Funds for Refunds must be recognized by the Prime Minister to satisfy all of the following requirements with regard to the relevant Loan of Funds for Refunds (hereinafter such a recognition is referred to as "Recognition of Eligibility" in this Article), by the time it files that application:

ja-jp	一　返還資金融資が行われることが顧客資産の返還に係る債務の迅速な履行に必要であると認められること。
en-us	(i) providing a Loan of Funds for Refund is found to be necessary for the expeditious performance of obligations connected with the refund of Customer Assets; and

ja-jp	二　返還資金融資による貸付金が顧客資産の返還に係る債務の迅速な履行のために使用されることが確実であると認められること。
en-us	(ii) it is found to be possible to rely upon the proceeds of a Loan of Funds for Refund being used for the expeditious performance of obligations connected with the refund of Customer Assets.

ja-jp	３　内閣総理大臣は、適格性の認定を行つたときは、その旨を財務大臣及び当該適格性の認定を受けた金融商品取引業者（金融商品取引業者に係る第四十三条の二第二項に規定する信託の受益者代理人が認定を受けた場合にあつては、当該金融商品取引業者）が所属する基金に通知しなければならない。
en-us	(3) Upon granting a Recognition of Eligibility, the Prime Minister shall notify the Minister of Finance and the Fund to which the Financial Services Provider that has obtained the Recognition of Eligibility belongs (or, if the agent of the beneficiary of a trust prescribed in Article 43-2, paragraph (2) that involves a Financial Services Provider has obtained that recognition, the Financial Services Provider) of this.

ja-jp	４　基金は、返還資金融資の申込みがあつたときは、当該申込みに係る返還資金融資を行うかどうかの決定をしなければならない。
en-us	(4) Upon receiving an application for a Loan of Funds for Refunds, a Fund must decide whether to provide the Loan of Funds for Refunds to which that application pertains.

ja-jp	５　基金は、前項の決定をしたときは、直ちに、その決定に係る事項を内閣総理大臣及び財務大臣に報告しなければならない。
en-us	(5) When a Fund has made the decision referred to in the preceding paragraph, it shall immediately report the particulars of the decision to the Prime Minister and the Minister of Finance.

ja-jp	（一般顧客の債権の保全）
en-us	(Preservation of the Claims of General Customers)

ja-jp	第七十九条の六十　基金は、金融機関等の更生手続の特例等に関する法律の規定による行為を行うほか、一般顧客が通知金融商品取引業者に対して有する債権（当該一般顧客の顧客資産に係るものに限る。）の実現を保全するために必要があると認めるときは、その必要の限度において、当該一般顧客のため、当該債権の実現を保全するために必要な一切の裁判上又は裁判外の行為を行う権限を有する。
en-us	Article 79-60 (1) In addition to the performance of acts under the provisions of the Act on Special Treatment of Corporate Reorganization Proceedings and Other Insolvency Proceedings of Financial Institutions, if a Fund finds it to be necessary in order to preserve the fulfillment of a claim that a General Customer has against a Financial Services Provider That Is the Subject of a Notice (limited to a claim involving the Customer Assets of that General Customer), the Fund, within the scope of this necessity, has the authority to perform any and all judicial and non-judicial acts that are necessary for preserving the fulfillment of that claim on behalf of that General Customer.

ja-jp	２　基金は、一般顧客のために、公平かつ誠実に前項の行為をしなければならない。
en-us	(2) A Fund must be sincere and fair in its performance of the acts referred to in the preceding paragraph on behalf of a General Customer.

ja-jp	３　基金は、一般顧客に対し、善良な管理者の注意をもつて第一項の行為をしなければならない。
en-us	(3) A Fund shall perform the acts set forth in paragraph (1) for General Customers with the due care of a prudent manager.

