金融商品取引業等に関する内閣府令

平成十九年八月六日内閣府令第五十二号

金融商品取引法（昭和二十三年法律第二十五号）及び金融商品取引法施行令（昭和四十年政令第三百二十一号）の規定に基づき、並びに同法及び同令を実施するため、金融商品取引業等に関する内閣府令を次のように定める。

第一章　総則 （第一条―第三条）

第二章　金融商品取引業者等

第一節　総則

第一款　通則 （第四条・第四条の二）

第二款　金融商品取引業者 （第五条―第三十五条）

第三款　主要株主 （第三十六条―第三十九条）

第四款　登録金融機関 （第四十条―第五十二条）

第五款　特定投資家 （第五十三条―第六十四条の三）

第二節　業務

第一款　通則 （第六十五条―第百二十五条の六）

第二款　投資助言業務及び投資運用業に関する特則 （第百二十六条―第百三十五条）

第三款　有価証券等管理業務に関する特則 （第百三十六条―第百四十六条）

第四款　電子募集取扱業務に関する特則 （第百四十六条の二）

第五款　弊害防止措置等 （第百四十七条―第百五十五条）

第六款　雑則 （第百五十六条）

第三節　経理

第一款　第一種金融商品取引業を行う金融商品取引業者 （第百五十七条―第百八十条）

第二款　第一種金融商品取引業を行わない金融商品取引業者 （第百八十一条―第百八十三条）

第三款　登録金融機関 （第百八十四条―第百八十九条）

第四款　外国法人等に対する特例 （第百九十条―第百九十七条）

第四節　監督 （第百九十八条―第二百八条）

第四節の二　特別金融商品取引業者等に関する特則

第一款　特別金融商品取引業者 （第二百八条の二―第二百八条の十七）

第二款　指定親会社 （第二百八条の十八―第二百八条の三十四）

第三款　雑則 （第二百八条の三十五）

第五節　外国業者に関する特例

第一款　外国証券業者 （第二百八条の三十六―第二百十四条）

第二款　引受業務の一部の許可 （第二百十五条―第二百十七条）

第三款　取引所取引業務の許可 （第二百十八条―第二百三十二条）

第四款　電子店頭デリバティブ取引等業務の許可 （第二百三十二条の二―第二百三十二条の十七）

第五款　情報収集のための施設の設置 （第二百三十三条）

第六節　適格機関投資家等特例業務に関する特例 （第二百三十三条の二―第二百四十六条の七）

第七節　外務員 （第二百四十七条―第二百五十六条）

第三章　金融商品仲介業者

Chapter III Financial Instruments Intermediary Service Providers

第一節　総則 （第二百五十七条―第二百六十四条）

Section 1 General Provisions (Articles 257 - 264)

第二節　業務 （第二百六十五条―第二百八十一条）

Section 2 Business (Articles 265 - 281)

第三節　経理 （第二百八十二条―第二百八十五条）

Section 3 Accounting (Articles 282 - 285)

第四節　監督 （第二百八十六条）

Section 4 Supervision (Article 286)

第五節　雑則 （第二百八十七条―第二百九十四条）

Section 5 Miscellaneous Provisions (Articles 287 - 294)

第四章　信用格付業者

Chapter IV Credit Rating Agencies

第一節　総則 （第二百九十五条―第三百五条）

Section 1 General Provisions (Articles 295 - 305)

第二節　業務 （第三百六条―第三百十四条）

Section 2 Business (Articles 306 - 314)

第三節　経理 （第三百十五条―第三百二十条）

Section 3 Accounting (Articles 315 - 320)

第四節　監督 （第三百二十一条―第三百二十五条）

Section 4 Supervision (Articles 321 - 325)

第五章　高速取引行為者

Chapter V High-Speed Traders

第一節　総則 （第三百二十六条―第三百三十五条）

Section 1 General Provisions (Articles 326 - 335)

第二節　業務 （第三百三十六条・第三百三十七条）

Section 2 Business (Articles 336 and 337)

第三節　経理 （第三百三十八条―第三百四十条）

Section 3 Accounting (Articles 338 - 340)

第四節　監督 （第三百四十一条―第三百四十六条）

Section 4 Supervision (Articles 341 - 346)

第六章　雑則 （第三百四十七条―第三百五十条）

Chapter VI Miscellaneous Provisions (Articles 347 - 350)

附　則

Supplementary Provisions

第一章　総則

Chapter I General Provisions

（定義）

(Definitions)

第一条　この府令において「有価証券」、「有価証券の募集」、「有価証券の私募」、「有価証券の売出し」、「発行者」、「引受人」、「有価証券届出書」、「金融商品取引業」、「金融商品取引業者」、「目論見書」、「金融商品仲介業」、「金融商品仲介業者」、「認可金融商品取引業協会」、「金融商品市場」、「金融商品取引所」、「取引所金融商品市場」、「取引参加者」、「デリバティブ取引」、「市場デリバティブ取引」、「店頭デリバティブ取引」、「外国市場デリバティブ取引」、「金融商品」、「金融指標」、「外国金融商品取引所」、「有価証券等清算取次ぎ」、「金融商品債務引受業」、「金融商品取引清算機関」、「外国金融商品取引清算機関」、「証券金融会社」、「特定投資家」、「信用格付」、「信用格付業」、「信用格付業者」、「高速取引行為」又は「高速取引行為者」とは、それぞれ金融商品取引法（以下「法」という。）第二条に規定する有価証券、有価証券の募集、有価証券の私募、有価証券の売出し、発行者、引受人、有価証券届出書、金融商品取引業、金融商品取引業者、目論見書、金融商品仲介業、金融商品仲介業者、認可金融商品取引業協会、金融商品市場、金融商品取引所、取引所金融商品市場、取引参加者、デリバティブ取引、市場デリバティブ取引、店頭デリバティブ取引、外国市場デリバティブ取引、金融商品、金融指標、外国金融商品取引所、有価証券等清算取次ぎ、金融商品債務引受業、金融商品取引清算機関、外国金融商品取引清算機関、証券金融会社、特定投資家、信用格付、信用格付業、信用格付業者、高速取引行為又は高速取引行為者をいう。

Article 1 (1) As used in this Cabinet Office Order, the terms "securities", "public offering of securities", "private placement of securities", "secondary distribution of securities", "issuer", "underwriter", "registration statement," "financial instruments business", "financial instruments business operator", "prospectus", "financial instruments intermediary service", "financial instruments intermediary service provider", "authorized financial instruments firms association", "financial instruments market", "financial instruments exchange", "financial instruments exchange market", "trading participant", "derivative transactions", "market transactions of derivatives", "over-the-counter transactions of derivatives", "foreign market derivatives transactions", "financial instruments", "financial indicator", "foreign financial instruments exchange", "brokerage for clearing of securities, etc.", "financial instruments obligation assumption service", "financial instruments clearing organization", "foreign financial instruments clearing organizations", "securities finance company", "professional investor", "credit rating", "credit rating business", "credit rating agency", "high-speed trading" or "high-speed trader" respectively mean the securities, public offering of securities, private placement of securities, secondary distribution of securities, issuer, underwriter, registration statement, financial instruments business, financial instruments business operator, prospectus, financial instruments intermediary service, financial instruments intermediary service provider, authorized financial instruments firms association, financial instruments market, financial instruments exchange, financial instruments exchange market, trading participant, derivative transactions, market transactions of derivatives, over-the-counter transactions of derivatives, foreign market derivatives transactions, financial instruments, financial indicator, foreign financial instruments exchange, brokerage for clearing of securities, etc., financial instruments obligation assumption service, financial instruments learing organization, foreign financial instruments clearing organizations, securities finance company, professional investor, credit rating, credit rating business or credit rating agency, high-speed trading or high-speed trader as defined in Article 2 of the Financial Instruments and Exchange Act (hereinafter referred to as the "Act").

２　この府令において「第一種金融商品取引業」、「第二種金融商品取引業」、「投資助言・代理業」、「投資運用業」、「有価証券等管理業務」、「投資助言業務」、「有価証券の元引受け」又は「有価証券関連業」とは、それぞれ法第二十八条に規定する第一種金融商品取引業、第二種金融商品取引業、投資助言・代理業、投資運用業、有価証券等管理業務、投資助言業務、有価証券の元引受け又は有価証券関連業をいう。

(2) As used in this Cabinet Office Order, each of the terms "type I financial instruments business", "type II financial instruments business", "investment advisory and agency business", "investment management business", "securities, etc. management business", "investment advisory business", "wholesale underwriting of securities", or "securities-related business" respectively means a type-I financial instruments business, type-II financial instruments business, investment advisory and agency business, investment management business, securities, etc. management business, investment advisory business, wholesale underwriting of securities, or securities-related business as defined in Article 28 of the Act.

３　この府令（第十六号に掲げる用語にあっては、第百九十九条第十三号、第二百一条第二十四号、第二百二条第十八号、次章第四節の二及び別紙様式第十七号の二から別紙様式第十七号の六までを除く。）において、次の各号に掲げる用語の意義は、当該各号に定めるところによる。

(3) In this Cabinet Office Order (in cases of the terms listed in item (xvi), excluding Article 199, item (xiii), Article 201, item (xxiv), Article 202, item (xviii), Section 4-2 of the following Chapter, and Appended Forms No. 17-2 through No. 17-6), the meanings of the terms listed in the following items are as prescribed respectively in those items:

一　オプション　法第二条第一項第十九号に規定するオプションをいう。

(i)　options: the options defined in Article 2, paragraph (1), item (xix) of the Act;

二　出資対象事業　法第二条第二項第五号に規定する出資対象事業をいう。

(ii)　invested business: the invested business defined in Article 2, paragraph (2), item (v) of the Act;

三　適格機関投資家　法第二条第三項第一号に規定する適格機関投資家をいう。

(iii)　qualified institutional investors: the qualified institutional investors defined in Article 2, paragraph (3), item (i) of the Act;

三の二　特定投資家向け売付け勧誘等　法第二条第六項に規定する特定投資家向け売付け勧誘等をいう。

(iii)-2　solicitation for selling, etc. only for professional investors: the solicitation for selling, etc. only for professional investors defined in Article 2, paragraph (6) of the Act;

三の三　商品関連市場デリバティブ取引　法第二条第八項第一号に規定する商品関連市場デリバティブ取引をいう。

(iii)-3　commodity-related market transactions of derivatives: the commodity-related market transactions of derivatives defined in Article 2, paragraph (8), item (i) of the Act;

四　外国金融商品市場　法第二条第八項第三号ロに規定する外国金融商品市場をいう。

(iv)　foreign financial instruments market: the foreign financial instruments market defined in Article 2, paragraph (8), item (iii), (b) of the Act;

五　店頭デリバティブ取引等　法第二条第八項第四号に規定する店頭デリバティブ取引等をいう。

(v)　over-the-counter transactions of derivatives, etc.: the over-the-counter transactions of derivatives, etc. defined in Article 2, paragraph (8), item (iv) of the Act;

六　有価証券の引受け　法第二条第八項第六号に規定する有価証券の引受けをいう。

(vi)　underwriting of securities: the underwriting of securities defined in Article 2, paragraph (8), item (vi) of the Act;

七　店頭売買有価証券　法第二条第八項第十号ハに規定する店頭売買有価証券をいう。

(vii)　over-the-counter traded securities: the over-the-counter traded securities defined in Article 2, paragraph (8), item (x), (c) of the Act;

八　投資顧問契約　法第二条第八項第十一号に規定する投資顧問契約をいう。

(viii)　investment advisory contract: the investment advisory contract defined in Article 2, paragraph (8), item (xi) of the Act;

九　投資一任契約　法第二条第八項第十二号ロに規定する投資一任契約をいう。

(ix)　discretionary investment contract: the discretionary investment contract defined in Article 2, paragraph (8), item (xii), (b) of the Act;

十　登録金融機関　法第二条第十一項に規定する登録金融機関をいう。

(x)　registered financial institution: the registered financial institution defined in Article 2, paragraph (11) of the Act;

十の二　商品　法第二条第二十四項第三号の二に規定する商品をいう。

(x)-2　commodities: the commodities defined in Article 2, paragraph (24), item (iii)-2 of the Act;

十の三　特定投資家向け有価証券　法第四条第三項に規定する特定投資家向け有価証券をいう。

(x)-3　securities for professional investors: the securities for professional investors defined in Article 4, paragraph (3) of the Act;

十の四　特定投資家向け取得勧誘　法第四条第三項第一号に規定する特定投資家向け取得勧誘をいう。

(x)-4　solicitation for acquisition only for professional investors: the solicitation for acquisition only for professional investors defined in Article 4, paragraph (3), item (i) of the Act;

十一　役員　法第二十一条第一項第一号に規定する役員をいう。

(xi)　officer: the officer defined in Article 21, paragraph (1), item (i) of the Act;

十二　有価証券関連デリバティブ取引　法第二十八条第八項第六号に規定する有価証券関連デリバティブ取引をいう。

(xii)　transactions of securities-related derivatives: the transactions of securities-related derivatives defined in Article 28, paragraph (8), item (vi) of the Act;

十二の二　第一種少額電子募集取扱業者　法第二十九条の四の二第九項に規定する第一種少額電子募集取扱業者をいう。

(xii)-2　type-I small-amount electronic public offering service provider: the type-I small-amount electronic public offering service provider defined in Article 29-4-2, paragraph (9) of the Act;

十二の三　第一種少額電子募集取扱業務　法第二十九条の四の二第十項に規定する第一種少額電子募集取扱業務をいう。

(xii)-3　type-I small-amount electronic public offering service: the type-I small-amount electronic public offering service defined in Article 29-4-2, paragraph (10) of the Act;

十二の四　第二種少額電子募集取扱業者　法第二十九条の四の三第二項に規定する第二種少額電子募集取扱業者をいう。

(xii)-4　type-II small-amount electronic public offering service provider: the type-II small-amount electronic public offering service provider defined in Article 29-4-3, paragraph (2) of the Act;

十二の五　第二種少額電子募集取扱業務　法第二十九条の四の三第四項に規定する第二種少額電子募集取扱業務をいう。

(xii)-5　type-II small-amount electronic public offering service: the type-II small-amount electronic public offering service defined in Article 29-4-3, paragraph (4) of the Act;

十二の六　適格投資家向け投資運用業　法第二十九条の五第一項に規定する適格投資家向け投資運用業をいう。

(xii)-6　investment management business for qualified investors: the investment management business for qualified investors defined in Article 29-5, item (i) of the Act;

十二の七　適格投資家　法第二十九条の五第三項に規定する適格投資家をいう。

(xii)-7　qualified investor: the qualified investor defined in Article 29-5, item (iii) of the Act;

十三　親銀行等　法第三十一条の四第三項に規定する親銀行等をいう。

(xiii)　parent bank, etc.: the parent bank, etc. defined in Article 31-4, paragraph (3) of the Act;

十四　親法人等　法第三十一条の四第三項に規定する親法人等をいう。

(xiv)　parent corporation, etc.: the parent corporation, etc. defined in Article 31-4, paragraph (3) of the Act;

十五　子銀行等　法第三十一条の四第四項に規定する子銀行等をいう。

(xv)　subsidiary bank, etc.: the subsidiary bank, etc. defined in Article 31-4, paragraph (4) of the Act;

十六　子法人等　法第三十一条の四第四項に規定する子法人等をいう。

(xvi)　subsidiary corporation, etc.: the subsidiary corporation, etc. defined in Article 31-4, paragraph (4) of the Act;

十七　デリバティブ取引等　法第三十三条第三項に規定するデリバティブ取引等をいう。

(xvii)　derivative transactions, etc.: the derivative transactions, etc. defined in Article 33, paragraph (3) of the Act;

十八　有価証券関連デリバティブ取引等　法第三十三条第三項に規定する有価証券関連デリバティブ取引等をいう。

(xviii)　transactions of securities-related derivatives, etc.: the transactions of securities-related derivatives, etc. defined in Article 33, paragraph (3) of the Act;

十九　市場デリバティブ取引等　法第三十三条第三項第一号に規定する市場デリバティブ取引等をいう。

(xix)　market transactions of derivatives, etc.: the market transactions of derivatives, etc. defined in Article 33, paragraph (3), item (i) of the Act;

二十　外国市場デリバティブ取引等　法第三十三条第三項第三号に規定する外国市場デリバティブ取引等をいう。

(xx)　foreign market derivatives transactions, etc.: the foreign market derivatives transactions, etc. defined in Article 33, paragraph (3) item (iii) of the Act;

二十一　登録金融機関業務　法第三十三条の三第一項第六号イに規定する登録金融機関業務をいう。

(xxi)　registered financial institution business: the registered financial institution business defined in Article 33-3, paragraph (1), item (vi), (a) of the Act;

二十二　金融商品取引業者等　法第三十四条に規定する金融商品取引業者等をいう。

(xxii)　financial instruments business operator, etc.: the financial instruments business operator, etc. defined in Article 34 of the Act;

二十三　金融商品取引行為　法第三十四条に規定する金融商品取引行為をいう。

(xxiii)　act that constitutes a financial instruments transaction: the acts that constitute financial instruments transactions defined in Article 34 of the Act;

二十四　金融商品取引契約　法第三十四条に規定する金融商品取引契約をいう。

(xxiv)　contract for financial instruments transactions: the contract for a financial instruments transaction defined in Article 34 of the Act;

二十五　運用財産　法第三十五条第一項第十五号に規定する運用財産をいう。

(xxv)　investment property: the investment property defined in Article 35, paragraph (1), item (xv) of the Act;

二十五の二　特定店頭デリバティブ取引　法第四十条の七第一項に規定する特定店頭デリバティブ取引をいう。

(xxv)-2　specified over-the-counter derivatives transactions: the specified over-the-counter derivatives transactions defined in Article 40-7, paragraph (1) of the Act.

二十六　有価証券の売買その他の取引等　法第四十一条の二第四号に規定する有価証券の売買その他の取引等をいう。

(xxvi)　purchase and sale or other transactions of securities, etc.: the purchase and sale or other transactions of securities, etc. defined in Article 41-2, item (iv) of the Act;

二十七　権利者　法第四十二条第一項に規定する権利者をいう。

(xxvii)　right holders: the right holders defined in Article 42, paragraph (1) of the Act;

二十八　自己資本規制比率　法第四十六条の六第一項に規定する自己資本規制比率をいう。

(xxviii)　capital adequacy ratio: the capital adequacy ratio defined in Article 46-6, paragraph (1) of the Act;

二十九　金融商品取引業等　法第五十条第一項第一号に規定する金融商品取引業等をいう。

(xxix)　financial instruments business, etc.: the financial instruments business, etc. defined in Article 50, paragraph (1), item (i) of the Act;

二十九の二　特別金融商品取引業者　法第五十七条の二第二項に規定する特別金融商品取引業者をいう。

(xxix)-2　special financial instruments business operators: the special financial instruments business operators defined in Article 57-2, paragraph (2) of the Act;

二十九の三　対象特別金融商品取引業者　法第五十七条の十二第三項に規定する対象特別金融商品取引業者をいう。

(xxix)-3　subject special financial instruments business operator: the subject special financial instruments business operator defined in Article 57-12, paragraph (3) of the Act;

二十九の四　指定親会社　法第五十七条の十二第三項に規定する指定親会社をいう。

(xxix)-4　designated parent company: the designated parent company defined in Article 57-12, paragraph (3) of the Act;

二十九の五　最終指定親会社　法第五十七条の十二第三項に規定する最終指定親会社をいう。

(xxix)-5　highest designated parent company: the highest designated parent company defined in Article 57-12, paragraph (3) of the Act;

三十　外国証券業者　法第五十八条に規定する外国証券業者をいう。

(xxx)　foreign securities service provider: the foreign securities service provider defined in Article 58 of the Act;

三十一　取引所取引許可業者　法第六十条の四第一項に規定する取引所取引許可業者をいう。

(xxxi)　authorized transaction-at-exchange operator: the authorized transaction-at-exchange operator defined in Article 60-4, paragraph (1) of the Act;

三十一の二　電子店頭デリバティブ取引等業務　法第六十条の十四第一項に規定する電子店頭デリバティブ取引等業務をいう。

(xxxi)-2　electronic over-the-counter derivatives transactions, etc. business: the electronic over-the-counter derivatives transactions, etc. business defined in Article 60-14, paragraph (1) of the Act;

三十一の三　電子店頭デリバティブ取引等許可業者　法第六十条の十四第二項に規定する電子店頭デリバティブ取引等許可業者をいう。

(xxxi)-3　authorized electronic over-the-counter derivatives transactions, etc. business operator: the authorized electronic over-the-counter derivatives transactions, etc. business operator defined in Article 60-14, paragraph (2) of the Act;

三十二　適格機関投資家等　法第六十三条第一項第一号に規定する適格機関投資家等をいう。

(xxxii)　qualified institutional investors, etc.: the qualified institutional investors, etc. defined in Article 63, paragraph (1), item (i) of the Act;

三十三　適格機関投資家等特例業務　法第六十三条第二項に規定する適格機関投資家等特例業務をいう。

(xxxiii)　specially-permitted business for qualified institutional investors, etc.: the specially-permitted business for qualified institutional investors, etc. defined in Article 63, paragraph (2) of the Act;

三十四　特例業務届出者　法第六十三条第五項に規定する特例業務届出者をいう。

(xxxiv)　notifier of specially-permitted business: the notifier of specially-permitted business defined in Article 63, paragraph (5) of the Act;

三十五　外務員　法第六十四条第一項に規定する外務員をいう。

(xxxv)　sales representative: the sales representative defined in Article 64, paragraph (1) of the Act;

三十六　所属金融商品取引業者等　法第六十六条の二第一項第四号に規定する所属金融商品取引業者等をいう。

(xxxvi)　entrusting financial instruments business operators, etc.: the entrusting financial instruments business operators, etc. defined in Article 66-2, paragraph (1), (iv) of the Act;

三十七　金融商品仲介行為　法第六十六条の十一に規定する金融商品仲介行為をいう。

(xxxvii)　intermediation for financial instruments: the intermediation for financial instruments defined in Article 66-11 of the Act;

三十八　店頭売買有価証券市場　法第六十七条第二項に規定する店頭売買有価証券市場をいう。

(xxxviii)　over-the-counter securities market: the over-the-counter securities market defined in Article 67, paragraph (2) of the Act;

三十九　取扱有価証券　法第六十七条の十八第四号に規定する取扱有価証券をいう。

(xxxix)　tradable securities: the tradable securities defined in Article 67-18, item (iv) of the Act;

四十　認定金融商品取引業協会　法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。

(xl)　certified financial instruments business association: the certified financial instruments business association defined in Article 78, paragraph (2) of the Act;

四十一　認定投資者保護団体　法第七十九条の十第一項に規定する認定投資者保護団体をいう。

(xli)　certified investor protection organization: the certified investor protection organization defined in Article 79-10, paragraph (1) of the Act;

四十二　投資者保護基金　法第七十九条の二十一に規定する投資者保護基金をいう。

(xlii)　investor protection fund: the investor protection fund defined in Article 79-21 of the Act;

四十三　連携金融商品債務引受業務　法第百五十六条の二十の十六第一項に規定する連携金融商品債務引受業務をいう。

(xliii)　collaborative financial instruments obligation assumption services: the collaborative financial instruments obligation assumption services defined in Article 156-20-16, paragraph (1) of the Act;

四十四　連携清算機関等　法第百五十六条の二十の十六第一項に規定する連携清算機関等をいう。

(xliv)　collaborating clearing organization, etc.: the collaborating clearing organization, etc. defined in Article 156-20-16, paragraph (1) of the Act;

四十五　信用取引　法第百五十六条の二十四第一項に規定する信用取引をいう。

(xlv)　margin transaction: the margin transaction defined in Article 156-24, paragraph (1) of the Act;

四十六　指定紛争解決機関　法第百五十六条の三十八第一項に規定する指定紛争解決機関をいう。

(xlvi)　designated dispute resolution organization: the designated dispute resolution organization defined in Article 156-38, paragraph (1) of the Act;

四十七　紛争解決手続　法第百五十六条の三十八第十項に規定する紛争解決手続をいう。

(xlvii)　dispute resolution procedures: the dispute resolution procedures defined in Article 156-38, paragraph (10) of the Act;

四十八　紛争解決等業務の種別　法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。

(xlviii)　category for dispute resolution services: the category for dispute resolution services defined in Article 156-38, paragraph (12) of the Act;

四十九　手続実施基本契約　法第百五十六条の三十八第十三項に規定する手続実施基本契約をいう。

(xlix)　basic contracts for implementation of dispute resolution procedures: the basic contract for implementation of dispute resolution procedures defined in Article 156-38, paragraph (13) of the Act;

五十　金融商品取引関係業者　法第百五十六条の三十八第十三項に規定する金融商品取引関係業者をいう。

(l)　business operator involved in financial instruments transactions: the business operator involved in financial instruments transactions defined in Article 156-38, paragraph (13) of the Act.

４　この府令において、次の各号に掲げる用語の意義は、当該各号に定めるところによる。

(4) As used this Cabinet Office Order, the meanings of the terms listed in the following items are as prescribed respectively in those items:

一　本店等　本店その他の主たる営業所又は事務所（外国法人又は外国に住所を有する個人にあっては、国内における主たる営業所又は事務所）をいう。

(i)　head office, etc.: the head office or any other principal business office or principal office (in the case of a foreign corporation or an individual domiciled in a foreign state, meaning the principal business office or principal office in Japan);

二　固定化されていない自己資本の額　基本的項目の額（第百七十六条第一項第一号から第六号までに掲げるものの額の合計額をいう。以下同じ。）及び補完的項目の額（同項第七号に掲げるものの額をいう。以下同じ。）の合計額から、控除資産の額（第百七十七条第一項各号に掲げるものの額の合計額をいう。以下同じ。）を控除した額をいう。

(ii)　amount of non-fixed equity capital: the total of the amount of basic items (meaning the total of the amount of each item listed in Article 176, paragraph (1), items (i) through (vi); the same applies hereinafter) and the amount of supplementary items (meaning the amount of the items listed in item (vii) of that paragraph; the same applies hereinafter), less the amount of deductible assets (meaning the total amount of each of the items listed in the items of Article 177, paragraph (1); the same applies hereinafter);

三　管轄財務局長等　金融商品取引業者、登録金融機関、金融商品仲介業者若しくは高速取引行為者が現に受けている登録又は取引所取引許可業者が現に受けている許可をした財務局長又は福岡財務支局長をいう。

(iii)　competent director-general of local finance bureau, etc.: the director-general of a local finance bureau or the Director-General of the Fukuoka Local Finance Branch Bureau, who has granted a registration which is currently in effect to any financial instruments business operator, registered financial institution, financial instruments intermediary service provider or high-speed trader, or permission which is currently in effect to any authorized transaction-at-exchange operator;

四　所管金融庁長官等　特別金融商品取引業者及び金融商品取引法施行令（以下「令」という。）第四十二条第二項、第四十三条第二項又は第四十三条の二の三第二項の規定により金融庁長官の指定を受けた者にあっては金融庁長官、それ以外の者にあっては管轄財務局長等をいう。

(iv)　Commissioner of Financial Services Agency or other competent official: the special financial instruments business operators and the Commissioner of the Financial Service Agency, in case of a person designated by the Commissioner of the Financial Services Agency under Article 42, paragraph (2), Article 43, paragraph (2) or Article 43-2-3, paragraph (2) of the Order for Enforcement of the Financial Instruments and Exchange Act (hereinafter referred to as the "Order"); or the competent director-general of local finance bureau, etc., in the case of any person other than the aforementioned person.