ja-jp	４　基金は、第一項の規定により裁判上の行為をする場合には、当該行為により代理する一般顧客に対し、あらかじめ当該行為の内容を通知しなければならない。
en-us	(4) Before performing a judicial pursuant to the provisions of paragraph (1), a Fund must notify the General Customer that the Fund represents in that act, of the content of the act.

ja-jp	５　前項の規定による通知を受けた一般顧客は、基金に対して基金の代理権を消滅させる旨を通知することにより当該代理権を消滅させて、自ら当該通知に係る裁判上の行為をすることができる。
en-us	(5) A General Customer that has received the notice under the provisions of the preceding paragraph may independently perform any judicial act to which that notice pertains by extinguishing the authority of representation of the Fund by notifying the Fund that the General Customer extinguishes the authority of representation.

ja-jp	（迅速な弁済に資するための業務）
en-us	(Services for Contributing to Expeditious Payment)

ja-jp	第七十九条の六十一　基金は、会員である金融商品取引業者の委託を受けて、当該金融商品取引業者に係る第四十三条の二第二項に規定する信託の受益者代理人としての業務その他の顧客資産の迅速な返還に資するための業務を行うことができる。
en-us	Article 79-61 A Fund may be entrusted by a Financial Services Provider that is its member, to perform services as the agent of the beneficiary of a trust prescribed in Article 43-2, paragraph (2) which is connected to the Financial Services Provider or other services for contributing to the expeditious refunding of Customer Assets.

ja-jp	（内閣府令等への委任）
en-us	(Delegation to Cabinet Office Ordinance)

ja-jp	第七十九条の六十二　この節の規定を実施するための手続その他必要な事項は、内閣府令又は内閣府令・財務省令で定める。
en-us	Article 79-62 Procedures for the implementation of the provisions of this Section and particulars that are otherwise necessary for their implementation are specified by Cabinet Office Ordinance or Ordinance of the Cabinet Office and the Ministry of Finance.

ja-jp	第六節　負担金
en-us	Section 6 Dues

ja-jp	（投資者保護資金）
en-us	(Funds for Investor Protection)

ja-jp	第七十九条の六十三　基金は、第七十九条の四十九各号に掲げる業務に要する費用に充てるための資金（以下「投資者保護資金」という。）を設けるものとする。
en-us	Article 79-63 (1) A Fund is to set aside funds that it allocates to cover the costs that are required for the services set forth in the items of Article 79-49 (hereinafter referred to as "Funds for Investor Protection").

ja-jp	２　投資者保護資金は、第七十九条の四十九各号に掲げる業務に要する費用に充てる場合でなければ、これを使用してはならない。
en-us	(2) Funds for Investor Protection must not be used other than when they are allocated to cover the costs that are required for the services set forth in the items of Article 79-49.

ja-jp	第七十九条の六十四　金融商品取引業者は、投資者保護資金に充てるため、業務規程の定めるところにより、その所属する基金に対し、負担金を納付しなければならない。
en-us	Article 79-64 (1) A Financial Services Provider shall pay dues to a Fund to which it belongs pursuant to the provisions of the operational rules, so that these can be allocated to Funds for Investor Protection.

ja-jp	２　基金は、前項の規定にかかわらず、定款の定めるところにより、通知金融商品取引業者の負担金を免除することができる。
en-us	(2) Notwithstanding the provisions of the preceding paragraph, a Fund may waive the dues of a Financial Services Provider That Is the Subject of a Notice, pursuant to the provisions of the articles of incorporation.

ja-jp	（負担金の額の算定方法等）
en-us	(Method of Calculation of the Amount of Dues)

ja-jp	第七十九条の六十五　前条第一項の負担金の額は、業務規程の定める算定方法により算定される額とする。
en-us	Article 79-65 (1) The amount of the dues referred to in paragraph (1) of the preceding Article is the amount calculated using the calculation method stipulated in the operational rules.