五　組合契約 民法（明治二十九年法律第八十九号）第六百六十七条第一項に規定する組合契約をいう。

(v)　partnership contract: a partnership contract defined in Article 667, paragraph (1) of the Civil Code (Act No. 89 of 1896);

六　匿名組合契約 商法（明治三十二年法律第四十八号）第五百三十五条に規定する匿名組合契約をいう。

(vi)　silent partnership contract: a silent partnership contract defined in Article 535 of the Commercial Code (Act No. 48 of 1899);

七　投資事業有限責任組合契約 投資事業有限責任組合契約に関する法律（平成十年法律第九十号）第三条第一項に規定する投資事業有限責任組合契約をいう。

(vii)　limited partnership agreement for investment: a limited partnership agreement for investment defined in Article 3, paragraph (1) of the Limited Partnership Act for Investment (Act No. 90 of 1998);

八　有限責任事業組合契約 有限責任事業組合契約に関する法律（平成十七年法律第四十号）第三条第一項に規定する有限責任事業組合契約をいう。

(viii)　limited liability partnership agreement: a limited liability partnership agreement defined in Article 3, paragraph (1) of the Limited Liability Partnership Act (Act No. 40 of 2005);

九　私設取引システム運営業務　法第二条第八項第十号に掲げる行為に係る業務をいう。

(ix)　proprietary trading system operation: a business operation relevant to the acts specified in Article 2, paragraph (8), item (x) of the Act;

十　協同組織金融機関 協同組織金融機関の優先出資に関する法律（平成五年法律第四十四号）第二条第一項に規定する協同組織金融機関をいう。

(x)　cooperative structured financial institution: a cooperative structured financial institution defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institutions (Act No. 44 of 1993);

十一　発行日取引 金融商品取引法第百六十一条の二に規定する取引及びその保証金に関する内閣府令（昭和二十八年大蔵省令第七十五号）第一条第二項に規定する発行日取引をいう。

(xi)　when-issued transaction: a when-issued transaction defined in Article 1, paragraph (2) of the Cabinet Office Order on Transactions under Article 161-2 of the Financial Instruments and Exchange Act and Deposits Related Thereto (Order of the Ministry of Finance No. 75 of 1953);

十二　非公開情報　発行者である会社の運営、業務若しくは財産に関する公表されていない重要な情報であって顧客の投資判断（法第二条第八項第十一号ロに規定する投資判断をいう。第十六条の五の二第三号及び第二百三十三条の二第一項第四号を除き、以下同じ。）に影響を及ぼすと認められるもの又は自己若しくはその親法人等若しくは子法人等の役員（役員が法人であるときは、その職務を行うべき社員を含む。）若しくは使用人が職務上知り得た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の特別の情報をいう。

(xii)　undisclosed information: undisclosed material information on the operation, business or properties of a company which is an issuer, which is found to have an impact on customers' investment decisions (meaning the investment decisions defined in Article 2, paragraph (8), item (xi), (b) of the Act; the same applies hereinafter except in Article 16-5-2, item (iii) and Article 233-2, paragraph (1), item (iv)), or information on ordering trends in the customers' purchase and sale or other transactions of securities, etc. and any other special information which may come to knowledge of any the officers (if an officer is a corporation, including executive members thereof) or employees of the party itself or its parent corporation, etc. or subsidiary corporation, etc. in the course of duties;

十三　非公開融資等情報　融資業務（事業のための融資に係る業務をいう。以下この号、第百二十三条第一項第十九号及び第百五十条第五号において同じ。）若しくは金融機関代理業務（第六十八条第十三号に規定する金融機関代理業のうち事業のための資金の貸付け又は手形の割引を内容とする契約の締結の代理又は媒介に係る業務をいう。以下同じ。）に従事する役員（外国法人にあっては、国内における代表者を含む。次章第五節、第二百三十八条の二第一項第一号イ、第二百三十九条第二項第三号ロ（１）及び第二百四十一条第二項第一号ロを除き、以下同じ。）若しくは使用人が職務上知り得たその顧客の行う事業に係る公表されていない情報その他の特別な情報であって金融商品取引業若しくは金融商品仲介業務（金融商品仲介行為を行う業務をいう。以下同じ。）に従事する役員若しくは使用人が勧誘する有価証券（法第三十三条第二項第一号に掲げる有価証券並びに法第二条第一項第十七号に掲げる有価証券であって同項第一号及び第二号の性質を有する有価証券を除く。以下この号において同じ。）に係る顧客の投資判断に影響を及ぼすと認められるもの又は金融商品取引業若しくは金融商品仲介業務に従事する役員若しくは使用人が職務上知り得たその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の特別の情報であって当該有価証券の発行者に係る融資業務若しくは金融機関代理業務に重要な影響を及ぼすと認められるものをいう。

(xiii)　undisclosed loan information, etc.: undisclosed information on the customer's business or any other special information which may come to knowledge of any of the officers (in the case of a foreign corporation, including its representative person in Japan; the same applies hereinafter except in Section 5 of the following Chapter, Article 238-2, paragraph (1), item (i), (a), Article 239, paragraph (2), item (iii), (b), 1. and Article 241, paragraph (2), item (i), (b)) or employees engaged in a loan business (meaning a service related to loans for business; hereinafter the same applies in this item, Article 123, paragraph (1), item (xix) and Article 150, item (v)) or a financial institution agency service operation (meaning a service pertaining to agency or intermediation for the conclusion of contracts for loans or discounting negotiable instrument for business, from among the financial institution agency service prescribed in Article 68, item (xiii); the same applies hereinafter) in the course of duties, which is found to have an impact on the customer's investment decisions in respect of the securities (excluding the securities specified in Article 33, paragraph (2), item (i) of the Act and also excluding the securities specified in Article 2, paragraph (1), item (xvii) of the Act which have the natures prescribed in items (i) and (ii) of that paragraph; hereinafter the same applies in this item) solicited by officers or employees engaged in a financial instruments business or financial instruments intermediary service operation (meaning a service operation to conduct intermediation for financial instruments; the same applies hereinafter); or information on ordering trends in the customers' purchase and sale or other transactions of securities, etc. or any other special information which may come to knowledge of any of the officers or employees engaged in a financial instruments business or financial instruments intermediary service operation in the course of duties, which is found to have a material impact on the loan business or the financial institution agency service operation pertaining to the issuer of the securities;

十四　法人関係情報　法第百六十三条第一項に規定する上場会社等の運営、業務又は財産に関する公表されていない重要な情報であって顧客の投資判断に影響を及ぼすと認められるもの並びに法第二十七条の二第一項に規定する公開買付け（同項本文の規定の適用を受ける場合に限る。）、これに準ずる株券等（同項に規定する株券等をいう。）の買集め及び法第二十七条の二十二の二第一項に規定する公開買付け（同項本文の規定の適用を受ける場合に限る。）の実施又は中止の決定（法第百六十七条第二項ただし書に規定する基準に該当するものを除く。）に係る公表されていない情報をいう。

(xiv)　corporate information: undisclosed important information on the operation, business or properties of listed companies, etc. set forth in Article 163, paragraph (1) of the Act, which is found to have an impact on customers' investment decisions; and undisclosed information on a decision about the launch or suspension (excluding those corresponding to standards prescribed in the proviso to Article 167, paragraph (2) of the Act) of a tender offer as prescribed in Article 27-2, paragraph (1) of the Act (but only if the provisions of the main clause of that paragraph apply), the buying-up equivalent thereto in regard to the share certificates, etc. (meaning the share certificates, etc. prescribed in that paragraph), and a tender offer as prescribed in Article 27-22-2, paragraph (1) of the Act (but only if the provisions of the main clause of that paragraph apply);

十五　商品関連業務　金融商品取引業のうち、法第二十八条第一項第一号の二に掲げる行為のいずれかを業として行うことをいう。

(xv)　commodity-related business: a financial instruments business for conducting any of the acts specified in Article 28, paragraph (1), item (i)-2 of the Act in the course of trade;

十六　電子取引基盤運営業務　金融商品取引業者等が、その店頭デリバティブ取引等の業務の用に供する電子情報処理組織を使用して特定店頭デリバティブ取引又はその媒介、取次ぎ（有価証券等清算取次ぎを除く。）若しくは代理を業として行うことをいう。

(xvi)　electronic trading platform management service: services provided by a financial instruments business operator, etc. for specified over-the-counter derivatives transactions or intermediary, brokerage (excluding brokerage for clearing of securities, etc.) or agency services therefor in the course of trade, using an electronic data processing system to be used for the business of over-the-counter derivatives transactions, etc.

（訳文の添付）

(Attachment of Japanese Translations)

第二条　法（第三章から第三章の三まで及び第百八十八条（金融商品取引業者等、指定親会社、金融商品仲介業者又は信用格付業者に係るものに限る。）に限る。次条において同じ。）、令（第四章から第四章の三までに限る。次条において同じ。）又はこの府令（第二百三十六条、第二百三十八条の二、第二百三十九条から第二百四十一条まで、第二百四十二条から第二百四十三条まで、第二百四十六条の三、第二百四十六条の四、第二百四十六条の六（特例業務届出者に係るものに限る。）及び第五章を除く。）の規定により金融庁長官、財務局長又は福岡財務支局長（以下「金融庁長官等」という。）に提出する書類で、特別の事情により日本語をもって記載することができないものがあるときは、その訳文を付さなければならない。ただし、当該書類が定款又は株主総会若しくは役員会等（第二百二十一条第一号に規定する役員会等をいう。）の議事録であって、かつ、英語で記載されたものであるときは、その概要の訳文を付すことをもって足りるものとする。

Article 2 If, due to any special circumstance, there is any document to be submitted to the Commissioner of Financial Services Agency, Director-General of a local finance bureau or Director-General of the Fukuoka Local Finance Branch Bureau (hereinafter referred to as the "Commissioner of Financial Services Agency or other official") pursuant to the provisions of the Act (limited to Chapter III through Chapter III-3 and Article 188 of the Act (limited to the provisions pertaining to financial instruments business operators, etc., designated parent company, financial instruments intermediary service providers or credit rating agencies; the same applies in the following Article)), the Order (limited to Chapters IV through IV-3; the same applies in the following Article) or this Cabinet Office Order (excluding Article 236, Article 238-2, Articles 239 through 241, Articles 242 through 243, Article 246-3, Article 246-4, Article 246-6 (limited to the provisions relating to a notifier of specially-permitted business) and Chapter V) that cannot be prepared in Japanese, a Japanese translation thereof must be attached thereto; provided, however, that if the documents to be submitted are the articles of incorporation, or the minutes of a shareholders meeting or a board of officers, etc. (meaning a board of officers, etc. as prescribed in Article 221, item (i)) prepared in English, attaching a Japanese translation of the outline thereof is considered sufficient.

（外国通貨の換算）

(Conversion of Foreign Currency)

第三条　法、令又はこの府令の規定により金融庁長官等に提出する書類中、外国通貨をもって金額を表示するものがあるときは、当該金額を本邦通貨に換算した金額及びその換算に用いた標準を付記しなければならない。

Article 3 If the documents to be submitted to the Commissioner of Financial Services Agency or other official under the Act, the Order or this Cabinet Office Order contains any document indicating the amount in a foreign currency, a supplementary note on the amount after conversion into the Japanese currency and the criteria used for such conversion must be stated therein.

第二章　金融商品取引業者等

Chapter II Financial Instruments Business Operators, etc.

第一節　総則

Section 1 General Provisions

第一款　通則

Subsection 1 General Rules

（幹事会社となる有価証券の元引受け）

(Wholesale Underwriting of Securities Constituting a Managing Underwriter)

第四条　令第十五条に規定する内閣府令で定めるものは、元引受契約（同条に規定する元引受契約をいう。以下この条及び第百四十七条第三号において同じ。）の締結に際し、有価証券の発行者又は所有者と当該元引受契約の内容を確定するための協議を行うものであって、次に掲げるもの以外のものとする。

Article 4 The wholesale underwriting of securities to be specified by Cabinet Office Order as referred to in Article 15 of the Order is the wholesale underwriting for which discussions with the issuer or owner of the securities are to be held upon the execution of the wholesale underwriting contract (meaning the wholesale underwriting contract defined in that Article; hereinafter the same applies in this Article and Article 147, item (iii)), in order to fix the contents thereof, other than the following wholesale underwriting:

一　当該元引受契約に係る有価証券の発行価額又は有価証券の売出し若しくは特定投資家向け売付け勧誘等の価額の総額（当該元引受契約が令第十五条第三号に掲げる契約である場合にあっては、同号に規定する新株予約権の行使に際して払い込むべき金額の合計額を含む。）のうち金融商品取引業者等及び外国証券業者の行う有価証券の引受けに係る部分の金額（以下この条において「引受総額」という。）が百億円を超える場合において他の者（資本金の額、基金の総額又は出資の総額が三十億円以上である者に限る。）と共同して当該協議を行うものであって、当該引受総額のうち自己の行う有価証券の引受けに係る部分の金額が百億円以下であるもの

(i) the wholesale underwriting of securities for which the discussion is to be held jointly with another party (limited to a party whose amount of stated capital, total amount of funds or total amount of contribution is not less than three billion yen), if, out of either of the total issue value of the securities under the wholesale underwriting contract or of the total value of the secondary distribution of securities or the solicitation for selling, etc. only for professional investors (if such wholesale underwriting contract is the contract listed in Article 15, item (iii) of the Order, including the total amount to be paid upon the exercise of the share options prescribed in that item), the amount of the portion pertaining to the underwriting of securities by financial instruments business operators, etc. and foreign securities service providers (hereinafter referred to as the "total amount of underwriting" in this Article) exceeds ten billion yen, provided that the amount of the portion pertaining to the underwriting of securities by the such party out of the total amount of underwriting is ten billion yen or less; and

二　引受総額が百億円以下である場合において当該協議を行うもの

(ii) if the total amount of underwriting is ten billion yen or less, and about which the discussion is held.

（新株予約権証券に準ずる有価証券等）

(Securities Equivalent to Share Option Certificates)

第四条の二　法第二十八条第七項第三号に規定する内閣府令で定める有価証券は、次に掲げる有価証券とする。

Article 4-2 (1) Securities provided for by Cabinet Office Order as prescribed in Article 28, paragraph (7), item (iii) of the Act are the following securities:

一　新株予約権付社債券

(i) bonds with share options;

二　外国の者の発行する証券又は証書で新株予約権証券又は新株予約権付社債券の性質を有するもの

(ii) instruments or certificates issued by a foreign person, and which have the nature of share option certificates or bonds with share options;

三　新投資口予約権証券（投資信託及び投資法人に関する法律（昭和二十六年法律第百九十八号）第二条第十八項に規定する新投資口予約権証券をいう。以下同じ。）

(iii) certificates of investment equity subscription rights (meaning certificates of investment equity subscription rights defined in Article 2, paragraph (18) of the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951); the same applies hereinafter); and

四　外国投資証券（投資信託及び投資法人に関する法律第二百二十条第一項に規定する外国投資証券をいう。以下同じ。）で新投資口予約権証券に類する証券

(iv) foreign investment securities (meaning foreign investment securities provided in Article 220, paragraph (1) of the Act on Investment Trusts and Investment Corporations; the same applies hereinafter) and are similar to certificates of investment equity subscription rights.

２　法第二十八条第七項第三号に規定する内閣府令で定める権利は、次に掲げるものとする。

(2) The right provided for by Cabinet Office Order as prescribed in Article 28, paragraph (7), item (iii) of the Act are as set forth in the following:

一　外国の者に対する権利で新株予約権の性質を有するもの

(i) rights which are claimable against a foreign national which have the nature of share options;

二　新投資口予約権（投資信託及び投資法人に関する法律第二条第十七項に規定する新投資口予約権をいう。以下同じ。）

(ii) investment equity subscription rights (meaning investment equity subscription rights defined in Article 2, paragraph (17) of the Act on Investment Trusts and Investment Corporations; the same applies hereinafter); and

三　外国投資法人（投資信託及び投資法人に関する法律第二条第二十五項に規定する外国投資法人をいう。）に対する権利で新投資口予約権の性質を有するもの

(iii) rights which are claimable against a foreign investment corporation (meaning a foreign investment corporation provided in Article 2, paragraph (25) of the Act on Investment Trusts and Investment Corporations) which have the nature of investment equity subscription rights.

第二款　金融商品取引業者

Subsection 2 Financial Instruments Business Operators

（登録の申請）

(Application for Registration)

第五条　法第二十九条の登録を受けようとする者は、別紙様式第一号により作成した法第二十九条の二第一項の登録申請書に、当該登録申請書の写し及び同条第二項又は第三項の規定により当該登録申請書に添付すべき書類又は電磁的記録（法第十三条第五項に規定する電磁的記録をいう。以下同じ。）を添付して、その者の本店等の所在地を管轄する財務局長（当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局長、国内に営業所又は事務所を有しない場合にあっては関東財務局長）に提出しなければならない。

Article 5 A person that intends to obtain the registration under Article 29 of the Act must submit to the director-general of a local finance bureau with jurisdiction over the location of such person's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the director-general thereof; or if the person has no business office or other office in Japan, to the Director-General of the Kanto Finance Bureau) a written application for registration under Article 29-2, paragraph (1) of the Act prepared in accordance with Appended Form No. 1, attaching a copy thereof and the documents or an electronic or magnetic record (meaning an electronic or magnetic record as defined in Article 13, paragraph (5) of the Act; the same applies hereinafter) to be attached thereto pursuant to the provisions of Article 29-2, paragraph (2) or (3) of the Act.

（登録の申請又は届出に係る使用人）

(Employees to Be Indicated in an Application for Registration or Notification)

第六条　令第十五条の四第一号に規定する内閣府令で定める者は、部長、次長、課長その他いかなる名称を有する者であるかを問わず、同号に規定する業務を統括する者の権限を代行し得る地位にある者とする。

Article 6 (1) The person to be specified by Cabinet Office Order as referred to in Article 15-4, item (i) of the Order is a person that holds position whereby the person may exercise authority on behalf of a supervisor of the operation as prescribed in that item, such as a general manager, vice-chief, section manager or any other person, irrespective of the job title.

２　令第十五条の四第二号に規定する内閣府令で定める者は、金融商品の価値等（法第二条第八項第十一号ロに規定する金融商品の価値等をいう。以下同じ。）の分析に基づく投資判断を行う者とする。

(2) The person to be specified by Cabinet Office Order as referred to in Article 15-4, item (ii) of the Order is a person that makes investment decisions based on analysis of the values, etc. of financial instruments (meaning the values, etc. of financial instruments defined in Article 2, paragraph (8), item (xi), (b) of the Act; the same applies hereinafter).

（情報通信の技術を利用する募集の取扱い等の方法）

(The Handling Public Offerings Using Information and Communications Technology)

第六条の二　法第二十九条の二第一項第六号に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 6-2 The means to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (1), item (vi) of the Act are as follows:

一　金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて相手方の閲覧に供する方法

(i) to make the contents of information recorded into the files stored on the computer used by a financial instruments business operator, etc. available for other parties via a telecommunications line; and

二　前号に掲げる方法による場合において、金融商品取引業者等の使用に係る電子計算機と相手方の使用に係る電子計算機とを接続する電気通信回線を通じて又はこれに類する方法により通信文その他の情報を送信する方法（音声の送受信による通話を伴う場合を除く。）

(ii) in the case of using the means specified in the preceding item, to transmit messages or other information via a telecommunications line connecting a computer used by a financial instruments business operator, etc. and a computer used by the other party or any means similar thereto (other than if communication through audio transmission is made).

（登録申請書の記載事項）

(Matters to Be Stated in a Written Application for Registration)

第七条　法第二十九条の二第一項第十号に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 7 The matters to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (1), item (x) of the Act are the matters listed in the following:

一　法第三十七条の七第一項第一号イ、第二号イ、第三号イ又は第四号イに定める業務に係る手続実施基本契約を締結する措置を講ずる当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称並びに加入する金融商品取引業協会（認可金融商品取引業協会又は認定金融商品取引業協会をいう。以下同じ。）及び対象事業者（法第七十九条の十一第一項に規定する対象事業者をいう。以下同じ。）となる認定投資者保護団体の名称

(i) the trade name or name of the designated dispute resolution organization with which a basic contract for implementation of dispute procedures is concluded for the purpose of taking the measures to conclude such contract for implementation of dispute procedures pertaining to the business specified in Article 37-7, paragraph (1), item (i), (a), item (ii), (a), item (iii), (a) or item (iv), (a) of the Act and the name of the financial instruments firms association (meaning the authorized financial instruments firms association or certified financial instruments business association; the same applies hereinafter) of which the applicant for registration intends to become a member; and the name of the certified investor protection organization of which the applicant for registration intends to become a target business operator (meaning a target business operator as defined in Article 79-11, paragraph (1) of the Act; the same applies hereinafter);

二　会員又は取引参加者（以下「会員等」という。）となる金融商品取引所の名称又は商号

(ii) the name or trade name of the financial instruments exchange of which the applicant for registration intends to become a member or trading participant (hereinafter referred to as the "members, etc.");

三　有価証券関連業を行う場合には、次に掲げる事項

(iii) if the applicant for registration intends to conduct securities-related business, the following:

イ　その旨

(a) to that effect;

ロ　第一種金融商品取引業を行う場合（第一種少額電子募集取扱業務のみを行う場合であって、投資者保護基金にその会員として加入しないときを除く。）には、加入する投資者保護基金（法第七十九条の四十九第四項の規定による定款の定めがあるものを除く。）の名称

(b) if the applicant for registration intends to conduct a type-I financial instruments business (other than if the applicant for registration only conducts a type-I small-amount electronic public offering service and is not to become a member of any investor protection fund), the name of the investor protection fund of which the applicant for registration intends to become a member (excluding an investor protection fund which has a provision of articles of incorporation under Article 79-49, paragraph (4) of the Act);

三の二　電子取引基盤運営業務を行う場合には、その旨

(iii)-2 if the applicant for registration intends to conduct an electronic trading platform management service, to that effect;

三の三　商品関連業務を行う場合には、次に掲げる事項

(iii)-3 if the applicant for registration intends to conduct a commodity-related business, the following matters:

イ　その旨

(a) to that effect; and

ロ　商品デリバティブ取引関連業務（法第七十九条の二十第一項に規定する商品デリバティブ取引関連業務をいう。以下同じ。）を行う場合には、加入する投資者保護基金（法第七十九条の四十九第二項の規定による定款の定めがあるものを除く。）の名称

(b) if the applicant for registration intends to conduct a commodity derivatives transaction-related business (meaning the commodity derivatives transaction-related business provided in Article 79-20, paragraph (1) of the Act; the same applies hereinafter), an investor protection fund to which it becomes a member (excluding an investor protection fund which has a provision of articles of incorporation under Article 79-49, paragraph (2) of the Act);

四　商品投資関連業務（令第三十七条第二項に規定する商品投資関連業務をいう。以下同じ。）を行う場合には、次に掲げる事項

(iv) if the applicant for registration intends to conduct a business related to commodities investment (meaning the business related to commodities investment defined in Article 37, paragraph (2) of the Order; the same applies hereinafter), the following matters:

イ　その旨

(a) to that effect; and

ロ　その行う商品投資関連業務が令第三十七条第一項第二号ロに掲げる物品又は農林水産関係商品等（商品投資に係る事業の規制に関する法律施行令（平成四年政令第四十五号）第十一条第二項第一号に規定する農林水産関係商品等をいう。第四十四条第七号ロにおいて同じ。）のみに係るものである場合には、その旨

(b) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods specified in Article 37, paragraph (1), item (ii), (b) of the Order or the agriculture, forestry and fisheries goods (meaning the goods, etc. related to agriculture, forestry and fishery defined in Article 11, paragraph (2), item (i) of the Order for Enforcement of Act on Control for Business Pertaining to Commodity Investment (Cabinet Order No. 45 of 1992); the same applies in Article 44, item (vii), (b)), to that effect;

ハ　その行う商品投資関連業務が令第三十七条第一項第二号ハからホまでに掲げる物品又は経済産業関係商品等（商品投資に係る事業の規制に関する法律施行令第十一条第一項ただし書に規定する経済産業関係商品等をいう。第四十四条第七号ハにおいて同じ。）のみに係るものである場合には、その旨

(c) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods listed in Article 37, paragraph (1), item (ii), (c) through (e) of the Order or the economy, trade and industry goods, etc. (meaning the economy, trade and industry goods, etc. defined in the proviso to Article 11, paragraph (1) of the Order for Enforcement of Act on Control for Business Pertaining to Commodity Investment; the same applies in Article 44, item (vii), (c)), to that effect;

ニ　競走用馬投資関連業務（次のいずれかに掲げる権利に係る法第百九十四条の六第一項各号に掲げる行為を行う業務をいう。以下同じ。）を行う場合には、その旨

(d) if the applicant for registration intends to conduct a business related to investment in racehorses (meaning a business to conduct the acts listed in the items of Article 194-6, paragraph (1) of the Act, in regard to any of the rights listed in the following; the same applies hereinafter), to that effect:

（１）　匿名組合契約に基づく権利であって、当該権利を有する者から出資を受けた金銭（令第一条の三第一号から第三号までに掲げるものを含む。）の全部を充てて競走用馬（競馬法（昭和二十三年法律第百五十八号）第十四条（同法第二十二条において準用する場合を含む。）の登録を受け、又は受けようとするものに限る。以下同じ。）を取得し、当該競走用馬を、（２）に掲げる権利に係る匿名組合契約に基づきその相手方（特定の一の者に限る。）に出資し、競走（同法第一条第五項に規定する中央競馬又は地方競馬の競走に限る。（２）において同じ。）に出走させることを目的とするもの