ja-jp	２　前項の負担金の算定方法は、次に掲げる基準に適合するように定めなければならない。
en-us	(2) The method of calculating dues which is referred to in the preceding paragraph must be specified so as to conform to the following criteria:

ja-jp	一　第七十九条の五十六第一項の支払その他の投資者保護資金に係る業務に要する費用の予想額に照らし、長期的に基金の財政が均衡するものであること。
en-us	(i) the finances of a Fund will be balanced in the long term in light of the estimated amount of payments set forth in Article 79-56, paragraph (1) and the costs that are required for services linked to Funds for Investor Protection; and

ja-jp	二　特定の金融商品取引業者に対し差別的取扱いをしないものであること。
en-us	(ii) no particular Financial Services Provider is subject to differential treatment.

ja-jp	３　前項の規定は、同項第一号に掲げる基準に適合するように負担金の算定方法を定めることとした場合には、これによる負担金の納付によつて会員である金融商品取引業者の経営の健全性が維持されなくなるときにおいて、当該基準に適合しない負担金の算定方法を一時的に定めることを妨げるものと解してはならない。
en-us	(3) The provisions of the preceding paragraph must not be construed as precluding the temporary specification of a method of calculating dues that does not conform to the criterion specified in item (i) of that paragraph, if the payment of dues so calculated would make it impossible for a Financial Services Provider that is a member to maintain its sound management.

ja-jp	第七十九条の六十六　金融商品取引業者は、負担金を業務規程の定める納期限までに納付しない場合には、その所属する基金に対し、延滞金を納付しなければならない。
en-us	Article 79-66 (1) If a Financial Services Provider fails to pay its dues by the due date for payment specified by the operational rules, it must pay a delinquency charge to the Fund to which it belongs.

ja-jp	２　延滞金の額は、未納の負担金の額に納期限の翌日からその納付の日までの日数に応じ年十四・五パーセントの割合を乗じて計算した金額とする。
en-us	(2) The amount of a delinquency charge is calculated by multiplying the amount of unpaid dues by an annual rate of 14.5 percent, based on the number of days from the day following the due date for payment until the day of payment.

ja-jp	（内閣府令・財務省令への委任）
en-us	(Delegation to Cabinet Office Ordinance and Ordinance of the Ministry of Finance)

ja-jp	第七十九条の六十七　この節の規定を実施するための手続その他必要な事項は、内閣府令・財務省令で定める。
en-us	Article 79-67 Procedures for the implementation of the provisions of this Section and particulars that are otherwise necessary for their implementation are specified by Cabinet Office Ordinance and Ordinance of the Ministry of Finance.

ja-jp	第七節　財務及び会計
en-us	Section 7 Finance and Accounting

ja-jp	第七十九条の六十八　基金の事業年度は、四月一日から翌年三月三十一日までとする。ただし、基金の成立の日を含む事業年度は、その成立の日からその後最初の三月三十一日までとする。
en-us	Article 79-68 The business year of a Fund is from April 1 to March 31 of the following year; provided, however, that the business year in that includes the day of establishment of a Fund is from the day of establishment to the following March 31.

ja-jp	（予算及び資金計画の提出）
en-us	(Submission of a Budget and Financial Plan)

ja-jp	第七十九条の六十九　基金は、毎事業年度、予算及び資金計画を作成し、当該事業年度の開始前に（基金の成立の日を含む事業年度にあつては、成立後遅滞なく）、内閣総理大臣及び財務大臣に提出しなければならない。これを変更したときも、同様とする。
en-us	Article 79-69 A Fund shall prepare a budget and a financial plan for every business year and submit them to the Prime Minister and the Minister of Finance before the commencement of the relevant business year (with regard to a business year that includes the day of establishment of a Fund, this means without delay after the establishment of the Fund). The same applies if a Fund changes the budget or financial plan.

ja-jp	（財務諸表等の提出）
en-us	(Submission of Financial Statements)

ja-jp	第七十九条の七十　基金は、事業年度（基金の成立の日を含む事業年度を除く。）の開始の日から三月以内に、前事業年度の貸借対照表及び損益計算書、財産目録並びに事業報告書及び予算の区分に従う決算報告書（以下この条において「財務諸表等」という。）を内閣総理大臣及び財務大臣に提出し、その承認を受けなければならない。
en-us	Article 79-70 (1) Within three months from the first day of the business year (excluding the business year that includes the day of establishment of a Fund), a Fund must submit a balance sheet and profit and loss statement, an inventory of assets and business report, and a statement of accounts based on their budget classification (hereinafter collectively referred to as "Financial Statements, etc." in this Article) for the previous business year to the Prime Minister and the Minister of Finance, and obtain their approval.

ja-jp	２　基金は、前項の規定により財務諸表等を内閣総理大臣及び財務大臣に提出するときは、これに財務諸表等に関する監事の意見書を添付しなければならない。
en-us	(2) When a Fund submits Financial Statements, etc. to the Prime Minister and the Minister of Finance pursuant to the provisions of the preceding paragraph, an inspector's written opinion about the Financial Statements, etc. must accompany them.

ja-jp	３　基金は、第一項の規定による内閣総理大臣及び財務大臣の承認を受けた財務諸表等を当該基金の事務所に備え置き、公衆の縦覧に供しなければならない。
en-us	(3) A Fund must keep the Financial Statements, etc. that have been approved by the Prime Minister and the Minister of Finance as under the provisions of paragraph (1) at its office and make them available for public inspection.

ja-jp	第七十九条の七十一　基金は、毎事業年度の剰余金の全部を、準備金として積み立てなければならない。
en-us	Article 79-71 (1) A Fund must lay aside all of the surplus in every business year as reserve funds.

ja-jp	２　前項の準備金は、前事業年度から繰り越した欠損のてん補に充て、又は投資者保護資金に繰り入れることができる。
en-us	(2) The reserve funds referred to in the preceding paragraph may be allocated to cover any deficit carried over from the previous business year, and may be transferred to Funds for Investor Protection.

ja-jp	３　第一項の準備金は、前項の場合を除き、取り崩してはならない。
en-us	(3) The reserve funds referred to in paragraph (1) must not be broken into other than as referred to in the preceding paragraph.

ja-jp	（資金の借入れ）
en-us	(Borrowing of Funds)

ja-jp	第七十九条の七十二　基金は、第七十九条の四十九第一号から第四号まで及び第六号に掲げる業務を行うため必要があると認めるときは、政令で定める金額の範囲内において、内閣総理大臣及び財務大臣の認可を受けて、金融機関等（銀行、金融商品取引業者その他内閣府令・財務省令で定めるものをいう。）から資金の借入れ（借換えを含む。）をすることができる。
en-us	Article 79-72 If a Fund finds it to be necessary in order for it to perform the services set forth in Article 79-49, items (i) to (iv) inclusive and item (vi), it may borrow funds (this includes refinancing) from a financial institution, etc. (meaning a bank, a Financial Services Provider, or any other person specified by Cabinet Office Ordinance or Ordinance of the Ministry of Finance) with the authorization of the Prime Minister and the Minister of Finance, within the limits of the amount specified by Cabinet Order.

ja-jp	（資金運用の制限）
en-us	(Restrictions on the Investment of Funds)

ja-jp	第七十九条の七十三　基金は、次の方法によるほか、業務上の余裕金及び投資者保護資金を運用してはならない。
en-us	Article 79-73 A Fund must not invest any surplus funds that arise in the course of business or Funds for Investor Protection except in the following manners:

ja-jp	一　国債その他内閣総理大臣及び財務大臣の指定する有価証券の保有
en-us	(i) by holding national government bonds or other Securities designated by the Prime Minister and the Minister of Finance;

ja-jp	二　内閣総理大臣及び財務大臣の指定する金融機関への預金
en-us	(ii) by depositing them in a financial institution designated by the Prime Minister and the Minister of Finance; or

ja-jp	三　その他内閣府令・財務省令で定める方法
en-us	(iii) in other ways specified by Cabinet Office Ordinance and Ordinance of the Ministry of Finance.