1. a right under a silent partnership contract, the purpose of which is to acquire racehorses (limited to the racehorses that are or will be registered under Article 14 of the Horse Racing Act (Act No. 158 of 1948) (including as applied mutatis mutandis pursuant to Article 22 of that Act); the same applies hereinafter), using all the monies (including the things similar to money as listed in Article 1-3, items (i) through (iii) of the Order) invested by the holders of such right, to invest such racehorses to the counterparty (limited to a specific party) under the silent partnership contract pertaining to the right specified in 2. below, and to run such racehorses in races (limited to races held by the Japan Racing Association or the National Association of Racing as prescribed in Article 1, paragraph (5) of the Horse Racing Act; the same applies in 2. below);

（２）　匿名組合契約に基づく権利であって、当該権利を有する（１）に掲げる権利に係る匿名組合契約の営業者（特定の一の者に限る。）から出資を受けた競走用馬を競走に出走させることを目的とするもの

2. a right under a silent partnership contract, the purpose of which is to run a racehorse invested in by the proprietor (limited to a specific party) under the silent partnership contract which pertains to the right specified in 1. above that is entitled to such right;

五　法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨

(v) if the applicant for registration intends to conduct any of the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;

六　不動産信託受益権等売買等業務（宅地（宅地建物取引業法（昭和二十七年法律第百七十六号）第二条第一号に掲げる宅地をいう。以下同じ。）若しくは建物に係る法第二条第二項第一号に掲げる権利（以下「不動産信託受益権」という。）又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものの売買その他の取引に係る業務をいう。以下同じ。）を行う場合には、その旨

(vi) if the applicant for registration intends to conduct the business of transaction, etc. of beneficial interest in real property trust (meaning a business related to the purchase and sale or any other transaction of the rights specified in Article 2, paragraph (2), item (i) of the Act which relate to building lots (meaning building lots as defined in Article 2, item (i) of the Building Lots and Buildings Transaction Business Act (Act No. 176 of 1952); the same applies hereinafter) or buildings (hereinafter referred to as the "beneficial interest in real property trust"), or a business related to the purchase and sale of or any other transaction of the rights under a partnership contract, silent partnership contract or limited partnership agreement for investment whose invested business is primarily intended for investment in a beneficial interest in real property rust; the same applies hereinafter), to that effect;

七　不動産関連特定投資運用業（投資運用業（法第二条第八項第十二号イに掲げる契約に係る同号に掲げる行為及び同項第十四号に掲げる行為を行う業務を除く。）のうち、不動産信託受益権又は組合契約、匿名組合契約若しくは投資事業有限責任組合契約に基づく権利のうち当該権利に係る出資対象事業が主として不動産信託受益権に対する投資を行うものを投資の対象とするものをいう。以下同じ。）を行う場合には、その旨

(vii) if the applicant for registration intends to conduct specified investment management business related to real property (meaning an investment management business (excluding a business to conduct the act specified in Article 2, paragraph (8) item (xii) of the Act pertaining to the contract specified in (a) of that item, or to conduct the act specified in item (xiv) of that paragraph) intended for investment in a beneficial interest in real property trust, or in the rights under a partnership contract, silent partnership contract or limited partnership agreement for investment whose invested business is primarily intended for investment in a beneficial interest in real property trust; the same applies hereinafter), to that effect;

八　特定引受行為（金融商品取引法第二条に規定する定義に関する内閣府令（平成五年大蔵省令第十四号）第十六条第一項第五号に掲げる行為をいう。）を行う場合には、その旨

(viii) if the applicant for registration intends to conduct specific underwriting (meaning the act specified in Article 16, paragraph (1), item (v) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act (Order of the Ministry of Finance No. 14 of 1993)), to that effect;

九　特定有価証券等管理行為（金融商品取引法第二条に規定する定義に関する内閣府令第十六条第一項第十四号及び第十四号の二に掲げる行為をいう。第百四十九条第一号イ及び第百八十一条第一項第二号ロにおいて同じ。）を行う場合には、その旨

(ix) if the applicant for registration intends to conduct an Act of Management of Specified Securities, etc. (meaning the act specified in Article 16, paragraph (1), items (xiv) and (xiv)-2 of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act; the same applies in Article 149, item (i), (a) and Article 181, paragraph (1), item (ii), (b)), to that effect;

十　金融商品取引業として高速取引行為を行う場合において、外国に住所を有する個人であるときは、国内における代理人の氏名、商号又は名称

(x) if the applicant for registration intends to conduct high-speed trading as part of its financial instruments business, and if the applicant for registration is an individual domiciled in a foreign state, the name or trade name of the agent in Japan; and

十一　本店等の名称及び所在地

(xi) the names and locations of its head office, etc.

（業務の内容及び方法）

(Contents and Methods of Business)

第八条　法第二十九条の二第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 8 The contents and method of business to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (ii) of the Act are as follows:

一　業務運営に関する基本原則

(i) the basic principles of business operation;

二　業務執行の方法

(ii) the method of execution of business;

三　業務分掌の方法

(iii) the method of allocation of business operations;

四　業として行う金融商品取引行為の種類

(iv) the types of acts that constitute financial instruments transactions to be conducted in the course of trade;

五　苦情の解決のための体制（法第三十七条の七第一項第一号ロ、第二号ロ、第三号ロ又は第四号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。）

(v) the system for handling complaints (including the contents of the complaint processing measures and dispute resolution measures concerning the business specified in Article 37-7, paragraph (1), item (i), (b), item (ii), (b), item (iii), (b) or item (iv), (b) of the Act);

六　第一種金融商品取引業を行う場合には、次に掲げる事項（第一種少額電子募集取扱業務のみを行う場合には、ロからニまでに掲げる事項を除く。）

(vi) if the applicant for registration intends to conduct a type-I financial instruments business, the following matters (in cases of conducting only a type-I small-amount electronic public offering service, excluding the matters specified in (b) through (e)):

イ　取り扱う有価証券及び業として行うデリバティブ取引の種類（商品関連業務を行う場合にあっては、取引の対象とする商品又は商品に係る金融指標を含む。）

(a) the types of the securities to be handled, and the types of the derivative transactions to be conducted in the course of trade (in cases of conducting commodity-related business, including commodities for transactions or indicators pertaining to the commodities);

ロ　損失の危険の管理方法に関する次に掲げる事項

(b) the following matters in regard to methods of risk management concerning loss:

（１）　損失の危険相当額（第百七十八条第一項第一号に規定する市場リスク相当額、同項第二号に規定する取引先リスク相当額及び同項第三号に規定する基礎的リスク相当額を含む。以下この号において同じ。）の算定方法

1. the method of calculating the value of loss risk equivalent (including the market risk equivalent defined in Article 178, paragraph (1), item (i), the counterparty risk equivalent defined in item (ii) of that paragraph and the basic risk equivalent defined in item (iii) of that paragraph; hereinafter the same applies in this item);

（２）　損失の危険相当額の限度枠の設定及び適用方法

2. the method of establishment and application of a ceiling on the value of loss risk equivalent;

（３）　損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制

3. the name and structure of the section in charge of calculating the value of loss risk equivalent and managing of the ceiling thereof;

（４）　損失の危険相当額の算定の基礎となる資料の作成及び保存の方法

4. the method of preparation and preservation of materials which would serve as the basis of the calculation of the value of loss risk equivalent;

（５）　損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制

5. the frequency of inspection of the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection;

（６）　その他損失の危険の管理に関する重要な事項

6. any other important matters related to the risk management concerning loss;

ハ　店頭デリバティブ取引等に係る業務（電子取引基盤運営業務を除く。）を行う場合には、次に掲げる事項

(c) if the applicant for registration intends to conduct a business in relation to over-the-counter transactions of derivatives, etc. (excluding electronic trading platform management service), the following matters:

（１）　当該業務を管理する責任者の氏名及び役職名

1. the name and job title of the person responsible for the management of the business;

（２）　当該業務を行う部署の名称及び組織の体制

2. the name and organizational structure of the section in charge of the business;

（３）　当該業務に係る顧客との取引開始基準

3. the conditions for starting transactions with the customers pertaining to the business;

（４）　当該業務に係る損失の危険相当額の算定方法及び算定の頻度（取引所金融商品市場における相場、金利、通貨の価格その他の指標の変動により発生し得る損失の危険、取引の相手方の契約不履行その他の理由により発生し得る損失の危険及びこれらの理由以外の理由により発生し得る損失の危険ごとに記載すること。）

4. the method and frequency of calculating the value of loss risk equivalent pertaining to the business (such information is itemized by the risk of loss which may accrue due to fluctuations in indicators such as quotations on the financial instruments exchange market, interest rates or value of currencies, the risk of loss which may accrue due to a default in the performance of contracts by counterparties to the transactions and on any other reason, and the risk or loss which may accrue due to reasons other than on the aforementioned reasons);

（５）　当該業務に係る損失の危険相当額の限度枠の設定及び適用方法並びに取引の種類及び顧客の属性別の当該限度枠の設定及び適用方法

5. the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business; and the method of the establishment and application for such ceiling classified in accordance with the types of transactions and categories of the customers;

（６）　当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制

6. the name and structure of the section in charge of calculating the value of loss risk equivalent pertaining to the business, and management of the ceiling thereof;

（７）　当該業務に係る損失の危険相当額及びその限度枠の適用状況について、代表権を有する取締役又は執行役（外国法人にあっては、国内における営業所若しくは事務所に駐在する取締役若しくは執行役若しくはこれらに準ずる者又は国内における代表者）に報告する頻度

7. the frequency of reporting the value of loss risk equivalent pertaining to the business and the status of the application of the ceiling thereof to directors or executive officers with authority of representation (in the case of a foreign corporation, its directors, executive officers or any other person holding a position equivalent thereto that are stationed at a business office or other office in Japan, or its representative person in Japan);

（８）　当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法

8. the means of the preparation and preservation of material which would serve as the basis of the calculation of the value of loss risk equivalent pertaining to the business;

（９）　当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制

9. the frequency of inspection on the execution of the business, the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and

（１０）　その他当該業務に係る損失の危険の管理に関する重要な事項

10. any other important matter related to the risk management concerning loss pertaining to the business;

ニ　有価証券の元引受けに係る業務を行う場合には、次に掲げる事項

(d) if the applicant for registration intends to conduct a business pertaining to the wholesale underwriting of securities, the following matters:

（１）　当該業務を管理する責任者の氏名及び役職名

1. the name and title of the person responsible for the management of the business;

（２）　当該業務を行う部署の名称及び組織の体制

2. the name and organizational structure of the section in charge of the business;

（３）　当該業務に係る損失の危険相当額の算定方法

3. the method of calculating the value of loss risk equivalent pertaining to the business;

（４）　当該業務に係る損失の危険相当額の限度枠の設定及び適用方法

4. the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business;

（５）　当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制

5. the name and structure of the section in charge of the calculation of the value of loss risk equivalent pertaining to the business, and management of the ceiling thereof;

（６）　当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制

6. the frequency of inspection on the execution of the business, the value of loss risk equivalent and status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and

（７）　その他当該業務に係る損失の危険の管理に関する重要な事項

7. any other important matter related to the risk management concerning loss pertaining to the business;

ホ　有価証券等管理業務を行う場合には、法第四十三条の二から第四十三条の三までの規定による管理の方法

(e) if the applicant for registration intends to conduct a securities, etc. management business, the management means set forth in Article 43-2 through Article 43-3 of the Act;

ヘ　有価証券関連業を行う場合には、第七十条の四第一項各号に掲げる措置に関する次に掲げる事項

(f) if the applicant for registration intends to conduct a securities-related business, the following matters concerning the measures listed in the respective items of Article 70-4, paragraph (1):

（１）　当該措置の実施の方法

1. the means for carrying out such measures; and

（２）　当該措置の実施を所掌する組織及びその人員の配置

2. the organization in charge of carrying out such measures and the positions of the personnel therefor; and

ト　電子取引基盤運営業務を行う場合には、次に掲げる事項

(g) if the applicant for registration intends to conduct an electronic trading platform management service, the following matters:

（１）　電子取引基盤運営業務において行う特定店頭デリバティブ取引の種類及びその具体的内容

1. the types and specific details of the specified over-the-counter derivatives transactions to be conducted in relation to the electronic trading platform management service;

（２）　電子取引基盤運営業務を管理する責任者の氏名及び役職名

2. the name and job title of the person responsible for the management of the electronic trading platform management service;

（３）　電子取引基盤運営業務を行う部署及び法第四十条の七第二項の規定に基づく公表に係る業務を行う部署（電子取引基盤運営業務の一部又は同項の規定に基づく公表に係る業務の一部を他の者に委託する場合にあっては、その者を含む。）の名称及び組織の体制

3. the name and organizational structure of the section in charge of the electronic trading platform management service and the section in charge of the business relating to the publication under Article 40-7, paragraph (2) of the Act (if a part of the electronic trading platform management service or a part of the business relating to the publication under that paragraph is to be entrusted to any other person, including such person);

（４）　電子取引基盤運営業務に係る顧客との取引開始基準及び顧客の管理方法

4. the conditions for starting transactions with customers pertaining to the electronic trading platform management service, and the methods of management of the customers;

（５）　料金に関する事項

5. the matters relating to the fees;

（６）　売付け及び買付けの気配その他価格情報を顧客に公表する方法（電子情報処理組織の使用その他の電子的方法に限る。）

6. the means of publicizing quotes for sale or purchase, and other pricing information to customers (limited to means of using an electronic data processing system or other electronic means);

（７）　取引価格の決定方法（特定店頭デリバティブ取引において当事者が想定元本として定めた金額が、第百二十五条の八第二項各号に掲げる特定店頭デリバティブ取引の効力が生じる日から当該効力が消滅する日までの期間の区分に応じ、当該各号に定める金額以下である場合には、次の（ⅰ）に掲げるもの又は次の（ⅰ）若しくは（ⅱ）に掲げるもののいずれかを顧客が選択することができるものに限る。）及び取引の成立の時期

7. the method for deciding the transaction price (for a specified over-the-counter derivatives transactions, if the amount designated by the party as a notional principal does not exceed the amount specified in the items of Article 125-8, paragraph (2) according to the categories of periods from the day when the specified over-the-counter derivatives transaction takes effect to the day when such transaction ceases to be in effect as respectively specified in these items, limited to the method enabling customers to choose either the method specified in the following i., or the method specified in the following i. or ii.), as well as the time when the transaction takes effect:

（ⅰ）　（６）の規定により公表された自己又は顧客の売付け及び買付けの気配に基づく価格を用いる方法

i. the method using a price based on quotes for the sale or purchase of itself or customers publicized pursuant to 6.;

（ⅱ）　顧客の間の交渉（顧客の指定に基づき三以上の他の顧客に対して売付け又は買付けの気配の提示を求め、当該求めに応じ当該他の顧客が提示した売付け又は買付けの気配、（６）の規定により公表された売付け又は買付けの気配及び自己が売付け又は買付けの気配を提示する場合における当該気配を当該顧客に通知した上で行うものに限る。）に基づく価格を用いる方法

ii. the method using a price determined based on a negotiation among customers (limited to a negotiation conducted after requesting three or more other customers designated by the customer to present quotes for the sale or purchase, and notifying the customer of the quotes for sale or purchase presented by the other customers in response to the request, the quotes for sale or purchase publicized pursuant to 6., and the quotes if the applicant for registration presents the quotes for sale or purchase);

（８）　法第四十条の七第二項の規定に基づく公表を行う方法

8. the method of the publication under Article 40-7, paragraph (2) of the Act;

（９）　電子取引基盤運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法

9. the outline, location, volume and maintenance method of the electronic data processing system to be used for the electronic trading platform management service, and the method of handling of cases in which there occurs any malfunction of such electronic data processing system;

（１０）　電子取引基盤運営業務に係る決済の方法（法第百五十六条の六十二第一号又は第二号に掲げる取引に基づく債務を金融商品取引清算機関（当該金融商品取引清算機関が連携金融商品債務引受業務を行う場合には、連携清算機関等を含む。）又は外国金融商品取引清算機関に適切かつ迅速に負担させるための方法を含む。）及び顧客の契約不履行が生じた場合の対処方法

10. the method of settlement for the electronic trading platform management service (including the method of ensuring that the obligations arising from the transactions specified in Article 156-62, item (i) or (ii) of the Act are assumed by a financial instruments clearing organization (including a collaborating clearing organization, etc., if the financial instruments clearing organization conducts collaborative financial instruments obligation assumption service) or a foreign financial instruments clearing organization in an appropriate and swift manner), and the method of handling if a customer defaults on a contract;

（１１）　電子取引基盤運営業務に係る取引記録の作成及び保存の方法

11. the method for the preparation and preservation of the transaction records for the electronic trading platform management service;

（１２）　電子取引基盤運営業務の執行状況について、検査を行う頻度、部署の名称及び体制

12. the frequency of the inspection on the status of the execution of the electronic trading platform management service, and the name and structure of the section in charge of such inspection;

（１３）　不公正な取引の防止の方法その他の取引の公正の確保に関する事項

13. the method of the prevention of unfair transactions, and any other matters relating to the securing of fair transactions; and

（１４）　その他電子取引基盤運営業務に係る損失の危険の管理に関する重要な事項

14. other important matters in regard to methods of management of risks of loss relating to the electronic trading platform management service.

チ　第百二十三条第一項第十八号ホ及び第二十四号ニ並びに第百五十三条第一項第七号ト及びリに規定する場合において情報を受領し、又は提供するときは、電子情報処理組織の保守及び管理に関する業務並びに同条第三項に規定する内部の管理及び運営に関する業務に関する次に掲げる事項

(h) if the applicant for registration intends to receive or supply information in the cases referred to in Article 123, paragraph (1), item (xviii), (e) and item (xxiv), (d), and Article 153, paragraph (1), item (vii), (g) and (i), the following matters concerning affairs related to the maintenance and management of an electronic data processing system and concerning affairs related to internal management and operation prescribed in paragraph (3) of that Article:

（１）　当該情報を受領し、又は提供する登録金融機関又は親法人等若しくは子法人等の商号又は名称

1. the trade name or name of the registered financial institution, parent corporation, etc. or subsidiary corporation, etc. that receives or supplies the information;

（２）　業務執行の方法

2. the method for execution of the affairs; and

（３）　当該業務を所掌する組織及びその人員の配置

3. the organization in charge of such affairs and the positions of the personnel therefor;

七　第二種金融商品取引業を行う場合には、次に掲げる事項

(vii) if the applicant for registration intends to conduct a type-II financial instruments business, the following matters:

イ　取り扱う有価証券及び業として行うデリバティブ取引の種類

(a) the type of the securities to be handled, and the type of the derivative transactions to be conducted in the course of trade;

ロ　法第二条第二項第一号又は第二号に掲げる権利を取り扱うときは、当該権利に係る信託財産の種類

(b) if the applicant for registration intends to handle the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of the trust property pertaining to such rights;

ハ　法第二条第二項第五号又は第六号に掲げる権利を取り扱うときは、当該権利に係る出資対象事業の概要

(c) if the applicant for registration intends to handle the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the invested business pertaining to the rights; and

ニ　法第二十九条の五第二項に規定する業務を行う場合には、その旨

(d) in cases of implementing the operations defined in Article 29-5, paragraph (2) of the Act, to that effect;

八　投資助言・代理業を行う場合には、次に掲げる事項

(viii) if the applicant for registration intends to conduct an investment advisory and agency business, the following matters:

イ　投資助言・代理業の種別（法第二条第八項第十一号及び第十三号に掲げる行為に係る業務の種別をいう。）

(a) the types of the investment advisory and agency business (meaning the types of business pertaining to the acts specified in Article 2, paragraph (8), items (xi) and (xiii) of the Act);

ロ　助言を行う有価証券及びデリバティブ取引に係る権利の種類

(b) the type of the securities and rights pertaining to derivative transactions regarding which the applicant for registration intends to give advice;

ハ　法第二条第二項第一号又は第二号に掲げる権利に関し助言を行うときは、当該権利に係る信託財産の種類

(c) if the applicant for registration intends to give advice in relation to the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of trust property pertaining to such rights;

ニ　法第二条第二項第五号又は第六号に掲げる権利に関し助言を行うときは、当該権利に係る出資対象事業の概要

(d) if the applicant for registration intends to give advice in relation to the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the invested business pertaining to such rights;

九　投資運用業を行う場合には、次に掲げる事項

(ix) if the applicant for registration intends to conduct investment management business, the following matters:

イ　投資運用業の種別（法第二条第八項第十二号イに掲げる契約に係る同号に掲げる行為、同号ロに掲げる契約に係る同号に掲げる行為、同項第十四号に掲げる行為及び同項第十五号イからハまでに掲げる権利に係る同号に掲げる行為に係る業務の種別をいい、適格投資家向け投資運用業を行う場合には、その旨を含む。）

(a) the types of the investment management business (meaning the types of business pertaining to the act specified in Article 2, paragraph (8), item (xii) of the Act which pertains to the contract specified in (a) of that item, the act specified in that item which pertains to the contract specified in (b) of that item, the act specified in item (xiv) of that paragraph, and the act specified in item (xv) of that paragraph which pertains to any of the rights listed in (a) through (c) of that item; in cases of engaging in an investment management business for qualified investors, including to that effect);

ロ　投資の対象とする有価証券及びデリバティブ取引に係る権利の種類

(b) the type of the securities and type of the rights pertaining to the derivative transactions for which the investment is to be made;

ハ　法第二条第二項第一号又は第二号に掲げる権利を投資の対象とするときは、当該権利に係る信託財産の種類

(c) if any of the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act is to become the subject of investment, the type of trust property pertaining to such right;

ニ　法第二条第二項第五号又は第六号に掲げる権利を投資の対象とするときは、当該権利に係る出資対象事業の概要

(d) if any of the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act is to become the subject of investment, the outline of the invested business pertaining to such right; and

ホ　有価証券又はデリバティブ取引に係る権利以外の資産を投資の対象とするときは、当該資産の種類

(e) if the any asset other than the securities or the rights pertaining to the derivative transactions is to become the subject of investment, the type of such assets;

十　電子募集取扱業務（法第二十九条の二第一項第六号に規定する電子募集取扱業務をいい、法第三条各号に掲げる有価証券又は金融商品取引所に上場されていない有価証券（令第十五条の四の二各号に掲げるものを除く。）について行うものに限る。以下同じ。）を行う場合には、次に掲げる事項

(x) if the applicant for registration intends to conduct electronic public offering services (meaning the electronic public offering services provided in Article 29-2, paragraph (1), item (vi) of the Act, and limited to services conducted in relation to the securities specified in the items of Article 3 of the Act or the securities not listed on any financial instruments exchange (excluding the securities specified in the items of Article 15-4-2 of the Order; the same applies hereinafter)), the following matters:

イ　取り扱う有価証券の種類

(a) the types of securities to be handled;

ロ　第一種金融商品取引業のうち第一種少額電子募集取扱業務のみを行う場合には、その旨（その業務に関して顧客から金銭の預託を受ける場合にあっては、その旨を含む。）

(b) if the applicant for registration intends to conduct only a type-I small-amount electronic public offering service among the type I financial instruments business, to that effect (including the effect that the applicant for registration intends to receive money deposited by customers in relation to that business, if the applicant for registration has such intention);

ハ　第二種金融商品取引業のうち第二種少額電子募集取扱業務のみを行う場合には、その旨

(c) if the applicant for registration intends to conduct only a type-II small-amount electronic public offering service among the type II financial instruments business, to that effect;

ニ　電子申込型電子募集取扱業務（第七十条の二第三項に規定する電子申込型電子募集取扱業務をいう。第百四十九条第一号ハ及び第百五十条第一号ハにおいて同じ。）を行う場合には、その旨

(d) if the applicant for registration intends to conduct electronic-based application type electronic public offering services) (meaning the electronic-based application type electronic public offering services provided in Article 70-2, paragraph (3); the same applies in Article 149, item (i), (a) and Article 150, item (i), (c)), to that effect;

十一　金融商品取引業として高速取引行為を行う場合には、次に掲げる事項

(xi) if the applicant for registration intends to conduct high-speed trading as part of its financial instruments business, the following matters:

イ　取引戦略ごとに、当該取引戦略の概要（次に掲げる事項を含む。）

(a) the outline of each of the transaction strategies (including the matters specified in the following):

（１）　取引戦略の類型

1. the categories of transaction strategies;

（２）　高速取引行為に係る金融商品取引所等（金融商品取引法第二条に規定する定義に関する内閣府令第二十六条第一項に定める者をいう。以下同じ。）の名称又は商号

2. the name or trade name of the financial instruments exchange, etc. (meaning a person provided in Article 26, paragraph (1) of the Cabinet Office Order on Definitions under Article 2 of the Financial Instruments and Exchange Act; the same applies hereinafter) pertaining to the high-speed trading;

（３）　高速取引行為の対象とする有価証券又は市場デリバティブ取引の種類

3. the types of securities or market derivatives transactions subject to the high-speed trading;

ロ　高速取引行為に係る業務を管理する責任者（法第二条第四十一項の判断並びに高速取引行為に係るプログラム（電子計算機に対する指令であって、一の結果を得ることができるように組み合わされたものをいう。以下同じ。）の作成及び電子情報処理組織その他の設備の管理の責任者を含む。以下同じ。）の氏名及び役職名

(b) the name and job title of the person responsible for the management of the business pertaining to the high-speed trading (including the person responsible for making a decision under Article 2, paragraph (41) of the Act and the creation of programs (meaning a series of instructions given to a computer which is combined so as to obtain a certain result; the same applies hereinafter) for the high-speed trading and the management of an electronic data processing systems and other facilities; the same applies hereinafter);

ハ　高速取引行為に係る電子情報処理組織その他の設備の概要、設置場所及び保守の方法

(c) the outline, location and maintenance method of maintaining the electronic data processing system and other facilities for the high-speed trading; and

ニ　高速取引行為に係る電子情報処理組織その他の設備の管理を十分に行うための措置の内容

(d) the details of the measures to ensure sufficient management of the electronic data processing systems and other facilities for the high-speed trading.

（登録申請書の添付書類）

(Documents to Be Attached to Written Applications for Registration)

第九条　法第二十九条の二第二項第二号に規定する内閣府令で定める書類は、次に掲げる書類とする。

Article 9 The documents to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (ii) of the Act are as follows:

一　業務に係る人的構成及び組織等の業務執行体制を記載した書面

(i) the documents stating the applicant for registration's system for conducting business, such as its personnel structure and the organizational structure;

二　法人であるときは、次に掲げる書類

(ii) if the applicant for registration is a corporation, the following documents:

イ　役員（相談役、顧問その他いかなる名称を有する者であるかを問わず、当該法人に対し取締役、執行役又はこれらに準ずる者と同等以上の支配力を有するものと認められる者を含む。以下この号、第十三条第一号、第二号及び第四号、第四十七条第一項第二号、第四十九条第一号、第二号及び第四号、第百九十九条第二号、第二百一条第九号、第二百二条第八号、第二百八条の二十第二号から第六号まで、第二百八条の二十二第二号ハ、第二百八条の三十一第一項第四号及び第二項第四号、第二百八条の三十二第二号、第二百三十八条の二第一項第一号、第二百四十一条第一項第五号及び第二項第一号、第二百四十一条の二第二号、第二百四十二条第一項第四号、第二百四十二条の二第一項第二号、第三百二十九条第一項第二号、第三百三十二条各号、第三百四十一条第二号、第三百四十二条第一項第五号並びに第三百四十三条第一項第四号において同じ。）及び令第十五条の四に規定する使用人（第四十七条第一項第二号、第五十一条第一項第四号、第九十一条第一項第四号、第二百三十八条の二第一項第一号及び第二号、第二百三十九条第二項第三号、第二百四十一条第一項第六号並びに第二項第一号及び第二号、第二百四十一条の二第一号及び第二号、第二百四十二条第一項第三号及び第四号並びに第二百四十二条の二第一項第二号を除き、以下「重要な使用人」という。）の履歴書（役員が法人であるときは、当該役員の沿革を記載した書面）

(a) the resumes of the officers (including those that are found to have the same or a higher authority over the corporation as directors, executive officers or any persons holding position equivalent thereto, irrespective of their job title such as advisor, consultant or others; hereinafter the same applies in this item, Article 13, items (i), (ii) and (iv), Article 47, paragraph (1), item (ii), Article 49, items (i), (ii) and (iv), Article 199, item (ii), Article 201, item (ix), Article 202, item (viii), Article 208-20, items (ii) through (vi), Article 208-22, item (ii), (c), Article 208-31, paragraph (1), item (iv), and paragraph (2), item (iv), Article 208-32, item (ii), Article 238-2, paragraph (1), item (i), Article 241, paragraph (1), item (v), Article 241, paragraph (2), item (i), Article 241-2, item (ii), Article 242, paragraph (1), item (iv), Article 242-2, paragraph (1), item (ii), Article 329, paragraph (1), item (ii), the items of Article 332, Article 341, item (ii), Article 342, paragraph (1), item (v) and Article 343, paragraph (1), item (iv)) (if an officer is a corporation, the document describing the background of the officer); and the resumes of the employees defined in Article 15-4 of the Order (hereinafter referred to as the "major employees", except in Article 47, paragraph (1), item (ii), Article 51, paragraph (1), item (iv), Article 91, paragraph (1), item (iv), Article 238-2, paragraph (1), items (i) and (ii), Article 239, paragraph (2), item (iii), Article 241, paragraph (1), item (vi), Article 241, paragraph (2), items (i) and (ii), Article 241-2, items (i) and (ii), Article 242, paragraph (1), items (iii) and (iv) and Article 242-2, paragraph (1), item (ii));

ロ　役員及び重要な使用人の住民票の抄本（役員が法人であるときは、当該役員の登記事項証明書）又はこれに代わる書面

(b) the extracts of the certificates of residence of the officers and the major employees (if an officer is a corporation, the certificate of registered matters of the officer), or any document in lieu thereof;

ハ　役員及び重要な使用人の婚姻前の氏名を当該役員及び重要な使用人の氏名に併せて法第二十九条の二第一項の登録申請書に記載した場合において、ロに掲げる書類が当該役員及び重要な使用人の婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(c) if the name of the officer or major employee that was used before marriage is stated together with the current name of the officer or major employee in a written application for registration under Article 29-2, paragraph (1) of the Act, and the document specified in (b) is not a document certifying the name of the officer or major employee used before marriage, a document certifying the name before marriage;

ニ　役員及び重要な使用人が法第二十九条の四第一項第二号イ及びロに該当しない旨の官公署の証明書又はこれに代わる書面

(d) the certificate issued by the public agency evidencing that none of the officers or major employees falls under Article 29-4, paragraph (1), item (ii), (a) or (b) of the Act, or any other document in lieu thereof;

ホ　役員及び重要な使用人が法第二十九条の四第一項第二号ハからリまでのいずれにも該当しない者であることを当該役員及び重要な使用人が誓約する書面

(e) the document in which each of the officers and the major employees pledges that they do not fall under any of Article 29-4, paragraph (1), item (ii), (c) through (i) of the Act;

三　個人であるときは、次に掲げる書類

(iii) if the applicant for registration is an individual, the following documents:

イ　登録申請者及び重要な使用人の履歴書

(a) the resumes of the applicant for registration and the major employees;

ロ　登録申請者及び重要な使用人の住民票の抄本又はこれに代わる書面

(b) the extracts of the certificates of residence of the applicant for registration and the major employees, or any other documents in lieu thereof;

ハ　登録申請者及び重要な使用人の婚姻前の氏名を当該登録申請者及び重要な使用人の氏名に併せて法第二十九条の二第一項の登録申請書に記載した場合において、ロに掲げる書類が当該登録申請者及び重要な使用人の婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(c) if the name of the applicant for registration or major employee that was used before marriage is stated together with the current name of the applicant for registration or the major employee in a written application for registration under Article 29-2, paragraph (1) of the Act, and the document specified in (b) is not a document certifying the name of the applicant for registration or the major employee used before marriage, a document certifying the name before marriage;

ニ　登録申請者及び重要な使用人が法第二十九条の四第一項第二号イ及びロに該当しない旨の官公署の証明書又はこれに代わる書面

(d) the certificate issued by a public agency evidencing that none of the applicant for registration or the major employees falls under Article 29-4, paragraph (1), item (ii), (a) or (b) of the Act, or any other document in lieu thereof; and

ホ　重要な使用人が法第二十九条の四第一項第二号ハからリまでのいずれにも該当しない者であることを当該重要な使用人が誓約する書面

(e) the document in which each of the major employees pledges that they do not fall under any of Article 29-4, paragraph (1), item (ii), (c) through (g) of the Act;

四　特定関係者（親法人等、子法人等及び持株会社（法第二十九条の四第三項に規定する持株会社をいう。第百九十八条を除き、以下同じ。）をいい、第一種金融商品取引業を行う場合には、関係会社（第百七十七条第六項に規定する関係会社をいう。ヘにおいて同じ。）を含む。ホにおいて同じ。）の状況として次に掲げる事項を記載した書類

(iv) the document stating the status of the persons in specified relationships (meaning the parent corporation, etc., subsidiary corporation, etc. and holding company (meaning the holding company defined in Article 29-4, paragraph (3) of the Act; the same applies hereinafter except in Article 198); and if the applicant for registration intends to conduct a type-I financial instruments business, associated company (meaning a related company as prescribed in Article 177, paragraph (6); the same applies in (f)); the same applies in (e)), as listed in the following items:

イ　商号又は名称

(a) the trade name or name;

ロ　資本金の額、基金の総額又は出資の総額

(b) the amount of stated capital, the total amount of funds or the total amount of investment;

ハ　本店又は主たる事務所の所在地

(c) the location of the head office or principal office;

ニ　事業の種類

(d) the type of business;

ホ　登録申請者と特定関係者との間の資本関係、人的関係及び最近一年間の業務上の関係

(e) the capital relationship and personal relationship between the applicant for registration and the persons in specified relationship, as well as their business relationship over the past year;

ヘ　親法人等、子法人等又は持株会社（第一種金融商品取引業を行う場合には、親法人等、子法人等、持株会社又は関係会社）のいずれに該当するかの別

(f) information as to whether the persons in specified relationship falls under the category of parent corporation, etc., subsidiary corporation, etc., or holding company (if the applicant for registration intends to conduct a type-I financial instruments business, information as to whether the persons in specified relationship falls under the category of parent corporation, subsidiary corporation, etc., holding company or associated company);

五　競走用馬に係る商品投資関連業務を行う場合には、第十三条第三号に掲げる基準に該当しないことを証する書面

(v) if the applicant for registration intends to conduct a business related to commodities investment which pertains to racehorses, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 13, item (iii);

六　不動産信託受益権等売買等業務を行う場合には、第十三条第四号に掲げる基準に該当しないことを証する書面

(vi) if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 13, item (iv);

七　不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(vii) a document stating the matters related to the applicant for registration's ability to carry out the business, if the applicant for registration intends to conduct a specified investment management business related to real property;

八　金融商品取引業として高速取引行為を行う場合には、次に掲げる書類

(viii) if the applicant for registration intends to conduct high-speed trading as part of its financial instruments business, the following documents:

イ　外国に住所を有する個人であるときは、次に掲げる書類

(a) if the applicant for registration is an individual domiciled in a foreign state, the following documents:

（１）　国内における代理人の住民票の抄本（国内における代理人が法人であるときは、当該国内における代理人の登記事項証明書）又はこれに代わる書面

1. an extract copy of the certificate of residence of the agent in Japan (or, if the agent in Japan is a corporation, a certificate of registered information of the agent in Japan), or a document in lieu thereof;

（２）　国内における代理人の婚姻前の氏名を当該国内における代理人の氏名に併せて法第二十九条の二第一項の登録申請書に記載した場合において、（１）に掲げる書類が当該国内における代理人の婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

2. if the name of the agent in Japan that was used before marriage is stated together with the current name of the agent in Japan in a written application for registration under Article 29-2, paragraph (1) of the Act, and the document specified in 1. is not a document certifying the name of the agent in Japan used before marriage, a document certifying the name before marriage;

ロ　個人であるときは、別紙様式第一号の二により作成した書面

(b) if the applicant for registration is an individual, a document prepared using Appended Form 1-2;

ハ　高速取引行為に係る業務を管理する責任者の履歴書

(c) the resume of the person responsible for the management of the business pertaining to the high-speed trading; and

ニ　第二種金融商品取引業として高速取引行為を行う場合（第一種金融商品取引業又は投資運用業を行う場合を除く。）には、純財産額（法第六十六条の五十三第七号に規定する純財産額をいう。第二百一条第二十七号ロ、第二百二条第十九号及び第五章において同じ。）を算出した書面

(d) if the applicant for registration intends to conduct high-speed trading as part of the type-II financial instruments business (other than if the applicant for registration intends to conduct a type-I financial instruments business or investment management business), a document calculating the net assets (meaning the net assets provided in Article 66-53, item (vii) of the Act; the same applies in Article 201, item (xxvii), (b), Article 202, item (xix) and Chapter V).

第十条　法第二十九条の二第二項第三号に規定する内閣府令で定める書類は、次に掲げる書類とする。

Article 10 (1) The documents to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (2), item (iii) of the Act are as follows:

一　最終の貸借対照表（関連する注記を含む。）及び損益計算書（関連する注記を含む。）

(i) the latest balance sheet (including notes in reference thereto) and the latest profit and loss statement (including notes in reference thereto);

二　第一種金融商品取引業、第二種金融商品取引業又は投資運用業を行う場合であって、金融商品取引業協会（登録申請者が行う業務を行う者を主要な協会員又は会員とするものに限る。）に加入しないときは、当該業務に関する社内規則

(ii) if the applicant for registration intends to conduct type-I financial instruments business, type-II financial instruments business or investment management business, and if it is not to become a member of any financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business implemented by the applicant for registration), the internal rules concerning the business;

三　第一種金融商品取引業又は投資運用業を行う場合には、次に掲げる書類

(iii) if the applicant for registration intends to conduct type-I financial instruments business or investment management business, the following documents:

イ　純財産額（法第二十九条の四第一項第五号ロに規定する純財産額をいう。以下この章（第二百一条第二十七号ロ及び第二百二条第十九号を除く。）において同じ。）を算出した書面

(a) a document stating the calculated net assets (meaning the net assets prescribed in Article 29-4, paragraph (1), item (v), (b) of the Act; hereinafter the same applies in this Chapter (excluding Article 201, item (xxvii), (b) and Article 202, item (ix));

ロ　主要株主（法第二十九条の四第二項に規定する主要株主をいう。以下この号、第三十八条の二、第三十八条の五、第百九十九条第十一号ハ、第二百一条第二十号、第二百二条第五号ロ及び第十六号、第二百八条の三十一第一項第十一号及び第二項第八号並びに第二百八条の三十二第九号において同じ。）の商号、名称又は氏名及び本店又は主たる事務所の所在地（個人にあっては、住所又は居所）並びに当該主要株主が保有する対象議決権（法第二十九条の四第二項に規定する対象議決権をいい、同条第五項の規定により保有しているものとみなされるものを含む。）の数を記載した書面

(b) a document stating the major shareholders' (meaning the major shareholders defined in Article 29-4, paragraph (2) of the Act; hereinafter the same applies in this item, Article 38-2, Article 38-5, Article 199, item (xi), (c), Article 201, item (xx), Article 202, item (v), (b), and item (xvi), Article 208-31, paragraph (1), item (xi) and paragraph (2), item (viii), and Article 208-32, item (ix)) trade names or names, and the locations of their head offices or principal offices (if a major shareholder is an individual, the domicile or residence), as well as the number of the subject voting rights held by the major shareholders (meaning the subject voting rights defined in Article 29-4, paragraph (2) of the Act, and including those deemed to be held pursuant to the provisions of paragraph (5) of that Article);

ハ　外国法人であるときは、主要株主に準ずる者について法第二十九条の四第一項第五号ヘに規定する確認が行われていることを証する書面又はこれに準ずる書面

(c) in cases of a foreign corporation, a document evidencing that a confirmation under Article 29-4, paragraph (1) item (v), (f) of the Act has been made with regard to a person equivalent to a major shareholder, or any document equivalent thereto;

四　第一種金融商品取引業を行う場合には、次に掲げる書類（第一種少額電子募集取扱業務のみを行う場合には、ロ及びハに掲げる書類を除く。）

(iv) if the applicant for registration intends to conduct a type I financial instruments business, the following documents (in cases of conducting only type-I small-amount electronic public offering service, excluding the documents specified in (b) and (c)):

イ　外国法人であるときは、外国の法令に準拠し、当該外国において第一種金融商品取引業と同種類の業務を行っている者（令第十五条の八に規定する者を含む。）であることを証する書面

(a) if the applicant for registration is a foreign corporation, a document evidencing that the applicant for registration is a person conducting the same type of business as the type I financial instruments business in a foreign state in accordance with the laws and regulations of the foreign state (including a person prescribed in Article 15-8 of the Order);

ロ　法第二十九条の四第一項第六号イに規定する比率を算出した書面

(b) a document stating the calculated ratio prescribed in Article 29-4, paragraph (1), item (vi), (a) of the Act;

ハ　店頭デリバティブ取引等に係る業務（電子取引基盤運営業務を除く。）を行う場合又は有価証券の元引受けに係る業務を行う場合には、次に掲げる書類

(c) if the applicant for registration intends to conduct any business pertaining over-the-counter derivatives transactions, etc. (excluding an electronic trading platform management service) or any business pertaining to the wholesale underwriting of securities, the following documents:

（１）　当該業務を管理する責任者の履歴書

1. the resume of the person in charge of the management of the business;

（２）　当該業務に関する社内規則

2. the internal rules regarding the business;

（３）　当該業務に関し顧客と取引を行う際に使用する契約書類

3. the contracts to be used in transactions with customers in connection with the business;

ニ　電子取引基盤運営業務を行う場合には、次に掲げる書類

(d) if the applicant for registration intends to conduct an electronic trading platform management service, the following matters:

（１）　電子取引基盤運営業務を管理する責任者の履歴書

1. the resume of the person responsible for the management of the electronic trading platform management service;

（２）　電子取引基盤運営業務に関する社内規則

2. the internal rules concerning the electronic trading platform management service;

（３）　電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類

3. contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and

（４）　第八条第六号ト（９）に掲げるものに関する登録申請者と特別の利害関係のない者の評価書

4. an appraisal report issued by a person having no special interest relationship with the registration application in relation to the matters specified in Article 8, item (vi), (g), 9.

２　前項第一号に掲げる書類を添付する場合において、貸借対照表（関連する注記を含む。）が電磁的記録で作成されているとき、又は損益計算書（関連する注記を含む。）について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録（次条に定めるものに限る。）を添付することができる。

(2) If the applicant for registration attaches the documents specified in item (i) of the preceding paragraph, if the balance sheet (including notes in reference thereto) has been prepared by means of an electronic or magnetic record, or if a profit and loss statement (including notes in reference thereto) has been prepared by means of an electronic or magnetic record, instead of as written documents, such applicant for registration may attach the electronic or magnetic record (limited to those specified in the following Article) in lieu of documents.

（電磁的記録）

(Electronic or Magnetic Records)

第十一条　法第二十九条の二第三項及び第三十三条の三第三項に規定する内閣府令で定める電磁的記録は、次に掲げる構造のいずれかに該当するものとする。

Article 11 (1) The electronic or magnetic record to be specified by Cabinet Office Order as referred to in Article 29-2, paragraph (3) and Article 33-3, paragraph (3) of the Act must have a structure specified in the following:

一　工業標準化法（昭和二十四年法律第百八十五号）に基づく日本工業規格（以下「日本工業規格」という。）Ｘ六二二三に適合する九十ミリメートルフレキシブルディスクカートリッジ

(i) a 90mm flexible magnetic disc cartridge which complies with X6223 of the Japanese Industrial Standards under the Industrial Standardization Act (Act No. 185 of 1949) (hereinafter referred to as the "JIS"); or

二　日本工業規格Ｘ〇六〇六及びＸ六二八二に適合する直径百二十ミリメートルの光ディスク

(ii) a 120mm optical disc conforming to JIS X0606 and X6282.

２　前項第一号の電磁的記録への記録は、次に掲げる方式に従ってしなければならない。

(2) Entry onto an electronic or magnetic record as set forth in item (i) of the preceding paragraph must be completed by the following means:

一　トラックフォーマットについては、日本工業規格Ｘ六二二五に規定する方式

(i) with regard to the track format, the means designated by the JIS X6225; and

二　ボリューム及びファイル構成については、日本工業規格Ｘ〇六〇五に規定する方式

(ii) with regard to volume and file configuration, the means designated by the JIS X0605.

３　第一項の電磁的記録には、次に掲げる事項を記載しなければならない。

(3) With regard to the electronic or magnetic record set forth in paragraph (1), a document containing the following matters must be affixed:

一　登録申請者の商号又は名称

(i) the trade name or name of the applicant for registration; and

二　申請年月日

(ii) the date of application.

（金融商品取引業者登録簿の縦覧）

(Public Inspection of the Registry of Financial Instruments Business Operators)

第十二条　管轄財務局長等は、その登録をした金融商品取引業者に係る金融商品取引業者登録簿を当該金融商品取引業者の本店等の所在地を管轄する財務局（当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局、国内に営業所又は事務所を有しない場合にあっては関東財務局）に備え置き、公衆の縦覧に供するものとする。

Article 12 A competent director-general of local finance bureau, etc. is to keep the registry of financial instruments business operators containing information on the financial business operators to which such person has granted registrations, at the local finance bureau with jurisdiction over the location of the relevant financial instruments business operator's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, at the Fukuoka Local Finance Branch Bureau; or if the financial instruments business operator has no business office or other office in Japan, at the Kanto Finance Bureau), and make it available for public inspection.

（人的構成の審査基準）

(Criteria for Examination of the Structure of Personnel)

第十三条　法第二十九条の四第一項第一号ホ（法第三十一条第五項において準用する場合を含む。）に規定する金融商品取引業を適確に遂行するに足りる人的構成を有しない者であるかどうかの審査をするときは、登録申請者が次に掲げるいずれかの基準に該当するかどうかを審査するものとする。

Article 13 When conducting an examination under Article 29-4, paragraph (1), item (i), (e) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) as to whether the applicant for registration lacks a structure of personnel sufficient to conduct a financial instruments business in an appropriate manner, it is to be examined whether the applicant for registration falls under any of the following criteria:

一　その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。

(i) that the applicant for registration is found not to be able to conduct the business in a proper manner, considering status of securing officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;

二　役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律（平成三年法律第七十七号）第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、金融商品取引業の信用を失墜させるおそれがあると認められること。

(ii) that the applicant for registration is found to be likely to cause a loss of confidence in a financial instruments business, on the grounds of having any officer or employee with qualities unfit for the operation of the business in light of such officer's or employee's career, relationship with the organized crime group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members (Act No. 77 of 1991) or relationship with the organized crime group members set forth item (vi) of that Article or any other circumstances;

三　競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。

(iii) that, if the applicant for registration intends to conduct business related to commodities investment pertaining to racehorses, such applicant for registration does not fall under the following:

イ　あらかじめ日本中央競馬会又は地方競馬全国協会による指導を受けていること。

(a) that the applicant for registration has been given guidance in advance by the Japan Racing Association or the National Association of Racing;

ロ　その行う商品投資関連業務が第七条第四号ニ（１）に掲げる権利に係る競走用馬投資関連業務又は同号ニ（２）に掲げる権利に係る競走用馬投資関連業務のいずれかのみに該当すること。

(b) that the business related to commodities investment to be conducted by the applicant for registration only falls under either the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 1. or the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2.;

ハ　第七条第四号ニ（２）に掲げる権利に係る競走用馬投資関連業務を行う場合には、競馬法第十三条第一項（同法第二十二条において準用する場合を含む。）の登録を受けていること。

(c) that, if the applicant for registration intends to conduct a business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2., such applicant for registration has obtained a registration under Article 13, paragraph (1) of the Horse Racing Act (including as applied mutatis mutandis pursuant to Article 22 of that Act);

四　不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。

(iv) that, if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, such applicant for registration does not fall under the following requirements:

イ　宅地又は建物の取引に関する専門的知識及び経験を有する役員又は使用人を次に掲げる部門にそれぞれ配置していること。

(a) that the applicant for registration has assigned its officers or employees having expert knowledge of and experience in transactions related to building lots or buildings to each of the following sections:

（１）　不動産信託受益権等売買等業務の統括に係る部門

1. the section in charge of supervising the business of transaction, etc. of beneficial interest in real property trust;

（２）　内部監査に係る部門

2. the section in charge of the internal audit;

（３）　法令等（法令、法令に基づく行政官庁の処分又は定款その他の規則をいう。第四十四条第一号イ、第四十九条第四号イ（３）、第百九十九条第七号及び第十三号イ、第二百条第六号、第二百八条の三十一第一項第八号イ、第二百二十条第七号ロ、第二百二十三条第十号、第二百三十二条の八第十号、第二百四十一条の二第四号、第二百四十六条第三号イ（１）、第三百二十八条第五号並びに第三百四十一条第五号において同じ。）を遵守させるための指導に関する業務に係る部門

3. the section in charge of the affairs related to instructions for ensuring compliance with the laws and regulations, etc. (meaning the laws and regulations, disposition of administrative agencies issued under the laws and regulations, or other rules such as the articles of incorporation; the same applies in Article 44, item (i), (a), Article 49, item (iv), (a), 3., Article 199, item (vii) and item (xiii) (a), Article 200, item (vi), Article 208-31, paragraph (1), item (viii), (a), Article 220, item (vii), (b), Article 223, item (x), Article 232-8, item (x), Article 241-2, item (iv), Article 246, item (iii), (a), 1., Article 328, item (v) and Article 341, item (v));

ロ　不動産信託受益権等売買等業務を行う役員又は使用人が、第八十五条第一項各号に掲げる事項について、顧客の知識、経験、財産の状況及び金融商品取引契約を締結する目的に照らして当該顧客に理解されるために必要な方法及び程度による説明をするために必要な宅地又は建物の取引に関する専門的知識及び経験を有していること。

(b) that the officers or the employees that are to conduct the business of transaction, etc. of beneficial interest in real property trust have sufficient expert knowledge of and experience in transactions of building lots or buildings which enable them to provide necessary explanations so that a customer is able to understand the matters specified in the items of Article 85, paragraph (1), in a manner and to the extent as may be required in light of the customer's knowledge, experience and conditions of property and in light of the purpose of the conclusion of a contract for financial instruments transaction;

五　不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。

(v) that, if the applicant for registration intends to conduct a specified investment management business related to real property, such applicant for registration does not fall under the requirements specified by the Commissioner of the Financial Services Agency.

（純財産額の算出）

(Calculation of Net Assets)

第十四条　法第二十九条の四第一項第五号ロ（法第三十一条第五項において準用する場合を含む。）の規定により算出する純財産額は、貸借対照表の資産の部に計上されるべき金額の合計額から負債の部に計上されるべき金額の合計額（次に掲げるものの金額の合計額を除く。）を控除して計算しなければならない。

Article 14 (1) The net assets to be calculated under Article 29-4, paragraph (1), item (v), (b) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) must be obtained by deducting the total amount to be inserted into the liabilities section of a balance sheet (excluding the total of the amounts set forth in the following items) from the total amount to be inserted into the assets section thereof:

一　金融商品取引責任準備金

(i) the financial instruments transaction liability reserve;

二　他に行っている事業に関し法令の規定により負債の部に計上することが義務付けられている引当金又は準備金のうち利益留保性の引当金又は準備金の性質を有するものがある場合には、当該引当金又は準備金

(ii) if, in connection with any other business conducted by the applicant for registration, such applicant has any allowance or reserve funds which are required to be inserted into the liabilities section under the laws and regulations and which may be characterized as retained earnings, such allowance or reserve funds.

２　前項の資産及び負債の評価は、計算を行う日において、一般に公正妥当と認められる企業会計の基準に従って評価した価額によらなければならない。

(2) The appraisal of assets and liabilities set forth in the preceding paragraph must be made based on the value appraised in accordance with corporate accounting standards generally accepted as fair and appropriate as of the date of such calculation.