ja-jp	（内閣府令・財務省令への委任）
en-us	(Delegation to Cabinet Office Ordinance and Ordinance of the Ministry of Finance)

ja-jp	第七十九条の七十四　この法律で規定するもののほか、基金の財務及び会計に関し必要な事項は、内閣府令・財務省令で定める。
en-us	Article 79-74 Beyond what is provided for in this Act, necessary particulars relevant to the finance and accounting of a Fund are specified by Cabinet Office Ordinance and Ordinance of the Ministry of Finance.

ja-jp	第八節　監督
en-us	Section 8 Supervision

ja-jp	（業務改善命令）
en-us	(Business Improvement Orders)

ja-jp	第七十九条の七十五　内閣総理大臣及び財務大臣は、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、基金に対し、定款又は業務規程の変更その他その業務に関して監督上必要な命令をすることができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	Article 79-75 If the Prime Minister and the Minister of Finance find it to be necessary and appropriate in the public interest or for the protection of investors, they may order a Fund to change its articles of incorporation or operational rules, or may otherwise issue it orders that are necessary from a supervisory perspective, in connection with its business. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister and the Minister of Finance must conduct a hearing.

ja-jp	（認可の取消し）
en-us	(Rescission of Authorization)

ja-jp	第七十九条の七十六　内閣総理大臣及び財務大臣は、基金が法令、法令に基づく行政官庁の処分若しくは当該基金の定款若しくは業務規程に違反した場合又は業務若しくは財産の状況によりその業務の継続が困難であると認める場合において、公益又は投資者保護のため必要かつ適当であると認めるときは、その設立の認可を取り消すことができる。この場合においては、行政手続法第十三条第一項の規定による意見陳述のための手続の区分にかかわらず、聴聞を行わなければならない。
en-us	Article 79-76 If a Fund violates a law or regulation, a disposition by a government agency which is based on a law or regulation, or its articles of incorporation or operational rules, or if the Prime Minister and the Minister of Finance find that it will be difficult for a Fund's services to continue due to the state of its services or assets, and the Prime Minister and the Minister of Finance find it to be necessary and appropriate in the public interest or for the protection of investors, they may rescind the authorization for the incorporation of the Fund. In such a case, irrespective of the category of proceeding for hearing statements of opinion under Article 13, paragraph (1) of the Administrative Procedure Act, the Prime Minister and the Minister of Finance must conduct a hearing.

ja-jp	（報告の徴取及び立入検査）
en-us	(Collection of Reports and On-Site Inspections)

ja-jp	第七十九条の七十七　内閣総理大臣及び財務大臣は、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、基金若しくは当該基金から業務の委託を受けた者に対し当該基金の業務若しくは財産に関し参考となるべき報告若しくは資料の提出を命じ、又は当該職員に基金若しくは当該基金から業務の委託を受けた者の事務所に立ち入り、帳簿書類その他の物件の検査（当該基金から業務の委託を受けた者にあつては、当該基金の業務又は財産に関し必要なものに限る。）をさせることができる。
en-us	Article 79-77 Whenever the Prime Minister and the Minister of Finance find that it is necessary and appropriate in the public interest or for the protection of investors, they may order a Fund or a person that a Fund has entrusted with its business to submit reports or materials that should serve as a reference with regard to the business or assets of the Fund, and may have the relevant officials enter the office of a Fund or of the person that a Fund has entrusted with its business to inspect its books and documents or any other articles (but may only have the relevant officials inspect the person that a Fund has entrusted with its business as is necessary in connection with the business or assets of the Fund).

ja-jp	第九節　解散
en-us	Section 9 Dissolution