３　前項の場合において、次の各号に掲げる場合に該当するときは、当該各号に定める金額を評価額とする。

(3) In the case referred to in the preceding paragraph and in the case of falling under any of the following items, the amount prescribed in each of the relevant items is treated as the appraisal value:

一　金銭債権又は市場価格のない債券について取立不能のおそれがある場合　取立不能見込額を控除した金額

(i) if any monetary claim, or bond certificate without a market price is likely to become uncollectible: the amount after the deduction of the estimate of the uncollectible amount;

二　市場価格のない株式についてその発行会社の資産状態が著しく悪化した場合　相当の減額をした金額

(ii) if, with regard to shares without a market price, the status of the assets of the company issuing such shares has deteriorated substantially: the amount after an appropriate reduction;

三　前二号以外の流動資産の時価が帳簿価額より著しく低い場合であって、その価額が帳簿価額まで回復することが困難と見られる場合　当該時価

(iii) if the market value of the current assets other than those specified in the preceding two items is substantially lower than the book value thereof, and if it is found that unlikely that such value will recover to the level of the book value: such market value;

四　第一号又は第二号以外の固定資産について償却不足があり、又は予測することのできない減損が生じた場合　償却不足額を控除し、又は相当の減額をした金額

(iv) if, with regard to the fixed assets other than those specified in item (i) or (ii), any underdepreciation or unpredictable impairment has arisen: the amount after deduction of the underdepreciation, or an amount after an appropriate reduction;

五　繰延資産について償却不足がある場合　償却不足額を控除した金額

(v) if any underdepreciation with regard to deferred assets has arisen: the amount after deduction of the underdepreciation.

（会社の財務及び業務の方針の決定に対して重要な影響を与えることが推測される事実）

(Facts Presumed to Have Material Influence on Decisions on a Company's Financial and Operational Policies)

第十五条　法第二十九条の四第二項（法第三十一条第五項において準用する場合を含む。）に規定する内閣府令で定める事実は、次に掲げる事実とする。

Article 15 The facts specified by Cabinet Office Order as referred to in Article 29-4, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) are as follows:

一　役員若しくは使用人である者又はこれらであった者であって会社の財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、当該会社の取締役若しくは執行役又はこれらに準ずる役職に就任していること。

(i) that any officer or employee, or person that has formerly held such positions and would have an influence on the decision on the company's financial policies and operational or business policies has assumed the position of the company's director, executive officer or any other position equivalent thereto;

二　会社に対して重要な融資を行っていること。

(ii) that any important loan has been extended to the company;

三　会社に対して重要な技術を提供していること。

(iii) that any important technology is furnished to the company;

四　会社との間に重要な営業上又は事業上の取引があること。

(iv) that there exist any important operational or business transactions with the company;

五　その他会社の財務及び営業又は事業の方針の決定に対して重要な影響を与えることができることが推測される事実が存在すること。

(v) that there exists any other fact implying a material influence on decisions on the company's financial policies and operational or business policies.

（保有の態様その他の事情を勘案して保有する議決権から除く議決権）

(Voting Rights Excluded from Voting Rights Held Considering the Manner of Holding or Other Circumstances)

第十五条の二　法第二十九条の四第二項（法第三十一条第五項において準用する場合を含む。）に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 15-2 The voting rights to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (2) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act) are as follows:

一　信託業（信託業法（平成十六年法律第百五十四号）第二条第一項に規定する信託業をいう。）を営む者が信託財産として保有する議決権（当該者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。）

(i) the voting rights held by a person engaged in the trust business (meaning the trust business defined in Article 2, paragraph (1) of the Trust Business Act (Act No. 154 of 2004)) as the trust property (excluding the voting rights regarding which that person has been granted the authority to exercise, or the authority to give instruction as to the exercise thereof);

二　法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式又は持分に係る議決権

(ii) the voting rights pertaining to the shares or equity owned by a corporation, if a person having the authority of representation for such corporation or a manager having the authority to act as an agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as an agent;

三　会社の役員又は従業員が当該会社の他の役員又は従業員と共同して当該会社の株式の取得（一定の計画に従い、個別の投資判断に基づかず、継続的に行われ、各役員又は従業員の一回当たりの拠出金額が百万円に満たないものに限る。）をした場合（当該会社が会社法（平成十七年法律第八十六号）第百五十六条第一項（同法第百六十五条第三項の規定により読み替えて適用する場合を含む。）の規定に基づき取得した株式以外の株式を取得したときは、金融商品取引業者に委託して行った場合に限る。）において当該取得をした会社の株式を信託された者が所有する当該会社の株式に係る議決権（当該信託された者が行使することができる権限又は行使について指図を行うことができる権限を有するものを除く。）

(iii) the voting rights pertaining to the company's shares owned by a person entrusted with such company's shares acquired (excluding the voting rights regarding which the person so entrusted has been granted the authority to exercise or the authority to give instruction as to the exercise thereof), if an officer or employee of the company has acquired the company's shares jointly with another officer or employee of the company (limited to the acquisition under a certain program wherein the shares are continuously acquired without depending on the individual's investment decisions, and in the amount to be contributed by each of the officers or employees on each occasion is less than one million yen) (in the case of acquisition of any share other than those acquired by the company pursuant to the provisions of Article 156, paragraph (1) of the Companies Act (Act No. 86 of 2005) (including as applied pursuant to the provisions of Article 165, paragraph (3) of that Act following the deemed replacement of terms), the above is limited to cases in which the acquisition was conducted based on an entrustment to a financial instruments business operator);

四　相続人が相続財産として所有する株式又は持分（当該相続人（共同相続の場合を除く。）が単純承認（単純承認をしたものとみなされる場合を含む。）若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。）に係る議決権

(iv) the voting rights pertaining to shares or equity owned by heirs as their inherited property (limited to the shares or equity owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including if an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the shares or equity which the coheirs of such inherited property have not yet divided);

五　有価証券関連業を行う者が有価証券の引受けに係る業務により所有する株式（当該株式の払込期日（有価証券の売出し又は特定投資家向け売付け勧誘等の場合にあっては、受渡期日）の翌日（当該者が法第二条第六項第三号に掲げるものを行う場合にあっては、同号に規定する行使しない新株予約権に係る新株予約権証券を取得した日から起算して五日（日曜日及び令第十四条の五に規定する休日の日数は、算入しない。）を経過した日）以後に所有するものを除く。）に係る議決権

(v) the voting rights pertaining to the shares owned by a person engaged in a securities-related business in the course of business pertaining to the underwriting of securities (excluding shares owned on or after the day immediately following the payment date for the shares (or on or after the day immediately following the delivery date for the shares, in cases of the secondary distribution of securities or solicitation for selling, etc. only for professional investors) (if the person in question implements the items listed in Article 2, paragraph (6), item (iii) of the Act, the day when five days (Sunday and the number of holidays defined in Article 14-5 of the Order do not be included in the five days) elapse from the day when the share option certificates pertaining to unexercised share options as defined in that item are acquired)); and

六　銀行等保有株式取得機構が保有する議決権

(vi) the voting rights held by the banks' shareholding purchase corporation.

（総資産の額等）

(Total Asset Value)

第十六条　法第二十九条の四第三項（法第三十一条第五項において準用する場合を含む。以下この条において同じ。）に規定する内閣府令で定める方法による資産の合計金額は、会社の最終の貸借対照表（当該会社の設立後最初の事業年度が終了していない場合にあっては、当該会社の成立の日における貸借対照表）による資産の合計金額とし、当該貸借対照表に係る事業年度終了の日（当該会社の設立後最初の事業年度が終了していない場合にあっては、当該会社の成立の日）後において会社法第百九十九条第一項に規定する募集株式の発行、新株予約権の行使による株式の交付、社債の発行、株式交換、合併、会社分割、事業の譲受け、事業の譲渡その他当該会社の資産に重要な変更があった場合には、これらによる総資産の額の変動を加え、又は除いた額とする。

Article 16 (1) The total amount of assets calculated in accordance with the means specified by Cabinet Office Order as referred to in Article 29-4, paragraph (3) of the Act (including as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Act; hereinafter the same applies in this Article) is the total amount of assets specified in the latest balance sheet of the company (or, if the first business year of the company after its incorporation is not completed, the balance sheet as of the day of the incorporation of the company), and if an issuance of shares for subscription provided in Article 199, paragraph (1) of the Companies Act, delivery of shares as a result of the exercise of share options, issuance of corporate bonds, share exchange, merger, company split, acquisition of business, transfer of business or any other material change in the company's assets occurs after the last day of the business year pertaining to the balance sheet (or, if the first business year of the company after its incorporation is not completed, after the day of the incorporation of the company), the amount after adding or deducting the changes in the total asset value as a result of these changes applies.

２　法第二十九条の四第三項に規定する内閣府令で定める資産は、金融商品取引業者の親会社（法第五十七条の二第八項に規定する親会社をいい、金融庁長官が指定するものに限る。）の子会社（法第二十九条の四第四項に規定する子会社をいい、金融庁長官が指定するものに限る。）に対する貸付金その他金融庁長官が定める資産とする。

(2) The assets to be specified by Cabinet Office Order as referred to in Article 29-4, paragraph (3) of the Act are loans from the parent company of a financial instruments business operator (meaning a parent company provided in Article 57-2, paragraph (8) of the Act, and limited to a company designated by the Commissioner of the Financial Services Agency) to its subsidiary company (meaning a subsidiary company provided in Article 29-4, paragraph (4) of the Act, and limited to a company designated by the Commissioner of the Financial Services Agency) and any other assets to be designated by the Commissioner of the Financial Services Agency.

３　法第二十九条の四第三項に規定する内閣府令で定めるところにより算出した額は、会社が会社法第四百三十五条第二項の規定により作成した最終の事業年度に係る計算書類及びその附属明細書に記載された前項に規定する資産の合計金額（当該会社の設立後最初の事業年度が終了していない場合にあっては、当該会社の成立時の貸借対照表に記載された同項に規定する資産の合計金額）とする。

(3) The amount to be calculated by the method specified by Cabinet Office Order as referred to in Article 29-4, paragraph (3) of the Act is the total amount of assets provided in the preceding paragraph, as stated in the financial statements and its annexed detailed statements pertaining to the final business year of the company prepared pursuant to Article 435, paragraph (2) of the Companies Act (or, if the first business year of the company after its incorporation is not completed, the total amount of assets provided in that paragraph as stated in the balance sheet as of the time of incorporation of the company).

（第一種少額電子募集取扱業者による商号等の公表）

(Publication of Trade Name and Other Information by Type-I Small-Amount Electronic Public Offering Service Provider)

第十六条の二　第一種少額電子募集取扱業者は、法第二十九条の四の二第八項の規定による公表をするときは、同項に規定する事項を、当該事項を閲覧しようとする者の使用に係る電子計算機の映像面において、当該者にとって見やすい箇所に明瞭かつ正確に表示されるようにしなければならない。

Article 16-2 (1) When a type-I small-amount electronic public offering service provider makes a publication under Article 29-4-2, paragraph (8) of the Act, it must make sure that the matters provided in that paragraph are clearly and accurately indicated, in an easily visible location for the person intending to inspect the matters, on the screen of a computer used by the person.

２　法第二十九条の四の二第八項に規定する内閣府令で定める事項は、次に掲げる事項とする。

(2) The matters specified by Cabinet Office Order as referred to in Article 29-4-2, paragraph (8) of the Act are as follows:

一　第一種少額電子募集取扱業者である旨

(i) the fact that the person is a type-I small-amount electronic public offering service provider;

二　加入している金融商品取引業協会の名称（第一種金融商品取引業（有価証券関連業に該当するものに限る。）を行う者を主要な協会員又は会員とするものに加入していない場合にあっては、その旨）

(ii) the name of the financial instruments firms association to which the person is a member (if the person is not a member of any financial instruments firms association with principal association members or members that are persons conducting type I financial instruments business (limited to the business which falls under the category of the securities-related businesses), to that effect);

三　投資者保護基金にその会員として加入しているか否かの別（会員として加入していない場合にあっては、顧客が当該第一種少額電子募集取扱業者に対して有する債権が法第七十九条の五十六第一項に規定する補償対象債権に該当しない旨を含む。）

(iii) whether the person is a member of any investor protection fund (if the person is not a member, including the fact that claims held by the customers against the type-I small-amount electronic public offering service provider are not eligible as claims subject to compensation provided in Article 79-56, paragraph (1) of the Act);

３　法第二十九条の四の二第八項に規定する内閣府令で定めるものは、第一種少額電子募集取扱業者の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて公衆の閲覧に供する方法とする。

(3) The means to be specified by Cabinet Office Order as referred to in Article 29-4-2, paragraph (8) of the Act are the means whereby the contents of information recorded into the files stored on the computer used by a type-I small-amount electronic public offering service provider are made available for public inspection via a telecommunications line.

（発行価額の総額及び有価証券を取得する者が払い込む額の算定の方法）

(Total Issue Value and Method of Calculation of Amount to Be Paid by Persons Acquiring Securities)

第十六条の三　令第十五条の十の三第一号に規定する内閣府令で定める方法は、募集又は私募に係る有価証券の発行価額の総額（当該有価証券が新株予約権証券である場合には、当該新株予約権証券の発行価額の総額に当該新株予約権証券に係る新株予約権の行使に際して払い込むべき金額の合計額を合算した金額。以下この項において同じ。）に、当該有価証券の募集又は私募を開始する日前一年以内に同一の発行者により行われた募集又は私募及び当該有価証券の募集又は私募と申込期間（第七十条の二第二項第四号に規定する申込期間をいう。）の重複する同一の発行者により行われる募集又は私募に係る当該有価証券と同一の種類（法第二条第一項第九号に掲げる有価証券であるか同条第二項の規定により有価証券とみなされる同項第五号又は第六号に掲げる権利であるかの別をいう。次項において同じ。）の有価証券の発行価額の総額を合算する方法とする。

Article 16-3 (1) The method specified by Cabinet Office Order as referred to in Article 15-10-3, item (i) of the Order means the method of adding up the total issue value of the securities subject to public offering or private placement (if the securities are share option certificates, this refers to the sum of the total issue value of the share option certificates and the total amount to be paid upon the exercise of the share options pertaining to the share option certificates; hereinafter the same applies in this paragraph) and the total issue value of the securities of the same type (meaning the difference as to whether the securities fall under the category of the securities specified in Article 2, paragraph (1), item (ix) of the Act or the rights specified in item (v) or (vi) of that paragraph which are deemed as securities pursuant to paragraph (2) of that Article; the same applies in the following paragraph) as the securities subject to the public offering or private placement to be implemented by the same issuer for the same subscription period (meaning the subscription period provided in Article 70-2, paragraph (2), item (iv)) subject to the public offering or private placement of the securities as the public offering or private placement implemented by the same issuer within one year before the day of the commencement of the public offering or private placement of the securities.

２　令第十五条の十の三第二号に規定する内閣府令で定める方法は、募集又は私募に係る有価証券に対する個別払込額（有価証券を取得する者がそれぞれ払い込む額をいい、当該有価証券が新株予約権証券である場合には、当該額に当該新株予約権証券に係る新株予約権の行使に際して払い込むべき金額を合算した金額とする。以下この項において同じ。）に、当該有価証券の募集又は私募に係る払込みが行われた日前一年以内に応募又は払込みを行った同一の発行者による当該有価証券と同一の種類の有価証券の募集又は私募に係る個別払込額を合算する方法とする。

(2) The method specified by Cabinet Office Order as referred to in Article 15-10-3, item (ii) of the Order means the method of adding up an individual payment amount (meaning the respective amounts to be paid by persons acquiring the securities; and if the securities are share option certificates, this refers to the sum of such amount and the amount to be paid upon the exercise of the share options pertaining to the share option certificates; hereinafter the same applies in this paragraph) for the securities subject to public offering or private placement and the individual payment amount for the public offering or private placement of the securities of the same type as the securities issued by a same issuer subscribed for or paid within a year before the day of the payment for the public offering or private placement for the securities.

（第二種少額電子募集取扱業者による商号等の公表）

(Publication of Trade Name and Other Information by Type-II Small-Amount Electronic Public Offering Service Provider)

第十六条の四　第二種少額電子募集取扱業者は、法第二十九条の四の三第三項の規定による公表をするときは、同項に規定する事項を、当該事項を閲覧しようとする者の使用に係る電子計算機の映像面において、当該者にとって見やすい箇所に明瞭かつ正確に表示されるようにしなければならない。

Article 16-4 (1) When a type-II small-amount electronic public offering service provider makes a publication under Article 29-4-3, paragraph (3) of the Act, it must make sure that the matters provided in that paragraph are clearly and accurately indicated, in an easily visible location for the person intending to inspect the matters, on the screen of a computer used by the person.

２　法第二十九条の四の三第三項に規定する内閣府令で定める事項は、次に掲げる事項とする。

(2) The matters specified by Cabinet Office Order as referred to in Article 29-4-3, paragraph (3) of the Act are as follows:

一　第二種少額電子募集取扱業者である旨

(i) the fact that the person is a type-II small-amount electronic public offering service provider; and

二　加入している金融商品取引業協会の名称（第二種金融商品取引業（有価証券関連業に該当するものに限る。）を行う者を主要な協会員又は会員とするものに加入していない場合にあっては、その旨）

(ii) the name of the financial instruments firms association to which the person is a member (if the person is not a member of any financial instruments firms association with principal association members or members that are persons conducting type II financial instruments business (limited to the business which falls under the category of the securities-related businesses), to that effect).

３　法第二十九条の四の三第三項に規定する内閣府令で定めるものは、第二種少額電子募集取扱業者の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて公衆の閲覧に供する方法とする。

(3) The means to be specified by Cabinet Office Order as referred to in Article 29-4-3, paragraph (3) of the Act are the means whereby the contents of information recorded into the files stored on the computer used by a type-II small-amount electronic public offering service provider available for public inspection via telecommunications line.

（適格投資家向け投資運用業を行う金融商品取引業者が行う取得勧誘に係る有価証券の譲渡に係る契約の内容）

(Content of Contracts for the Transfer of Securities Related to Solicitation for Acquisition by Financial Instruments Business Operators That Engage in Investment Management Business for Qualified Investors)

第十六条の五　令第十五条の十の六に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 16-5 The matters provided for by Cabinet Office Order as defined in Article 15-10-6 of the Order are the following matters:

一　当該取得しようとする者が当該取得勧誘（法第二条第三項に規定する取得勧誘をいう。次号において同じ。）に応じて取得した当該有価証券を適格投資家以外の者に譲渡しないこと。

(i) the person that seeks to acquire the securities does not transfer the securities that were acquired in response to the solicitation for acquisition (meaning the solicitation for acquisition defined in Article 2, paragraph (3) of the Act; the same applies in the following item) to persons other than qualified investors; and

二　当該取得しようとする者が当該取得勧誘に応じて取得した当該有価証券を譲渡する場合には、その相手方に対し、当該有価証券の売付け勧誘等（法第二条第四項に規定する売付け勧誘等をいう。以下この号において同じ。）を行う者と当該売付け勧誘等に応じて当該有価証券の買付けを行おうとする者との間において、当該買付けを行おうとする者が買い付けた当該有価証券を適格投資家以外の者に譲渡を行わない旨を定めた譲渡に係る契約を締結することが買付けの条件とされていることを告知すべきこと。

(ii) if the person that seeks to acquire the securities transfers the securities acquired in response to the solicitation for acquisition, it should be notified to the other party that it is a condition for purchase between a person that implements the solicitation for selling, etc. of the securities (meaning the solicitation for selling, etc. defined in Article 2, paragraph (4) of the Act; hereinafter the same applies in this item) and a person that intends to purchase the securities in response to the solicitation for selling, etc., to conclude a contract pertaining the transfer for which it is stipulated that the person that intends to purchase does not transfer the purchased securities to a person other than qualified investors.

（金融商品取引業者と密接な関係を有する者）

(Persons in Close Relationship with Financial Instruments Business Operators)

第十六条の五の二　令第十五条の十の七第四号に規定する内閣府令で定める者は、次に掲げる者とする。

Article 16-5-2 The persons to be specified by Cabinet Office Order as referred to in Article 15-10-7, item (iv) of the Order are the persons specified in the following:

一　当該金融商品取引業者の子会社等（令第十五条の十六第三項に規定する子会社等をいう。以下この号、第三十三条第二項、第三十四条、第百二十三条第一項第三十号、第十一項第三号及び第十二項、第百二十五条の七第二項第二号並びに第六節において同じ。）又は当該金融商品取引業者の親会社等（令第十五条の十六第三項に規定する親会社等をいう。第百二十三条第十一項第三号及び第十二項、第百二十五条の七第二項第二号並びに第六節において同じ。）の子会社等

(i) a subsidiary company, etc. (meaning a subsidiary company, etc. provided in Article 15-16, paragraph (3) of the Order; hereinafter the same applies in this item, Article 33, paragraph (2), Article 34, Article 123, paragraph (1), item (xxx), paragraph (11), item (iii), and paragraph (12), Article 125-7, paragraph (2), item (ii) and Section 6) of the financial instruments business operator, or a subsidiary company, etc. of the parent company, etc. (meaning a parent company, etc. provided in Article 15-16, paragraph (3) of the Order; the same applies in Article 123, paragraph (11), item (iii), and paragraph (12), Article 125-7, paragraph (2), item (ii) and Section 6) of the financial instruments business operator;

二　当該金融商品取引業者が行う一の運用財産の運用に係る権限の全部又は一部の委託を受けた者

(ii) a person that has received an entrustment of all or part of the authority for the investment of a set of investment property to be conducted by the financial instruments business operator;

三　当該金融商品取引業者が一の運用財産の運用として行うこととなる取引の対象となるもの（以下この号において「取引対象」という。）の価値等（取引対象の価値、オプションの対価の額又は取引対象に係る指標の動向をいう。以下この号において同じ。）若しくは価値等の分析に基づく投資判断（投資の対象となるものの種類、数及び価格並びに売買の別、方法及び時期についての判断又は行うべき取引の内容及び時期についての判断をいう。）に関し、口頭、文書（新聞、雑誌、書籍その他不特定多数の者に販売することを目的として発行されるもので、不特定多数の者により随時に購入可能なものを除く。）その他の方法により助言を行うことを約し、当該金融商品取引業者がそれに対し報酬を支払うことを約する契約を当該金融商品取引業者と締結している者又は当該投資判断に関し、当該方法により助言を行うことを約し、当該者がそれに対し報酬を支払うことを約する契約を当該者と締結している者

(iii) a person that has concluded a contract with the financial instruments business operator in which the party promises to provide the financial instruments business operator with oral, written (excluding newspapers, magazines, books, or any other written work that is issued for sale to many and unspecified persons and which many and unspecified persons can buy as needed) or any other form of advice on the value, etc. of assets for transaction (hereinafter referred to as "transaction assets" in this item) ("value, etc." means the value of transaction assets, amount of consideration for options or trends in indicators relating to the transaction assets; hereinafter the same applies in this item) to be conducted by the financial instruments business operator as an investment of a set of investment property or investment decisions based on the analysis of the value, etc. (meaning decisions as to the types, quantities and prices of assets for investment, whether the type of transaction is purchase or sale, the methods and timing of the transactions or decisions on the details and timing of the transactions to be conducted), and the financial instruments business operator promises to pay remuneration for this, or a person that has concluded a contract with the person in which such person promises to provide the other party with advice on investment decisions by these methods and the other party promises to pay remuneration for this;

四　令第十五条の十の七第三号及び前三号に掲げる者の役員又は使用人

(iv) an officer or employee of the person specified in Article 15-10-7, item (iii) of the Order and the preceding three items; and

五　令第十五条の十の七第一号及び第二号並びに前三号に掲げる者の親族（配偶者並びに三親等以内の血族及び姻族に限る。）

(v) a relative of the person specified in Article 15-10-7, items (i) and (ii) of the Order and the preceding three items (limited to a spouse and a relative by blood or by affinity within the third degree).

（特定投資家に準ずる者）

(Persons Equivalent to Professional Investors)

第十六条の六　法第二十九条の五第三項に規定する内閣府令で定める者は、次に掲げる者とする。

Article 16-6 The persons provided for by Cabinet Office Order defined in Article 29-5, paragraph (3) of the Act are the following persons:

一　令第十七条の十二第一項第三号から第五号まで、第八号、第九号、第十二号、第十四号又は第十五号に掲げる者

(i) a person specified in Article 17-12, paragraph (1), items (iii) through (v), item (viii), item (ix), item (xii), item (xiv) or item (xv) of the Order; and

二　その取得する出資対象事業持分（法第二条第二項第五号又は第六号に掲げる権利をいう。以下同じ。）に係る私募又は私募の取扱いの相手方であって、第二百三十三条の三各号に掲げる者

(ii) a counterparty to the private placement or handling of private placement of equity in invested business to be acquired (meaning the right specified in Article 2, paragraph (2), item (v) or (vi) of the Act; the same applies hereinafter) which is specified in the items of Article 233-3.

（適格投資家から除かれる者）

(Persons Excluded as Qualified Investors)

第十六条の七　法第二十九条の五第四項第三号に規定する内閣府令で定める者は、その発行する法第二条第一項第五号、第九号若しくは第十五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（同項第五号、第九号又は第十五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三号若しくは第四号に掲げる権利（その取得の対価の額を超えて財産の給付を受けることがないことを内容とする権利を除く。）を適格投資家以外の者が取得している特別目的会社（第三十三条第二項に規定する特別目的会社をいう。）とする。

Article 16-7 The person provided for by Cabinet Office Order defined in Article 29-5, paragraph (4), item (iii) of the Act is a special purpose company (meaning a special purpose company as defined in Article 33, paragraph (2)), for which a person other than qualified investors has acquired the right indicated on securities, which are issued by the person listed in Article 2, paragraph (1) items (v), (ix), or (xv) of the Act or securities listed n item (xvii) of that paragraph (limited to those that have the nature of securities listed in items (v), (ix), or (xv) of that paragraph) or the right listed in paragraph (2), item (iii) or item (iv) of that Article (excluding the right with which the delivery of the property cannot be received over the amount receivable of the acquisition).

（認可に係る業務の内容及び方法）

(Contents and Method of Business to be Authorized)

第十七条　法第三十条の三第二項に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 17 The matters to be specified by Cabinet Office Order as referred to in Article 30-3, paragraph (2) of the Act are as follows:

一　私設取引システム運営業務において行う取引の種類

(i) the types of transactions to be conducted under the proprietary trading system operation;

二　私設取引システム運営業務を管理する責任者の氏名及び役職名

(ii) the name and job title of the person responsible for the management of the proprietary trading system operation;

三　私設取引システム運営業務を行う部署（私設取引システム運営業務の一部を他の者に委託する場合にあっては、その者を含む。）の名称及び組織の体制

(iii) the name and organizational structure of the section in charge of the proprietary trading system operation (if a part of the proprietary trading system operation is to be entrusted to any other person, including such person);

四　私設取引システム運営業務において取り扱う有価証券の種類、銘柄及び取引の最低単位

(iv) the types, issues and minimum transaction units of the securities to be handled under the proprietary trading system operation;

五　私設取引システム運営業務に係る顧客との取引開始基準及び顧客の管理方法

(v) the conditions for starting transactions with customers pertaining to the proprietary trading system operation, and the methods of management of customers;

六　売買価格の決定方法

(vi) the method for deciding the trading price;

七　気配、売買価格その他の価格情報の公表方法

(vii) the method of publication of the price information such as quotes, trading price and others;

八　私設取引システム運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法

(viii) the outline, location, volume and maintenance method of the electronic data processing system to be used for the proprietary trading system operation, and the method of handling cases in which a malfunction of the electronic data processing system occurs;

九　私設取引システム運営業務に係る有価証券の受渡しその他の決済の方法及び顧客の契約不履行が生じた場合の対処方法

(ix) the method of transfer or other settlement procedures for the securities related to the proprietary trading system operation, and the method of handling if a customer defaults on a contract;

十　顧客である金融商品取引業者における有価証券の売買の受託についての信用の供与に関する事項

(x) the particulars of the granting of credit with regard to entrustment for a purchase and sale of securities by a financial instruments business operator which is a customer;

十一　私設取引システム運営業務に係る取引記録の作成及び保存の方法

(xi) the method for the preparation and preservation of the transaction records for the proprietary trading system operation;

十二　私設取引システム運営業務の執行状況について、検査を行う頻度、部署の名称及び体制

(xii) the frequency of the inspection on the status of the execution of the proprietary trading system operation, and the name and structure of the section in charge of such inspection; and

十三　その他私設取引システム運営業務に係る損失の危険の管理又は取引の公正の確保に関する重要な事項

(xiii) any other important matter related to the risk management concerning loss or to assurance of fairness of the transactions, in regard to the proprietary trading system operation.

（認可申請書の添付書類）

(Documents to Be Attached to Written Application for Authorization)

第十八条　法第三十条の三第二項に規定する内閣府令で定める書類は、次に掲げる書類とする。

Article 18 The documents to be specified by Cabinet Office Order as referred to in Article 30-3, paragraph (2) of the Act are as follows:

一　私設取引システム運営業務を管理する責任者の履歴書

(i) the resume of a person responsible for the management of the proprietary trading system operation;

二　私設取引システム運営業務に関する社内規則

(ii) the internal rules regarding the proprietary trading system operation;

三　私設取引システム運営業務に関し顧客と取引を行う際に使用する契約書類

(iii) the contracts to be used for transactions with customers, in connection with the proprietary trading system operation; and

四　前条第八号に掲げるものに関する認可申請者と特別の利害関係のない者の評価書

(iv) the appraisal statement on matters specified in item (viii) of the preceding Article, which is prepared by a person having no special interest in the authorization applicant.

（審査等の対象となる業務の内容及び方法）

(Contents and Method of Business to Be Examined)

第十九条　法第三十条の四第五号及び第三十一条第六項に規定する内閣府令で定める業務の内容及び方法は、次に掲げるものとする。

Article 19 The contents and method of business to be specified by Cabinet Office Order as referred to in Article 30-4, item (v) and Article 31, paragraph (6) of the Act are as follows:

一　第十七条第五号、第八号、第十号及び第十一号に掲げるもの

(i) the matters specified in Article 17, items (v), (viii), (x), and (xi); and

二　その他私設取引システム運営業務に係る取引の公正の確保に関する重要な事項

(ii) any other important matters related to the assurance of the fairness of transactions to be conducted under the proprietary trading system operation.

（登録申請書記載事項の変更の届出）

(Notification of Change to Matters Specified in Written Application for Registration)

第二十条　法第三十一条第一項の規定により届出を行う金融商品取引業者は、変更の内容、変更年月日及び変更の理由を記載した届出書に、別紙様式第一号により作成した変更後の内容を記載した書面及び当該書面の写し並びに次の各号に掲げる場合の区分に応じ当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。ただし、やむを得ない事由があるときは、当該各号に定める書類は、当該届出書の提出後遅滞なく提出すれば足りる。

Article 20 (1) A financial instruments business operator which intends to file the notification under Article 31, paragraph (1) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written notification stating the particulars and date of and reason for the change, attaching a document stating the particulars after such change prepared in accordance with Appended Form No. 1, a copy thereof and the documents specified in the following items in accordance with the categories of the cases respectively set forth therein; provided, however, that the documents specified in each of the following items may be filed without delay after submission of the notification, if any unavoidable ground exists:

一　法第二十九条の二第一項第一号に掲げる事項について変更があった場合　次に掲げる書類

(i) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (i) of the Act: the following documents:

イ　当該変更に係る事項を記載した登記事項証明書（個人であるときは、住民票の抄本）又はこれに代わる書面

(a) a certificate of registered information (in cases of an individual, an extract of residence certificate) stating the matters relating to the change or a document in lieu thereof; and

ロ　婚姻前の氏名を、氏名に併せて別紙様式第一号により作成した変更後の内容を記載した書面に記載した場合において、イに掲げる書類が当該婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(b) if the name that was used before marriage is stated together with the current name in a document setting forth the matters after the change prepared using Appended Form 1, and the document specified in (a) is not a document certifying the name used before marriage, a document certifying the name before marriage;

二　法第二十九条の二第一項第二号に掲げる事項について変更があった場合　当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面

(ii) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (ii) of the Act: the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;

三　法第二十九条の二第一項第三号又は第四号に掲げる事項について変更があった場合　次に掲げる書類

(iii) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (iii) or (iv) of the Act: the following documents:

イ　業務に係る人的構成及び組織等の業務執行体制を記載した書面

(a) a document stating the systems for business execution, such as the structure of personnel and the organization pertaining to the business;

ロ　役員に変更があった場合には、当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面

(b) if there has been any change to officers, the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;

ハ　新たに役員又は重要な使用人となった者に係る次に掲げる書類

(c) the following documents in relation to a person that has newly assumed the position of officer or major employee:

（１）　履歴書（役員が法人であるときは、当該役員の沿革を記載した書面）

1. the resumes (if the officer is a corporation, the document containing the background of the officer);

（２）　住民票の抄本（役員が法人であるときは、当該役員の登記事項証明書）又はこれに代わる書面

2. the extracts of the certificates of residence (if the officer is a corporation, the certificate of the registered matters of the officer), or any other document in lieu thereof;

（３）　婚姻前の氏名を、氏名に併せて別紙様式第一号により作成した変更後の内容を記載した書面に記載した場合において、（２）に掲げる書類が当該婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

3. if the name that was used before marriage is stated together with the current name in a document setting forth the matters after the change prepared using Appended Form 1, and the document specified in 2. is not a document certifying the name used before marriage, a document certifying the name before marriage;

（４）　法第二十九条の四第一項第二号イ及びロに該当しない旨の官公署の証明書又はこれに代わる書面

4. the certificate issued by public agency evidencing that none of the officers or employees falls under Article 29-4, paragraph (1), item (ii), (a) or (b) of the Act, or any other document in lieu thereof;

（５）　法第二十九条の四第一項第二号ハからリまでのいずれにも該当しない者であることを当該役員又は重要な使用人が誓約する書面

5. the documents in which each of the officers and major employees pledges that they do not fall under any of Article 29-4, paragraph (1), item (ii), (c) through (i) of the Act;

四　法第二十九条の二第一項第八号に掲げる事項について変更があった場合（営業所又は事務所の廃止をした場合に限る。）　当該変更に伴う顧客勘定の処理の内容を記載した書面

(iv) if there has been any change to the matters specified in Article 29-2, paragraph (1), item (viii) of the Act (but only if the business office or other office has been abolished): a document containing the details of the treatment of a customer's account incidental to such change;

五　第七条第三号の二に掲げる事項について変更があった場合（電子取引基盤運営業務を行うこととなった場合に限る。）　次に掲げる書類

(v) in the case of any change in the matters specified in Article 7, item (iii)-2 (but only if the applicant is to conduct an electronic trading platform management service), the following documents:

イ　電子取引基盤運営業務を管理する責任者の履歴書

(a) the resume of the person responsible for the management of the electronic trading platform management service;

ロ　電子取引基盤運営業務に関する社内規則

(b) the internal rules concerning the electronic trading platform management service;

ハ　電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類

(c) contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and

ニ　第八条第六号トに掲げるものに関する届出者と特別の利害関係のない者の評価書

(d) an appraisal report issued by a person having no special interest relationship with the notifying person in relation to the matters specified in Article 8, item (vi), (g);

六　第七条第四号ニに掲げる事項について変更があった場合（競走用馬投資関連業務を行うこととなった場合に限る。）　第十三条第三号に掲げる基準に該当しないことを証する書面

(vi) if there has been any change to the matters specified in Article 7, item (iv), (d) (but only if the financial instruments business operator has come to be engaged in the business related to investment in racehorses): a document evidencing that it does not fall under the criteria specified in Article 13, item (iii);

七　第七条第六号に掲げる事項について変更があった場合（不動産信託受益権等売買等業務を行うこととなった場合に限る。）　第十三条第四号に掲げる基準に該当しないことを証する書面

(vii) if there has been any change to the matters specified in Article 7, item (vi) (but only if the financial instruments business operator has come to be engaged in the business of transaction, etc. of beneficial interest in real property trust): a document evidencing that it does not fall under the criteria specified in Article 13, item (iv);

八　第七条第七号に掲げる事項について変更があった場合（不動産関連特定投資運用業を行うこととなった場合に限る。）　不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(viii) if there has been any change to the matters specified in Article 7, item (vii) (but only if the financial instruments business operator has come to be engaged in the specified investment management business related to real property): a document containing the matters related to the ability to execute the business in cases of conducting the specified investment management business related to real property;

九　第七条第十号に掲げる事項について変更があった場合新たに国内における代理人となった者に係る次に掲げる書類

(ix) in the case of any change in the matters specified in Article 7, item (x), the following documents relating to the person that newly assumed the position of the agent in Japan:

イ　住民票の抄本（国内における代理人が法人であるときは、当該国内における代理人の登記事項証明書）又はこれに代わる書面

(a) an extract copy of the certificate of residence (or, if the agent in Japan is a corporation, a certificate of registered information of the agent in Japan), or a document in lieu thereof; and

ロ　婚姻前の氏名を、氏名に併せて別紙様式第一号により作成した変更後の内容を記載した書面に記載した場合において、イに掲げる書類が当該婚姻前の氏名を証するものでないときは、当該婚姻前の氏名を証する書面

(b) if the name that was used before marriage is stated together with the current name in a document setting forth the matters after the change prepared using Appended Form 1, and the document specified in (a) is not a document certifying the name used before marriage, a document certifying the name before marriage.

２　所管金融庁長官等は、金融商品取引業者から管轄財務局長等の管轄する区域を超えて本店等の所在地を変更したことの届出を受理した場合には、届出書及び金融商品取引業者登録簿のうち当該金融商品取引業者に係る部分その他の書類を、当該届出に係る変更後の本店等の所在地を管轄する財務局長（当該所在地が福岡財務支局の管轄区域内にある場合にあっては福岡財務支局長、国内に営業所又は事務所を有しない場合にあっては関東財務局長）に送付し、又は送付させるものとする。

(2) If the Commissioner of Financial Services Agency or other competent official has received from any financial instruments business operator a notification on the relocation of the head office, etc. filed beyond the jurisdictional district of the competent finance bureau commissioner, etc., the commissioner or official is to send or instruct to send the written notification, the portion of the registry of financial instruments business operators pertaining to the financial instruments business operator and any other documents to the director-general of a local finance bureau with jurisdiction over the relocated address of the head office, etc. notified thereunder (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the director-general thereof; or if the financial instruments business operator has no business office or other office in Japan, to the director-general of the Kanto Finance Bureau).

３　前項の規定による書類の送付を受けた財務局長又は福岡財務支局長は、当該金融商品取引業者に係る事項を金融商品取引業者登録簿に登録するものとする。

(3) The director-general of a local finance bureau or the Director-General of the Fukuoka Local Finance Branch Bureau who has received the documents sent pursuant to the provisions of the preceding paragraph is to register the matters related to the financial instruments business operator in the registry of financial instruments business operators.

（業務の内容又は方法の変更の届出）

(Notification on Change of Contents or Method of Business)

第二十一条　法第三十一条第三項の規定により届出を行う金融商品取引業者は、変更の内容、変更年月日及び変更の理由を記載した届出書に、第八条各号に掲げるもの（内容に変更のあるものに限る。）を記載した書類、第九条第八号ハに掲げる書類（内容に変更のあるものに限る。）及び前条第一項第五号に定める書類（内容に変更のあるものに限る。）を添付して、所管金融庁長官等に提出しなければならない。

Article 21 A financial instruments business operator which intends to file the notification under Article 31, paragraph (3) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written notification stating the particulars and date of and reason for the change, attaching a document stating the matters specified in the items of Article 8 (limited to those matters whose details have been changed), the documents specified in Article 9, item (viii), (a) (limited to those with changes in contents) and the documents provided in Article 20, paragraph (1), item (v) (limited to those with changes in contents).

（変更登録の申請）

(Applying for Registration of Changes)

第二十二条　法第三十一条第四項の変更登録を受けようとする金融商品取引業者は、別紙様式第一号により作成した変更登録申請書に、当該変更登録申請書の写しを添付して、所管金融庁長官等に提出しなければならない。

Article 22 (1) A financial instruments business operator which intends to obtain the registration of a change under Article 31, paragraph (4) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written application for a registration of change prepared in accordance with Appended Form No. 1, attaching a copy thereof.

２　前項の変更登録申請書には、変更の内容及び理由を記載した書面並びに次に掲げる書類（新たに行おうとする業務（電子募集取扱業務及び高速取引行為を含む。）に係るものに限る。）を添付しなければならない。

(2) A document stating the particulars of and reason for the change as well as the following documents (limited to the documents pertaining to the business to be newly conducted (including electronic public offering services and high-speed trading)) must be attached to a written application for a registration of change set forth in the preceding paragraph:

一　法第二十九条の四第一項各号（第一号から第三号まで、第四号ニ、第五号ハ及び第七号（法第六十六条の五十三第六号ハに係る部分に限る。）を除く。）のいずれにも該当しないことを誓約する書面

(i) a document in which the financial instruments business operator pledges that it does not fall under any of the items of Article 29-4, paragraph (1) of the Act (excluding items (i) through (iii), item (iv), (d), item (v), (c) and item (vii) (limited to the part pertaining to Article 66-53, item (vi), (c) of the Act);

二　第八条各号に掲げるものを記載した書類

(ii) a document stating the matters specified in the items of Article 8; and

三　第九条各号及び第十条第一項各号に掲げる書類

(iii) a document as specified in the items of Article 9 and the items of Article 10, paragraph (1).

３　第十条第二項の規定は、前項第三号に掲げる書類（同条第一項第一号に掲げるものに限る。）を添付する場合について準用する。

(3) The provisions of Article 10, paragraph (2) apply mutatis mutandis if any of the documents specified in item (iii) of the preceding paragraph (limited to those specified in item (i), paragraph (1) of that Article) is to be attached.

（変更の認可の申請）

(Application for Authorization of Change)

第二十三条　法第三十一条第六項の認可を受けようとする金融商品取引業者は、次に掲げる事項を記載した認可申請書を所管金融庁長官等に提出しなければならない。

Article 23 (1) A financial instruments business operator which intends to obtain the authorization under Article 31, paragraph (6) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written application for authorization stating the following particulars:

一　商号

(i) the trade name;

二　登録年月日及び登録番号

(ii) the registration date and registration number; and

三　変更の内容及び理由

(iii) the particulars and reasons for change.

２　前項の認可申請書には、第十七条各号に掲げるもの（内容に変更のあるものに限る。）を記載した書類及び第十八条各号に掲げる書類（内容に変更のあるものに限る。）を添付しなければならない。

(2) The document stating the matters specified in the items of Article 17 (limited to the those matters whose details have been changed) and the documents specified in the items of Article 18 (limited to those matters whose details have been changed) must be attached to a written application for authorization set forth in the preceding paragraph.

（変更の認可の基準）

(Criteria for Authorization of Change)

第二十四条　所管金融庁長官等は、法第三十一条第六項の認可をしようとするときは、法第三十条の四第一号及び第五号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。

Article 24 When the Commissioner of Financial Services Agency or other competent official intends to grant the authorization under Article 31, paragraph (6) of the Act, the commissioner or official must examine whether the applicant complies with the criteria specified in Article 30-4, item (i) or (v) of the Act.

（営業保証金の供託の届出等）

(Notification of Deposit for Operations)

第二十五条　法第三十一条の二第一項、第四項又は第八項の規定により供託をした者は、別紙様式第二号により作成した供託届出書に、当該供託に係る供託書正本を添付して、所管金融庁長官等に提出しなければならない。

Article 25 (1) A person that has completed making a deposit pursuant to the provisions of Article 31-2, paragraph (1), (4) or (8) of the Act must submit to the Commissioner of the Financial Services Agency or other competent official, a written notification of deposit prepared in accordance with Appended Form No. 2, attaching the original of the certificate of deposit relevant to such deposit.

２　金融商品取引業者（第二種金融商品取引業を行う個人及び投資助言・代理業のみを行う者に限る。第二十七条及び第二十八条において同じ。）が既に供託している供託物の差替えを行う場合は、差替えのために新たに供託をした後、その旨を記載した届出書に、差替え後の供託に係る供託書正本を添付して、所管金融庁長官等に提出しなければならない。

(2) If a financial instruments business operator (limited to an individual engaged in a type-II financial instruments business or a person engaged only in an investment advisory and agency business; the same applies in Article 27 and Article 28) intends to replace the items already deposited, such financial instruments business operator must, after having completed the new deposit of the replacement items, submit to the Commissioner of Financial Services Agency or other competent official a written notification stating to that effect, attaching the original of the certificate of deposit relevant to the replacement deposit.

３　所管金融庁長官等は、前二項の供託書正本を受理したときは、保管証書をその供託者に交付しなければならない。

(3) When the Commissioner of Financial Services Agency or other competent official receives the original copy of the deposit certificate set forth in the preceding two paragraphs, the commissioner or official must deliver a custody certificate to the depositor.

（営業保証金に代わる契約の相手方）

(Counterparties to Contracts in Lieu of Deposits for Operation)

第二十六条　令第十五条の十三に規定する内閣府令で定める金融機関は、協同組織金融機関及び株式会社商工組合中央金庫とする。

Article 26 The financial institutions to be specified by Cabinet Office Order as referred to in Article 15-13 of the Order are a cooperative structured financial Institution and the Shoko Chukin Bank Limited.

（営業保証金に代わる契約の締結の届出等）

(Notification of Conclusion of Contracts in Lieu of Deposits for Operation)

第二十七条　金融商品取引業者は、法第三十一条の二第三項の契約を締結したときは、別紙様式第三号により作成した保証契約締結届出書に契約書の写しを添付して所管金融庁長官等に届け出るとともに、契約書正本を提示しなければならない。

Article 27 (1) When any financial instruments business operator concludes a contract under Article 31-2, paragraph (3) of the Act, it must submit to the Commissioner of Financial Services Agency or other competent official a written notification of the conclusion of a guarantee contract prepared in accordance with Appended Form No. 3 with a copy of the contract attached thereto, and must present the original of the contract.

２　金融商品取引業者は、営業保証金に代わる契約の変更又は解除を行おうとする場合は、別紙様式第四号により作成した保証契約変更承認申請書又は別紙様式第五号により作成した保証契約解除承認申請書により、所管金融庁長官等に承認を申請しなければならない。

(2) When a financial instruments business operator intends to effect any change or cancellation of a contract in lieu of deposit for operation, it must file an application for approval thereon with the Commissioner of Financial Services Agency or other competent official by submitting a written application for approval of change of guarantee contract prepared in accordance with Appended Form No. 4 or a written application for approval of cancellation of guarantee contract prepared in accordance with Appended Form No. 5.

３　所管金融庁長官等は、前項の規定による承認の申請があったときは、当該承認の申請をした金融商品取引業者が営業保証金に代わる契約を変更し、又は解除することが投資者の保護に欠けるおそれがないものであるかどうかを審査するものとする。

(3) When an application for approval under the preceding paragraph is filed, the Commissioner of Financial Services Agency or other competent official is to examine whether the change or cancellation of the contract in lieu of deposit for operation by the financial instruments business operator which has filed the application for approval does not threaten to hider the protection of the investors.

４　金融商品取引業者は、所管金融庁長官等の承認に基づき営業保証金に代わる契約の変更又は解除をしたときは、別紙様式第六号により作成した保証契約変更届出書に変更後の契約書の写しを添付し、又は別紙様式第七号により作成した保証契約解除届出書に契約を解除した事実を証する書面を添付して当該所管金融庁長官等に届け出るとともに、契約の変更の場合には、変更後の契約書正本を提示しなければならない。

(4) When a financial instruments business operator effects any change or cancellation of the contract in lieu of a deposit for operation based on approval granted by the Commissioner of Financial Services Agency or other competent official, it must submit to the Commissioner of Financial Services Agency or other competent official a written notification of a change of guarantee contract prepared in accordance with Appended Form No. 6 attaching a copy of the changed contract, or a written notification of the cancellation of a guarantee contract prepared in accordance with Appended Form No. 7 attaching a document evidencing the fact of the cancellation of the contract; and in addition, in the case of the change of the contract, the financial instruments business operator must present the original of the changed contract.

（営業保証金の追加供託の起算日）

(Day of Commencement for Counting of Time Limit for Additional Deposit for Operation)

第二十八条　法第三十一条の二第八項に規定する内閣府令で定める日は、営業保証金の額が不足した理由につき、次の各号に掲げる場合の区分に応じ、当該各号に定める日とする。

Article 28 The day to be specified by Cabinet Office Order as referred to in Article 31-2, paragraph (8) of the Act is the day specified in the following items, in accordance with the reasons for a deficiency in the amount of the deposit for operation respectively set forth therein:

一　金融商品取引業者が令第十五条の十三第三号の承認（次号において「承認」という。）を受けて法第三十一条の二第三項の契約（以下この号及び次号において「契約」という。）の内容を変更したことにより、同条第十項に規定する供託した営業保証金の額（同条第三項に規定する契約金額を含む。）が令第十五条の十二に定める額に不足した場合　当該契約の内容を変更した日

(i) if the financial instruments business operator has changed any of the terms of the contract under Article 31-2, paragraph (3) of the Act (hereinafter referred to as the "contract" in this and the following item) with an approval under Article 15-13, item (iii) of the Order (hereinafter referred to as the "approval" in the following item), as a result of which the amount of deposit for operation deposited as set forth in Article 31-2, paragraph (10) of the Act (including the contract amount set forth in paragraph (3) of that Article) has become less than the amount set forth in Article 15-12 of the Order: the day when the term of the contract was changed;

二　金融商品取引業者が承認を受けて契約を解除した場合　当該契約を解除した日

(ii) if the financial instruments business operator has cancelled the contract with the approval: the day of the cancellation of the contract;

三　令第十五条の十四の権利の実行の手続が行われた場合　金融商品取引業者が金融商品取引業者営業保証金規則（平成十九年内閣府・法務省令第三号）第十一条第三項の支払委託書の写しの送付を受けた日

(iii) if the procedures for execution of the right as set forth in Article 15-14 of the Order is implemented: the day when the financial instruments business operator received a copy of the payment entrustment document sent pursuant to the provisions of Article 11, paragraph (3) of the Cabinet Office Order on Security FinanceCompanies (Order of the Cabinet Office and the Ministry of Justice No. 3 of 2007);

四　令第十五条の十四の権利の実行の手続を行うため所管金融庁長官等が供託されている有価証券（社債、株式等の振替に関する法律（平成十三年法律第七十五号）第二百七十八条第一項に規定する振替債を含む。）の換価を行い、換価代金から換価の費用を控除した額を供託した場合　金融商品取引業者が金融商品取引業者営業保証金規則第十二条第四項の規定による通知を受けた日

(iv) if, for the purpose of implementing procedures for the execution of the rights as set forth in Article 15-14 of the Order, the Commissioner of Financial Services Agency or other competent official has realized the deposited securities (including the book-entry transferred bond set forth in Article 278, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (Act No. 75 of 2001)), and has deposited the realized amount after deducting the realization expenses: the day on which the financial instruments business operator has received a notice under Article 12, paragraph (4) of the Regulation on Security Deposits by Financial Instruments Business Operators; or

五　金融商品取引業者（投資助言・代理業のみを行う個人及び第二種金融商品取引業のうち第二種少額電子募集取扱業務のみを行う個人に限る。）が第二種金融商品取引業を行う者として法第三十一条第四項の変更登録を受けた場合　当該変更登録を受けた日

(v) if a financial instruments business operator (limited to an individual only engaged in an investment advisory and agency business and an individual only engaged in type-II small-amount electronic public offering service which is type-II financial instruments business) has obtained a registration of change under Article 31, paragraph (4) of the Act, as a person engaged in a type-II financial instruments business: the day when such operator obtained the registration of change.

（営業保証金に充てることができる有価証券の種類）

(Types of Securities Which May Be Substituted for Deposits for Operation)

第二十九条　法第三十一条の二第九項に規定する内閣府令で定める有価証券は、次に掲げるものとする。この場合において、次に掲げる有価証券に表示されるべき権利の帰属が、社債、株式等の振替に関する法律の規定による振替口座簿の記載又は記録により定まるものとされるときは、当該権利は当該有価証券とみなす。

Article 29 The securities to be specified by Cabinet Office Order as referred to in Article 31-2, paragraph (9) of the Act are as follows. In this case, if the attribution of any right to be indicated on any of the following securities is to be determined based on statement or record of a book-entry transfer account book as referred to in the Act on Book-Entry Transfer of Corporate Bonds and Shares, such right is deemed to be the securities:

一　国債証券

(i) national government bond securities;

二　地方債証券

(ii) municipal bond securities;

三　政府保証債券（法第二条第一項第三号に掲げる有価証券のうち政府が元本の償還及び利息の支払について保証しているものをいう。第六十五条第一号ハにおいて同じ。）

(iii) government-guaranteed bond certificates (meaning the securities specified in Article 2, paragraph (1), item (iii) of the Act, for which the government guarantees redemption of principal and interest payments; hereinafter the same applies in Article 65, item (i), (c));

四　金融庁長官が指定した社債券その他の債券（記名式のもの及び割引の方法により発行されるもの並びに前号に掲げるものを除く。）

(iv) corporate bond certificates or any other bond certificates designated by the Commissioner of the Financial Services Agency (excluding a registered bond certificate and a bond certificates issued by way of discounting, and also excluding the bonds certificates specified in the preceding item).

（営業保証金に充てることができる有価証券の価額）

(Value of Securities Which May Be Substituted for Deposits for Operations)

第三十条　法第三十一条の二第九項の規定により有価証券を営業保証金に充てる場合における当該有価証券の価額は、次の各号に掲げる有価証券の区分に応じ、当該各号に定める額とする。

Article 30 (1) The value of the securities if the securities are to be substituted for a deposit for operations pursuant to the provisions of Article 31-2, paragraph (9) of the Act is the amount specified in the following items, in accordance with the categories of the securities respectively set forth therein:

一　前条第一号に掲げる有価証券　額面金額（その権利の帰属が社債、株式等の振替に関する法律の規定による振替口座簿の記載又は記録により定まるものとされるものにあっては、振替口座簿に記載又は記録された金額。以下この条において同じ。）

(i) the securities specified in item (i) of the preceding Article: the face value thereof (if the attribution of the right pertaining to such securities is to be determined in accordance with the statement or record of the book-entry transfer account book as referred to in the Act on Book-Entry Transfer of Corporate Bonds and Shares, the amount stated or recorded in the book-entry transfer account book; hereinafter the same applies in this Article);

二　前条第二号に掲げる有価証券　額面金額百円につき九十円として計算した額

(ii) the securities specified in item (ii) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 90 yen;

三　前条第三号に掲げる有価証券　額面金額百円につき九十五円として計算した額

(iii) the securities specified in item (iii) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 95 yen;

四　前条第四号に掲げる有価証券　額面金額百円につき八十円として計算した額

(iv) the securities specified in item (iv) of the preceding Article: the amount calculated by discounting the face value of 100 yen to 80 yen.

２　割引の方法により発行した有価証券については、その発行価額に次の算式により算出した額を加えた額を額面金額とみなして、前項の規定を適用する。

(2) With regard to the securities issued by way of discounting, the issue value after adding the amount calculated in accordance with the following formula is deemed to be the face value thereof, and the provisions of the preceding paragraph apply.

（（額面金額―発行価額）÷発行の日から償還の日までの年数）×発行の日から供託の日までの年数

((face value - issue value) / the number of years from the date of issuance to the date of redemption) x the number of years from the date of issuance to the date of deposit

３　前項の算式による計算において、発行の日から償還の日までの年数及び発行の日から供託の日までの年数について生じた一年未満の端数並びに額面金額と発行価額との差額を発行の日から償還の日までの年数で除して得た金額について生じた一円未満の端数は、切り捨てる。

(3) For the purpose of calculation in accordance with the formula set forth in the preceding paragraph, if any fraction of less than one year arises with regard to the number of years from the date of issuance and the date of redemption and the number of years from the date of issuance to the date of deposit, or if any fraction of less than one yen arises with regard to the amount obtained by dividing the difference between face value and issue value by the number of years from the date of issuance to the date of redemption, that fraction is rounded down.

（兼職の届出）

(Notification of Concurrent Holding of Officers' Positions)

第三十一条　法第三十一条の四第一項及び第二項の規定による届出（これらの規定に規定する退任した場合に係るものを除く。）は、次に掲げる事項を記載した届出書を所管金融庁長官等に提出して行わなければならない。

Article 31 (1) A notification under Article 31-4, paragraphs (1) and (2) of the Act (excluding the notification to be filed in the case of a resignation as set forth in those provisions) must be filed by submitting a written notification stating the following particulars to the Commissioner of Financial Services Agency or other competent official:

一　氏名

(i) the person's name;

二　金融商品取引業者の商号

(ii) the trade name of the financial instruments business operator;

三　金融商品取引業者における役職名

(iii) the title of the position assumed at the financial instruments business operator;

四　兼職先の商号

(iv) the trade name of the other company at which the person concurrently assumes the position of officer;

五　兼職先における役職名及び代表権の有無

(v) the title of the position assumed at the company of which the person concurrently assumes the position, and information as to whether such person has been granted the authority of representation; and

六　就任年月日及び任期

(vi) the date of assumption of office, and the term of office.

２　前項の場合において、同項第四号又は第五号に掲げる事項に変更があったときは、次に掲げる事項を記載した兼職変更届出書を所管金融庁長官等に提出しなければならない。

(2) In the case referred to in the preceding paragraph, if any change to the matters specified in item (iv) or (v) of that paragraph arises, a written notification of the change of a concurrently held position stating the following particulars must be submitted to the Commissioner of Financial Services Agency or other competent official:

一　氏名

(i) the person's name;

二　金融商品取引業者の商号

(ii) the trade name of the financial instruments business operator;

三　金融商品取引業者における役職名

(iii) the title of the position assumed at the financial instruments business operator;

四　変更の内容

(iv) the particulars of the change; and

五　変更年月日

(v) the date of the change.

３　法第三十一条の四第一項及び第二項の規定による届出（これらの規定に規定する退任した場合に係るものに限る。）は、次に掲げる事項を記載した届出書を所管金融庁長官等に提出して行わなければならない。

(3) A notification under Article 31-4, paragraphs (1) and (2) of the Act (limited to the notification to be filed in the case of a resignation as set forth in those provisions) must be filed by submitting a written notification stating the following particulars to the Commissioner of Financial Services Agency or other competent official:

一　氏名

(i) the person's name;

二　金融商品取引業者の商号

(ii) the trade name of the financial instruments business operator;

三　金融商品取引業者における役職名

(iii) the title of the position assumed at the financial instruments business operator;

四　兼職をしていた会社の商号

(iv) the trade name of the company at which the person concurrently held the position of officer;

五　兼職をしていた会社における役職名及び代表権の有無

(v) the title of the position assumed at the company of which the person concurrently held the position, and information as to whether such person had been granted the authority of representation; and

六　退任年月日

(vi) the date of resignation.

（親法人等及び子法人等から除かれる者）

(Persons Excluded from Being Defined as a Parent Corporation and Subsidiary Corporation)

第三十二条　令第十五条の十六第一項及び第二項に規定する内閣府令で定める者は、次に掲げる者とする。

Article 32 The person to be specified by Cabinet Office Order as referred to in Article 15-16, paragraphs (1) and (2) of the Order is as follows:

一　専ら次に掲げるいずれかの者の金融商品取引業等又は金融商品仲介業の遂行のための業務を行っている者

(i) a person solely engaged in a business for the execution of the financial instruments business, etc. or the financial instruments intermediary service of any of the following parties:

イ　自己

(a) the party itself; or

ロ　自己及びその親法人等又は子法人等

(b) the party itself, and its parent corporation, etc. or subsidiary corporation, etc.;

二　専ら次に掲げるいずれかの者の業務（金融商品取引業等及び金融商品仲介業を除く。）の遂行のための業務（非公開情報（発行者又は自己の行う金融商品取引業等若しくは金融商品仲介業の顧客に関するものに限る。）に関連するものを除く。）を行っている者

(ii) a person solely engaged in business (excluding business related to the undisclosed information (limited to information which relates to customers of a financial instruments business, etc. or a financial instruments intermediary service conducted by the issuer or by the party itself)) related to the execution of the business of any of the following parties (excluding a financial instruments business, etc. and a financial instruments intermediary service):

イ　自己

(a) the party itself; or

ロ　自己及びその親法人等又は子法人等

(b) the party itself, and its parent corporation, etc. or subsidiary corporation, etc.;

三　外国の法人その他の団体であって、国内に営業所、事務所その他これらに準ずるものを有していない者

(iii) a corporation or any other organization of a foreign state which has no business office, office or any other establishment equivalent thereto in Japan.

（親会社等となる者）

(Persons Which Fall Under the Category of Parent Company)

第三十三条　令第十五条の十六第三項に規定する内閣府令で定めるものは、次に掲げる会社等（同項に規定する会社等をいう。以下この条から第三十五条までにおいて同じ。）とする。ただし、財務上又は営業上若しくは事業上の関係からみて他の会社等の意思決定機関（同項に規定する意思決定機関をいう。第二号ホにおいて同じ。）を支配していないことが明らかであると認められるときは、この限りでない。

Article 33 (1) The companies to be specified by Cabinet Office Order as referred to in Article 15-16, paragraph (3) of the Order are the following companies, etc. (meaning the companies, etc. prescribed in that paragraph; hereinafter the same applies in this Article through Article 35); provided, however, that this does not apply if it is clearly found that the company does not have control over the decision-making body (meaning the decision-making body specified in that paragraph; the same applies in item (ii), (e)) of other company, etc., in light of the financial, operational or business relationship therewith:

一　他の会社等（破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた他の会社等その他これらに準ずる他の会社等であって、有効な支配従属関係が存在しないと認められるものを除く。以下この項において同じ。）の議決権の過半数を自己の計算において保有している会社等

(i) a company, etc. which, on its own account, holds the majority of voting rights in another company, etc. (excluding another company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, an order for the commencement of rehabilitation proceedings or an order for the commencement of reorganization proceedings or any other company, etc. equivalent thereto, regarding which it is found that no effective controlling interest exists; hereinafter the same applies in this paragraph);

二　他の会社等の議決権の百分の四十以上、百分の五十以下を自己の計算において保有している会社等であって、次に掲げるいずれかの要件に該当するもの

(ii) a company, etc. which, on its own account, holds 40 percent or more but 50 percent or less of the voting rights in another company, etc., and which falls under any of the following requirements:

イ　当該会社等が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、当該他の会社等の議決権の過半数を占めていること。

(a) that the voting rights held by the company, etc. on its own account, and by the voting rights held by any person having a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore being likely to exercise the voting rights in concert with the intention of the company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the company, etc. constitute a majority of the voting rights in that other company, etc.;

ロ　当該会社等の役員若しくは使用人である者又はこれらであった者であって当該会社等が当該他の会社等の財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、当該他の会社等の取締役会その他これに準ずる機関の構成員の過半数を占めていること。

(b) that the officers or employees of the company, etc. or persons that have formerly been in such positions and would have an influence on the decision of such other company, etc. with regard to its financial policies and operational or business policies constitute a majority of the members of the board of directors or any other organ equivalent thereto of such other company, etc.;

ハ　当該会社等と当該他の会社等との間に当該他の会社等の重要な財務及び営業又は事業の方針の決定を支配する契約等が存在すること。

(c) that there exist a contract, etc. concluded between the company, etc. and such other company, etc. which provides for control over decision of such other company, etc. with regard to any important financial, operational or business policies;

ニ　当該他の会社等の資金調達額（貸借対照表の負債の部に計上されているものに限る。）の総額の過半について当該会社等が融資（債務の保証及び担保の提供を含む。ニ及び次条第二号ロにおいて同じ。）を行っていること（当該会社等と出資、人事、資金、技術、取引等において緊密な関係のある者が行う融資の額を合わせて資金調達額の総額の過半となる場合を含む。）。

(d) that the company, etc. has financed (including the provision of a guarantee of obligation and the provision of securities; the same applies in (d) and Article 34, item (ii), (b)) more than half of the total amount of funds procured by such other company, etc. (limited to the amount inserted into the liability section of the balance sheet) (including if the amount financed by the company, etc., and the amount financed by a person with a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. constitutes more than half of the total amount of the funds procured); or

ホ　その他当該会社等が当該他の会社等の意思決定機関を支配していることが推測される事実が存在すること。

(e) that there exists any other fact implying that the company, etc. controls the decision-making body of that other company, etc.;

三　会社等が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、他の会社等の議決権の過半数を占めている場合（当該会社等が自己の計算において議決権を保有していない場合を含む。）における当該会社等であって、前号ロからホまでに掲げるいずれかの要件に該当するもの

(iii) the company, etc. which falls under any of the requirements specified in (b) through (e) of the preceding item, if the voting rights held by the company, etc. on its own account, and by the voting rights held by any person having a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore being likely to exercise its voting rights in concert with the intention of the company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the company, etc. constitute a majority of the voting rights in another company, etc. (including if the company, etc. does not hold voting rights on its own account).

２　特別目的会社（資産の流動化に関する法律（平成十年法律第百五号）第二条第三項に規定する特定目的会社及び事業内容の変更が制限されているこれと同様の事業を営む事業体をいう。以下同じ。）については、適正な価額で譲り受けた資産から生ずる収益を当該特別目的会社が発行する証券の所有者（同条第十二項に規定する特定借入れに係る債権者を含む。）に享受させることを目的として設立されており、当該特別目的会社の事業がその目的に従って適切に遂行されているときは、当該特別目的会社に資産を譲渡した会社等（以下この項において「譲渡会社等」という。）から独立しているものと認め、前項の規定にかかわらず、譲渡会社等の子会社等に該当しないものと推定する。

(2) Notwithstanding the provisions of the preceding paragraph, with regard to a special purpose company (meaning a specific purpose defined in Article 2, paragraph (3) of the Act on Securitization of Assets (Act No. 105 of 1998) and an entity conducting the business equivalent thereto with a restriction on the change of business contents; the same applies hereinafter), if the purpose of the incorporation thereof is to make the owners of the securities it issues (including the creditors of the specific borrowing defined in paragraph (12) in that Article) enjoy the profit generating from assets that the special purpose company has acquired at a fair value, and if the business thereof is properly implemented in compliance with such purpose, such special purpose company is regarded as being independent of the companies, etc. which transferred the assets to it (hereinafter referred to as the "transferor company, etc." in this paragraph), and is presumed not to fall under the category of a subsidiary company, etc. of the transferor company, etc.

（関連会社等となる者）

(Persons Classed as Affiliated Companies)

第三十四条　令第十五条の十六第四項に規定する内閣府令で定めるものは、次に掲げるものとする。ただし、財務上又は営業上若しくは事業上の関係からみて会社等（当該会社等の子会社等を含む。）が子会社等以外の他の会社等の財務及び営業又は事業の方針の決定に対して重要な影響を与えることができないことが明らかであると認められるときは、この限りでない。

Article 34 The affiliated companies, etc. to be specified by Cabinet Office Order as referred to in Article 15-16, paragraph (4) of the Order are as follows; provided, however, that this does not apply if it is clearly found that the company, etc. (including a subsidiary company, etc. of such company, etc.) is unable to have any material impact on the decision on the financial policies and operational or business policies of another company etc. except for a subsidiary company, etc., in light of its financial, operational or business relationship therewith:

一　会社等（当該会社等の子会社等を含む。）が子会社等以外の他の会社等（破産手続開始の決定、再生手続開始の決定又は更生手続開始の決定を受けた子会社等以外の他の会社等その他これらに準ずる子会社等以外の他の会社等であって、当該会社等がその財務及び営業又は事業の方針の決定に対して重要な影響を与えることができないと認められるものを除く。以下この条において同じ。）の議決権の百分の二十以上を自己の計算において保有している場合における当該子会社等以外の他の会社等

(i) the other company, etc. except for a subsidiary company, etc., if a company, etc. (including a subsidiary company, etc. of such company, etc.) holds on its own account 20 percent or more of the voting rights in such other company, etc. except for a subsidiary company, etc. (excluding another company, etc. except for a subsidiary company, etc. which has been subject to an order for the commencement of bankruptcy proceedings, order for the commencement of rehabilitation proceedings or order for the commencement of reorganization proceedings, or another company, etc. except for a subsidiary company, etc. equivalent thereto, in which case it is found that the company, etc. would not be able to give any material impact on the decision on its financial policies and operational or business policies; hereinafter the same applies in this Article);

二　会社等（当該会社等の子会社等を含む。）が子会社等以外の他の会社等の議決権の百分の十五以上、百分の二十未満を自己の計算において保有している場合における当該子会社等以外の他の会社等であって、次に掲げるいずれかの要件に該当するもの

(ii) the other company, etc. except for a subsidiary company, etc. which falls under any of the following requirements, if the company, etc. (including a subsidiary company, etc. of such company, etc.) holds on its own account 15 percent or more but less than 20 percent of the voting rights in another company, etc. except for a subsidiary company, etc.:

イ　当該会社等の役員若しくは使用人である者又はこれらであった者であって当該会社等がその財務及び営業又は事業の方針の決定に関して影響を与えることができるものが、その取締役若しくは執行役又はこれらに準ずる役職に就任していること。

(a) that any officer or employee of the company, etc. or any person that has formerly been in such a position and is able to give an impact on decision of its financial policies and operational or business policies of has assumed the position of its director, executive officer or any other position;

ロ　当該会社等から重要な融資を受けていること。

(b) that any important loan has been granted by the company, etc.;

ハ　当該会社等から重要な技術の提供を受けていること。

(c) that any important technology is furnished by the company, etc.;

ニ　当該会社等との間に重要な販売、仕入れその他の営業上又は事業上の取引があること。

(d) that there exists any important operational or business transaction with the company, etc. in regard to distribution, purchasing or others; or

ホ　その他当該会社等がその財務及び営業又は事業の方針の決定に対して重要な影響を与えることができることが推測される事実が存在すること。

(e) that there exists any other fact implying that the company, etc. is able to have a material impact on the decision on its financial, operational or business policies;

三　会社等（当該会社等の子会社等を含む。）が自己の計算において保有している議決権と当該会社等と出資、人事、資金、技術、取引等において緊密な関係があることにより当該会社等の意思と同一の内容の議決権を行使すると認められる者及び当該会社等の意思と同一の内容の議決権を行使することに同意している者が保有している議決権とを合わせて、子会社等以外の他の会社等の議決権の百分の二十以上を占めている場合（当該会社等が自己の計算において議決権を保有していない場合を含む。）における当該子会社等以外の他の会社等であって、前号イからホまでに掲げるいずれかの要件に該当するもの

(iii) the other company, etc. except for a subsidiary company, etc. which falls under any of the requirements listed in (a) through (e) of the preceding item, if 20 percent or more of the voting rights in such other company except for a subsidiary company, etc. is constituted by the voting rights held by the company, etc. (including a subsidiary company, etc. of such company, etc.) on its own account, and by the voting rights held by any person having a close relationship with the company, etc. in terms of equity, personnel affairs, funding, technology, business transactions, etc. and therefore is likely to exercise the voting rights in concert with the intention of the company, etc. and by any person having consented to exercise the voting rights in concert with the intention of the company, etc. (including if the company, etc. does not hold voting rights on its own account).

（議決権の保有の判定）

(Criteria for Determining Holding Voting Rights)

第三十五条　令第十五条の十六第五項に規定する議決権の保有の判定に当たって、保有する議決権には、他人（仮設人を含む。第二百三条第一項において同じ。）の名義によって保有する議決権及び次に掲げる場合における株式又は出資（以下この条において「株式等」という。）に係る議決権を含むものとする。

Article 35 (1) For the purpose of determining the holding voting rights as set forth in Article 15-16, paragraph (5) of the Order, the voting rights held are to include the voting rights held under the name of any other person (or under a fictitious name; the same applies in Article 203, paragraph (1)), and the voting rights pertaining to shares or equity in any of the following cases (hereinafter referred to as the "shares, etc." in this Article):

一　金銭の信託契約その他の契約又は法律の規定に基づき、会社等の議決権を行使することができる権限又は当該議決権の行使について指図を行うことができる権限を有する場合

(i) if a person has been granted the authority to exercise the voting rights in the company, etc. or the authority to give instructions as to the exercise thereof, under the provisions of a contract such as a monetary trust agreement or the laws;

二　令第十五条の十に定める特別の関係にある者が会社等の議決権を保有する場合

(ii) if any person in special relationship as set forth in Article 15-10 of the Order holds the voting rights in the company, etc.;

三 社債、株式等の振替に関する法律第百四十七条第一項又は第百四十八条第一項（これらの規定を同法第二百二十八条第一項、第二百三十五条第一項、第二百三十九条第一項及び第二百七十六条（第二号に係る部分に限る。）において準用する場合を含む。）の規定によりその保有する株式等（この項の規定により令第十五条の十六第一項第四号の特定個人株主が保有する議決権に含むものとされる議決権に係る株式等を含む。）を発行者に対抗することができない場合

(iii) if, pursuant to the provisions of Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares (including if these provisions are applied mutatis mutandis pursuant to Article 228, paragraph (1), Article 235, paragraph (1), Article 239, paragraph (1) and Article 276 (limited to the parts pertaining to item (ii)) of that Act), a person may not assert the shares, etc. held by such person (including the shares, etc. pertaining to the voting rights which, pursuant to the provisions of this paragraph, are to be included in the voting rights held by the specified individual shareholder set forth in Article 15-16, paragraph (1), item (iv) of the Order) against the issuer thereof.

２　前項の保有する議決権からは、同項の規定にかかわらず、次に掲げる株式等に係る議決権を除くものとする。

(2) Notwithstanding the provisions of the preceding paragraph, the voting rights held as set forth in that paragraph are not to include the voting rights pertaining to the following shares, etc.:

一　法人の代表権を有する者又は法人の代理権を有する支配人が、当該代表権又は代理権に基づき、議決権を行使することができる権限若しくは議決権の行使について指図を行うことができる権限又は投資を行うのに必要な権限を有する場合における当該法人の所有する株式等

(i) the shares, etc. owned by a corporation, if a person with the authority of representation for such corporation or a manager having the authority to act as an agent therefor has been granted the authority to exercise the voting rights or to give instruction as to the exercise thereof or the authority required for making an investment, based on such authority of representation or authority to act as an agent;

二　相続人が相続財産として所有する株式等（当該相続人（共同相続の場合を除く。）が単純承認（単純承認をしたものとみなされる場合を含む。）若しくは限定承認をした日までのもの又は当該相続財産の共同相続人が遺産分割を了していないものに限る。）

(ii) the shares, etc. owned by heirs as their inherited property (limited to the shares, etc. owned prior to the day when the heir (excluding the case of a joint inheritance) gave an unqualified acceptance (including if an unqualified acceptance is deemed to have been given) or a qualified acceptance, or the shares, etc. which the coheirs of that inherited property have not yet divided).

第三款　主要株主

Subsection 3 Major Shareholders

（対象議決権保有届出書の提出）

(Submission of Notification of Holding Subject Voting Rights)

第三十六条　法第三十二条第一項の規定により同項の対象議決権保有届出書を提出する者は、別紙様式第八号により作成した対象議決権保有届出書に、当該対象議決権保有届出書の写し及び同条第二項の規定により当該対象議決権保有届出書に添付すべき書類を添付して、居住者（外国為替及び外国貿易法（昭和二十四年法律第二百二十八号）第六条第一項第五号前段に規定する居住者をいう。以下この款において同じ。）にあってはその本店等の所在地（個人である場合にあっては、その住所又は居所）を管轄する財務局長（当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長）に、非居住者（同法第六条第一項第六号に規定する非居住者をいう。以下この款及び第二百八条において同じ。）にあっては関東財務局長に提出しなければならない。

Article 36 A person that submits a notification of holding subject voting rights as set forth in Article 32, paragraph (1) of the Act pursuant to that paragraph must submit such notification prepared in accordance with Appended Form No. 8, attaching a copy thereof as well as the documents to be attached thereto under paragraph (2) of that Article, to the director-general of a local finance bureau with jurisdiction over the location of the head office, etc. (in the case of an individual, the domicile or residence) (or, if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the director-general thereof), in the case of a resident (meaning the resident set forth in the first sentence of Article 6, paragraph (1), item (v) of the Foreign Exchange and Foreign Trade Act (Act No. 228 of 1949); hereinafter the same applies in this Subsection); or, to the Director-General of the Kanto Finance Bureau, in the case of a non-resident (meaning a non-resident as set forth in Article 6, paragraph (1), item (vi) of that Act; hereinafter the same applies in this Subsection and in Article 208).

（対象議決権保有届出書の記載事項等）

(Matters to Be Specified in Notifications of Holding Subject Voting Rights)

第三十七条　法第三十二条第一項に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 37 (1) The matters to be specified by Cabinet Office Order as referred to in Article 32, paragraph (1) of the Act are as follows:

一　商号、名称又は氏名

(i) the trade name or name;

二　本店又は主たる事務所の所在地（個人にあっては、住所又は居所）

(ii) the location of the head office or principal office (in the case of an individual, the domicile or residence);

三　法人であるときは、代表者の氏名

(iii) in the case of a corporation, the name of its representative; and

四　保有する議決権の数

(iv) the number of voting rights held.

２　法第三十二条第一項の総株主等の議決権の数は、対象議決権（法第二十九条の四第二項に規定する対象議決権をいう。）を保有することとなった日の総株主等の議決権（法第二十九条の四第二項に規定する総株主等の議決権をいう。以下同じ。）の数とする。ただし、当該総株主等の議決権の数を知ることが困難な場合には、直近の有価証券報告書等（法第二十四条第一項に規定する有価証券報告書、法第二十四条の四の七第一項に規定する四半期報告書又は法第二十四条の五第一項に規定する半期報告書をいう。以下この項において同じ。）に記載された総株主等の議決権の数（有価証券報告書等が提出されていない場合にあっては、商業登記簿その他の書類の記載内容により計算された総株主等の議決権の数）とすることができる。

(2) The number of voting rights held by all the shareholders, etc. set forth in Article 32, paragraph (1) of the Act is the number of voting rights held by all the shareholders, etc. (meaning the voting rights held by all the shareholders, etc. as prescribed in Article 29-4, paragraph (2) of the Act; the same applies hereinafter) as of the day when the person comes to hold the subject voting rights (meaning the subject voting rights prescribed in Article 29-4, paragraph (2) of the Act); provided, however, that if it is difficult to identify the number of voting rights held by all the shareholders, etc., the number of voting rights held by all the shareholders, etc. stated in the latest annual securities report, etc. (meaning the annual securities report prescribed in Article 24, paragraph (1) of the Act, the quarterly securities report prescribed in Article 24-4-7, paragraph (1) of the Act or the semiannual securities report prescribed in Article 24-5, paragraph (1) of the Act; hereinafter the same applies in this paragraph) (if the annual securities reports, etc. have not been submitted, the number of the voting rights held by all the shareholders, etc. calculated based on the particulars contained in the commercial registry or any other document) may be stated.

（対象議決権保有届出書の添付書類）

(Documents to Be Attached to Notifications of Holding Subject Voting Rights)

第三十八条　法第三十二条第二項に規定する内閣府令で定める書類は、次に掲げる書類とする。

Article 38 The documents to be specified by Cabinet Office Order as referred to in Article 32, paragraph (2) of the Act are as follows:

一　個人であるときは、住民票の抄本（本籍の記載のあるものに限る。）又はこれに代わる書面

(i) in the case of an individual, an extract copy of the certificate of residence (limited to that containing information on the registered domicile), or any other document in lieu thereof; and

二　法人であるときは、登記事項証明書又はこれに代わる書面

(ii) in the case of a corporation, its certificate of registered matters, or any other document in lieu thereof.

（特定主要株主となった旨の届出）

(Notification about Becoming a Specified Major Shareholder)

第三十八条の二　法第三十二条第三項の規定により届出を行う金融商品取引業者の特定主要株主（同条第四項に規定する特定主要株主をいう。以下この条及び第三十八条の五において同じ。）以外の主要株主は、別紙様式第八号の二により作成した特定主要株主となった旨の届出書に、当該届出書の写しを添付して、居住者にあってはその本店等の所在地（個人である場合にあっては、その住所又は居所）を管轄する財務局長（当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長）に、非居住者にあっては関東財務局長に提出しなければならない。

Article 38-2 A major shareholder other than a specified major shareholder of a financial instruments business operator that makes notification pursuant to the provisions of Article 32, paragraph (3) of the Act (meaning the specified major shareholder as defined in paragraph (4) of that Article; hereinafter the same applies in this Article and Article 38-5) must submit a notification about becoming a specified major shareholder, which is prepared pursuant to Appended Form No. 8-2, attached with a copy of the notification, to the director-general of a local finance bureau with jurisdiction over the location of such major shareholder's head office, etc. (in cases of an individual, the address or residence) in the case of a resident (if the location is in the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the director-general thereof), or to the Director-General of the Kanto Finance Bureau in the case of a non-resident.

（親会社等となる者）

(Persons Falling Under the Category of Parent Company)

第三十八条の三　令第十五条の十六の二第二項に規定する内閣府令で定めるものは、次に掲げるもの（財務計算に関する書類の内容に影響を与えないものに係る場合におけるものを除く。）とする。

Article 38-3 The companies provided for by Cabinet Office Order defined in Article 15-16-2, paragraph (2) of the Order are the following persons (excluding those in cases related to companies that do not have an impact on the content of the documents related to financial accounting):

一 財務諸表等の用語、様式及び作成方法に関する規則（昭和三十八年大蔵省令第五十九号。以下「財務諸表等規則」という。）第八条第三項に規定する親会社

(i) a parent company defined in Article 8, paragraph (3) of the Regulation on Terminology, Forms, and Preparation Methods of Financial Statements (Order of the Ministry of Finance No. 59 of 1963; hereinafter referred to as the "Regulation on Financial Statements, etc."); and

二　指定国際会計基準（連結財務諸表の用語、様式及び作成方法に関する規則（昭和五十一年大蔵省令第二十八号）第九十三条に規定する指定国際会計基準をいう。以下同じ。）その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの

(ii) a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the designated international accounting standards (meaning the designated international accounting standards defined in Article 93 of the Regulation on Terminology, Forms, and Preparation Methods of Financial Statements (Order of the Ministry of Finance No. 28 of 1976; the same applies hereinafter)) and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.

（関連会社等となる者）

(Persons Classed as Affiliated Companies)

第三十八条の四　令第十五条の十六の二第三項に規定する内閣府令で定めるものは、次に掲げるもの（財務計算に関する書類の内容に影響を与えないものを除く。）とする。

Article 38-4 The affiliated companies, etc. provided for by Cabinet Office Order as defined in Article 15-16-2, paragraph (3) of the Order are the following companies (excluding companies that have no impact on the content of documents related to financial accounting):

一　財務諸表等規則第八条第五項に規定する関連会社

(i) affiliated companies defined in Article 8, paragraph (5) of the Regulation on Financial Statements, etc.; and

二　指定国際会計基準その他外国における公正妥当な企業会計の基準又は慣行において、財務計算に関する書類の作成上前号に掲げるものと同様に取り扱われているもの

(ii) a company that is treated the same as those listed in the preceding item when preparing documents related to financial accounting under the designated international accounting standards and other fair and appropriate standards or practices of corporate accounting standards in a foreign state.

（特定主要株主以外の主要株主となった旨の届出）

(Notification about Becoming a Major Shareholder Other Than a Specified Major Shareholder)

第三十八条の五　法第三十二条の三第二項の規定により届出を行う金融商品取引業者の特定主要株主は、別紙様式第八号の三により作成した特定主要株主以外の主要株主となった旨の届出書に、当該届出書の写しを添付して、居住者にあってはその本店等の所在地（個人である場合にあっては、その住所又は居所）を管轄する財務局長（当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長）に、非居住者にあっては関東財務局長に提出しなければならない。

Article 38-5 A specified major shareholder of a financial instruments business operator that makes notification pursuant to the provisions of Article 32-3, paragraph (2) of the Act must submit a notification about becoming a major shareholder other than a specified major shareholder, which is prepared pursuant to Appended Form No. 8-3, attached with a copy of the notification, to the director-general of a local finance bureau with jurisdiction over the location of such major shareholder's head office, etc. (in cases of an individual, the address or residence) in the case of a resident (if the location is in the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the director-general thereof), or to the Director-General of the Kanto Finance Bureau in the case of a non-resident.

（準用）

(Application Mutatis Mutandis)

第三十九条　第三十六条から第三十八条までの規定は、法第三十二条の四において法第三十二条第一項及び第二項の規定を準用する場合について準用する。

Article 39 The provisions of Articles 36 through 38 apply mutatis mutandis to if the provisions of Article 32, paragraphs (1) and (2) of the Act are applied mutatis mutandis pursuant to Article 32-4 of the Act.

第四款　登録金融機関

Subsection 4 Registered Financial Institutions

（特定社債券に準ずる有価証券）

(Securities Equivalent to Specified Corporate Bond Certificates)

第四十条　令第十五条の十七第一項第二号に規定する内閣府令で定めるものは、次に掲げる要件のすべてに該当するものとする。

Article 40 The securities to be specified by Cabinet Office Order as referred to in Article 15-17, paragraph (1), item (ii) of the Order are those which satisfy all of the following requirements:

一　その有価証券の発行を目的として設立され、又は運営される法人に直接又は間接に所有者から譲渡される資産（次号において「譲渡資産」という。）が存在すること。

(i) that there exist assets to be transferred directly or indirectly from the owner to a corporation incorporated or managed for the purpose of the issuance of such securities (such assets are hereinafter referred to as the "transferred assets" in the following item); and

二　前号に規定する法人がその有価証券を発行し、当該有価証券（当該有価証券の借換えのために発行されるものを含む。）上の債務の履行について譲渡資産の管理、運用又は処分を行うことにより得られる金銭を充てること。

(ii) that the corporation set forth in the preceding item issues such securities, and appropriates the money generated from the management, investment or disposition of the transferred assets for the performance of the obligations arising from such securities (including the securities issued for purpose of the refinancing of such securities).

（短期社債等に準ずる有価証券）

(Securities Equivalent to Short-Term Bonds)

第四十一条　令第十五条の十七第三項に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 41 The securities to be specified by Cabinet Office Order as referred to in Article 15-17, paragraph (3) of the Order are as follows:

一　振替外債（社債、株式等の振替に関する法律第百二十七条において準用する同法第六十六条（第一号を除く。）に規定する振替外債をいう。以下この号において同じ。）のうち、次に掲げる要件のすべてに該当するもの

(i) book-entry transfer foreign bonds (meaning a book-entry transfer foreign bond as prescribed in Article 66 (excluding item (i)) of the Act on Book-Entry Transfer of Corporate Bonds and Shares as applied mutatis mutandis pursuant to Article 127 of that Act; hereinafter the same applies in this item) which satisfy all of the following requirements:

イ　円建てで発行されるものであること。

(a) that the book-entry foreign bonds are yen-denominated;

ロ　各振替外債の金額が一億円を下回らないこと。

(b) that the amount of each book-entry transfer foreign bond is not less than 100 million yen;

ハ　元本の償還について、振替外債の総額の払込みのあった日から一年未満の日とする確定期限の定めがあり、かつ、分割払の定めがないこと。

(c) that there are provisions setting forth that the fixed due date for the redemption of principal is the day on which less than one year has elapsed from the day of paying-in of the total amount of the book-entry transfer foreign bonds, and that there are no provisions setting forth that the redemption of principal be made in installments; and

ニ　利息の支払期限を、ハの元本の償還期限と同じ日とする旨の定めがあること。

(d) that there are provisions setting forth that the due date for the interest payment is the same date as the due date for the redemption of principal as set forth in (c);

二　前条各号に掲げる要件のすべてに該当するもの（前号に掲げるものを除く。）

(ii) the securities which satisfy all of the requirements listed in the items of the preceding Article (limited to those specified in the preceding item).

（株券等に準ずる有価証券）

(Securities Equivalent to Share Certificates)

第四十二条　令第十五条の十八第一号に規定する内閣府令で定める有価証券は、社債券であって、株券（優先出資証券（協同組織金融機関の優先出資に関する法律に規定する優先出資証券をいう。以下同じ。）を含む。）、新株予約権証券又は新株予約権付社債券により償還することができる旨の特約が付されているもの（当該社債券の発行会社以外の会社が発行したこれらの有価証券により償還することができる旨の特約が付されているものに限る。）とする。

Article 42 The securities to be specified by Cabinet Office Order as referred to in Article 15-18, item (i) of the Order are the corporate bond certificate with special provisions setting forth that redemption by means of share certificates (including preferred equity securities (meaning the preferred equity securities prescribed in the Act on preferred equity investment by cooperative structured financial institutions; the same applies hereinafter)), share option certificates or bonds with share options may be made (limited to the corporate bond certificates with special provisions setting forth that redemption may be made by means of the aforementioned securities issued by a company other than the issuer company of such corporate bond certificates).

（登録の申請）

(Application for Registration)

第四十三条　法第三十三条の二の登録を受けようとする者は、別紙様式第九号により作成した法第三十三条の三第一項の登録申請書に、当該登録申請書の写し及び同条第二項又は第三項の規定により当該登録申請書に添付すべき書類又は電磁的記録を添付して、その者の本店等の所在地を管轄する財務局長（当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長）に提出しなければならない。

Article 43 A person that intends to obtain the registration under Article 33-2 of the Act must submit to the director-general of a local finance bureau with jurisdiction over the location of that person's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the director-general thereof) a written application for registration set forth in Article 33-3, paragraph (1) of the Act prepared in accordance with Appended Form No. 9, attaching a copy thereof and the documents or electronic or magnetic record to be attached thereto pursuant to the provisions of paragraph (2) or (3) of that Article.

（登録申請書の記載事項）

(Matters to Be Stated in Written Application for Registration)

第四十四条　法第三十三条の三第一項第九号に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 44 The matters to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (1), item (ix) of the Act are as follows:

一　使用人のうち次のいずれかに該当する者があるときは、その者の氏名

(i) if any of the employees of the applicant for registration falls under any of the following, the name of such employee:

イ　登録金融機関業務に関し、法令等を遵守させるための指導に関する業務を統括する者及び部長、次長、課長その他いかなる名称を有する者であるかを問わず、当該業務を統括する者の権限を代行し得る地位にある者

(a) a person that supervises the affairs related to instructions for ensuring compliance with the laws and regulations in regard to the registered financial institution business; and a person that holds a position whereby the person may exercise the authority on behalf of the person that supervises such affairs, such as a general manager, vice-chief, section manager or any other person, irrespective of the job title;

ロ　投資助言業務又は投資運用業に関し、助言又は運用（その指図を含む。以下同じ。）を行う部門を統括する者及び金融商品の価値等の分析に基づく投資判断を行う者

(b) a person that supervises the section in charge of carrying out advise and investment (including the provision of an instruction thereon; the same applies hereinafter) and a person that makes an investment decision based on analysis of the value of financial instruments and other factors, in connection with the investment advisory business or investment management business;

二　法第三十七条の七第一項第五号イに定める業務に係る手続実施基本契約を締結する措置を講ずる当該手続実施基本契約の相手方である指定紛争解決機関の商号又は名称並びに加入する金融商品取引業協会及び対象事業者となる認定投資者保護団体の名称

(ii) the trade name or name of the designated dispute resolution organization with which a basic contract for implementation of dispute procedures is concluded for the purpose of taking the measures to conclude such contract for implementation of dispute procedures pertaining to the business specified in Article 37-7, paragraph (1), item (v), (a) of the Act and the name of the financial instruments firms association of which the applicant for registration is to become a member; and the name of the certified investor protection organization of which the applicant for registration is to become a target business operator;

三　会員等となる金融商品取引所の名称又は商号

(iii) the name or trade name of the financial instruments exchange of which the applicant for registration is to become a member, etc.;

四　法第三十三条の二第一号又は第二号に掲げる行為を業として行う場合には、次に掲げる事項

(iv) if the applicant for registration intends to conduct any of the acts specified in Article 33-2, item (i) or (ii) of the Act in the course of trade, the following matters:

イ　その旨

(a) to that effect;

ロ　法第三十三条第二項第五号に掲げる取引について、同号に定める行為を業として行う場合には、その旨

(b) if the applicant for registration intends to conduct in the course of trade the act specified in Article 33, paragraph (2), item (v) of the Act with regard to the transaction specified in that item, to that effect;

四の二　電子取引基盤運営業務を行う場合には、その旨

(iv)-2 in cases of conducting electronic trading platform management services, to that effect;

五　商品関連業務を行う場合には、その旨

(v) in cases of conducting commodity-related businesses, to that effect;

六　金融商品仲介業務を行う場合には、委託金融商品取引業者（金融商品仲介業務の委託を受ける第一種金融商品取引業を行う金融商品取引業者をいう。第二百七十五条第一項第二十七号を除き、以下同じ。）の商号

(vi) if the applicant for registration intends to conduct any financial instruments intermediary service operation, the trade name of the entrusting financial instruments business operator (meaning the financial instruments business operator engaged in a type-I financial instruments business from which the applicant for registration accepts the entrustment of a financial instruments intermediary service operation; the same applies hereinafter except in Article 275, paragraph (1), item (xxvii));

七　商品投資関連業務を行う場合には、次に掲げる事項

(vii) if the applicant for registration intends to conduct a business related to commodities investment, the following matters:

イ　その旨

(a) to that effect;

ロ　その行う商品投資関連業務が令第三十七条第一項第二号ロに掲げる物品又は農林水産関係商品等のみに係るものである場合には、その旨

(b) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods specified in Article 37, paragraph (1), item (ii), (b) of the Order or the agriculture, forestry and fisheries goods, etc., to that effect;

ハ　その行う商品投資関連業務が令第三十七条第一項第二号ハからホまでに掲げる物品又は経済産業関係商品等のみに係るものである場合には、その旨

(c) if the business related to commodities investment to be conducted by the applicant for registration only pertains to the goods specified in Article 37, paragraph (1), item (ii), (c) through (e) of the Order or the economy, trade and industry goods, etc., to that effect; and

ニ　競走用馬投資関連業務を行う場合には、その旨

(d) if the applicant for registration intends to conduct a business related to investment in racehorses, to that effect;

八　法第百九十四条の六第二項各号に掲げる行為を業として行う場合には、その旨

(viii) if the applicant for registration intends to conduct the acts listed in the items of Article 194-6, paragraph (2) of the Act in the course of trade, to that effect;

九　不動産信託受益権等売買等業務を行う場合には、その旨

(ix) if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, to that effect;

十　不動産関連特定投資運用業を行う場合には、その旨

(x) if the applicant for registration intends to conduct a specified investment management business related to real property, to that effect; and

十一　本店等の名称及び所在地

(xi) the names and locations of its head office, etc.

（業務の内容及び方法）

(Contents and Methods of Business)

第四十五条　法第三十三条の三第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 45 The contents and methods of a business to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (ii) of the Act are as follows:

一　業務運営に関する基本原則

(i) the basic principles of business operation;

二　業務執行の方法

(ii) the method of execution of business;

三　業務分掌の方法

(iii) the method of allocation of business operation;

四　業として行う金融商品取引行為の種類

(iv) types of acts that constitute financial instruments transactions to be conducted in the course of trade;

五　苦情の解決のための体制（法第三十七条の七第一項第五号ロに定める業務に関する苦情処理措置及び紛争解決措置の内容を含む。）

(v) the system for handling complaints (including the contents of the complaint processing measures and dispute resolution measures concerning the business specified in Article 37-7, paragraph (1), item (v), (b) of the Act);

六　法第三十三条の二各号に掲げる行為を業として行う場合には、次に掲げる事項

(vi) if the applicant for registration intends to conduct any of the acts listed in the items of Article 33-2 of the Act in the course of trade, the following matters:

イ　取り扱う有価証券及び業として行うデリバティブ取引の種類（商品関連業務を行う場合にあっては、取引の対象とする商品又は商品に係る金融指標を含む。）

(a) the types of the securities to be handled, and the type of the derivative transactions to be conducted in the course of trade (in cases of conducting commodity-related business, including the commodities for transactions or indicators pertaining to the commodities);

ロ　法第二条第二項第一号又は第二号に掲げる権利を取り扱うときは、当該権利に係る信託財産の種類

(b) if the applicant for registration intends to handle the rights specified in Article 2, paragraph (2), item (i) or (ii) of the Act, the type of the trust property pertaining to such rights;

ハ　法第二条第二項第五号又は第六号に掲げる権利を取り扱うときは、当該権利に係る出資対象事業の概要

(c) if the applicant intends to handle the rights specified in Article 2, paragraph (2), item (v) or (vi) of the Act, the outline of the invested business pertaining to such rights;

ニ　損失の危険の管理方法

(d) the means of risk management concerning loss;

ホ　法第三十三条第二項第一号に掲げる有価証券について有価証券の元引受けに係る業務を行う場合には、次に掲げる事項

(e) if the applicant for registration intends to conduct a business related to the wholesale underwriting of securities with regard to the securities specified in Article 33, paragraph (2), item (i) of the Act, the following matters:

（１）　当該業務を管理する責任者の氏名及び役職名

1. the name and title of the person responsible for management of the business;

（２）　当該業務を行う部署の名称及び組織の体制

2. the name and organizational structure of the section in charge of the business;

（３）　当該業務に係る損失の危険相当額の算定方法

3. the method of calculating the value of loss risk equivalent pertaining to the business;

（４）　当該業務に係る損失の危険相当額の限度枠の設定及び適用方法

4. the method of establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business;

（５）　当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制

5. the name and structure of the section in charge of calculating the value of loss risk equivalent pertaining to the business and management of the ceiling thereof;

（６）　当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制

6. the frequency of inspection of the execution of the business, the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and

（７）　その他当該業務に係る損失の危険の管理に関する重要な事項

7. any other important matter related to the risk management concerning loss pertaining to the business;

ヘ　法第三十三条第二項第五号に掲げる取引について同号に定める行為に係る業務を行う場合には、次に掲げる事項

(f) if the applicant for registration intends to conduct a business in relation to the act specified in Article 33, paragraph (2), item (v) of the Act in connection with the transaction specified in that item, the following matters:

（１）　当該業務を管理する責任者の氏名及び役職名

1. the name and job title of the person responsible for the management of the business;

（２）　当該業務を行う部署の名称及び組織の体制

2. the name and organizational structure of the section in charge of the business;

（３）　当該業務に係る顧客との取引開始基準

3. the conditions for starting transactions with the customers of the business;

（４）　当該業務に係る損失の危険相当額の算定方法及び算定の頻度（取引所金融商品市場における相場、金利、通貨の価格その他の指標の変動により発生し得る損失の危険、取引の相手方の契約不履行その他の理由により発生し得る損失の危険及びこれらの理由以外の理由により発生し得る損失の危険ごとに記載すること。）

4. the method and frequency of calculating the value of loss risk equivalent pertaining to the business (such information is itemized by the risk of loss which may accrue due to fluctuations in indicators such as quotations on the financial instruments exchange market, interest rates or value of currencies, the risk of loss which may accrue due to a default in the performance of contracts by counterparties to the transactions and on any other reason, and the risk or loss which may accrue due to reasons other than on the aforementioned reasons);

（５）　当該業務に係る損失の危険相当額の限度枠の設定及び適用方法並びに取引の種類及び顧客の属性別の当該限度枠の設定及び適用方法

5. the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business; and the method of the establishment and application for such ceiling classified in accordance with the types of transactions and categories of the customers;

（６）　当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制

6. the name and structure of the section in charge of calculating the value of loss risk equivalent pertaining to the business and management of the ceiling thereof;

（７）　当該業務に係る損失の危険相当額及びその限度枠の適用状況について、代表権を有する取締役若しくは執行役又は理事（外国法人にあっては、国内における営業所若しくは事務所に駐在する取締役若しくは執行役若しくはこれらに準ずる者又は国内における代表者）に報告する頻度

7. the frequency of reporting the value of loss risk equivalent pertaining to the business and the status of the application of the ceiling thereof to directors or executive officers with the authority of representation or board members (in the case of a foreign corporation, its directors, executive officers or any other person holding a position equivalent thereto that is stationed at the business office or other office in Japan, or its representative person in Japan);

（８）　当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法

8. the method of the preparation and preservation of material which would serves as the basis of the calculation of the value of loss risk equivalent pertaining to the business;

（９）　当該業務の執行並びに損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制

9. the frequency of inspection of the execution of the business, the value of loss risk equivalent and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and

（１０）　その他当該業務に係る損失の危険の管理に関する重要な事項

10. any other important matter related to the risk management concerning loss pertaining to the business;

七　電子取引基盤運営業務を行う場合には、次に掲げる事項

(vii) if the applicant for registration intends to conduct an electronic trading platform management service, the following matters:

イ　電子取引基盤運営業務において行う特定店頭デリバティブ取引の種類及びその具体的内容

(a) the types and specific details of the specified over-the-counter derivatives transactions to be conducted in relation to the electronic trading platform management service;

ロ　電子取引基盤運営業務を管理する責任者の氏名及び役職名

(b) the name and job title of the person responsible for the management of the electronic trading platform management service;

ハ　電子取引基盤運営業務を行う部署及び法第四十条の七第二項の規定に基づく公表に係る業務を行う部署（電子取引基盤運営業務の一部又は同項の規定に基づく公表に係る業務の一部を他の者に委託する場合にあっては、その者を含む。）の名称及び組織の体制

(c) the name and organizational structure of the section in charge of the electronic trading platform management service and the section in charge of the business relating to the publication under Article 40-7, paragraph (2) of the Act (if a part of the electronic trading platform management service or a part of the business relating to the publication under that paragraph is to be entrusted to any other person, including such person);

ニ　電子取引基盤運営業務に係る顧客との取引開始基準及び顧客の管理方法

(d) the conditions for starting transactions with customers pertaining to the electronic trading platform management service, and the methods of management of the customers;

ホ　料金に関する事項

(e) matters relating to fees;

ヘ　売付け及び買付けの気配その他価格情報を顧客に公表する方法（電子情報処理組織の使用その他の電子的方法に限る。）

(f) the method of disclosing quotes for the sale or purchase and other pricing information to customers (limited to the method using an electronic data processing system or other electronic methods);

ト　取引価格の決定方法（特定店頭デリバティブ取引において当事者が想定元本として定めた金額が、第百二十五条の八第二項各号に掲げる特定店頭デリバティブ取引の効力が生じる日から当該効力が消滅する日までの期間の区分に応じ、当該各号に定める金額以下である場合には、次の（１）に掲げるもの又は次の（１）若しくは（２）に掲げるもののいずれかを顧客が選択することができるものに限る。）及び取引の成立の時期

(g) the method for deciding the transaction price (for a specified over-the-counter derivatives transactions, if the amount designated by the party as a notional principal does not exceed the amount specified in the items of Article 125-8, paragraph (2) according to the categories of periods from the day when the specified over-the-counter derivatives transaction takes effect to the day when such transaction ceases to be in effect as respectively specified in these items, limited to the method enabling customers to choose either the method specified in the following 1., or the method specified in the following 1. or 2., as well as the time when the transaction takes effect;

（１）　ヘの規定により公表された自己又は顧客の売付け及び買付けの気配に基づく価格を用いる方法

1. the method using a price based on quotes for the sale or purchase of itself or customers publicized pursuant to the provisions of (f);

（２）　顧客の間の交渉（顧客の指定に基づき三以上の他の顧客に対して売付け又は買付けの気配の提示を求め、当該求めに応じ当該他の顧客が提示した売付け又は買付けの気配、ヘの規定により公表された売付け又は買付けの気配及び自己が売付け又は買付けの気配を提示する場合における当該気配を当該顧客に通知した上で行うものに限る。）に基づく価格を用いる方法

2. the method using a price determined based on a negotiation among customers (limited to a negotiation conducted after requesting three or more other customers designated by the customer to present quotes for the sale or purchase, and notifying the customer of the quotes for sale or purchase presented by the other customers in response to the request, the quotes for sale or purchase publicized pursuant to the provisions of (f) and the quotes if the applicant for registration presents the quotes for sale or purchase);

チ　法第四十条の七第二項の規定に基づく公表を行う方法

(h) the method of the public announcement under Article 40-7, paragraph (2) of the Act;

リ　電子取引基盤運営業務において使用する電子情報処理組織の概要、設置場所、容量及び保守の方法並びに当該電子情報処理組織に異常が発生した場合の対処方法

(i) the outline, location, volume and maintenance method of the electronic data processing system to be used for the electronic trading platform management service, and the method of handling if a malfunction of the electronic data processing system occurs;

ヌ　電子取引基盤運営業務に係る決済の方法（法第百五十六条の六十二第一号又は第二号に掲げる取引に基づく債務を金融商品取引清算機関（当該金融商品取引清算機関が連携金融商品債務引受業務を行う場合には、連携清算機関等を含む。）又は外国金融商品取引清算機関に適切かつ迅速に負担させるための方法を含む。）及び顧客の契約不履行が生じた場合の対処方法

(j) the method of settlement for the electronic trading platform management service (including the method of ensuring that the obligations arising from the transactions specified in Article 156-62, item (i) or (ii) of the Act are assumed by a financial instruments clearing organization (including a collaborating clearing organization, etc., if the financial instruments clearing organization conducts collaborative financial instruments obligation assumption service) or a foreign financial instruments clearing organization in an appropriate and swift manner), and the method of handling if a customer defaults on a contract;

ル　電子取引基盤運営業務に係る取引記録の作成及び保存の方法

(k) the method for the preparation and preservation of the transaction records for the electronic trading platform management service;

ヲ　電子取引基盤運営業務の執行状況について、検査を行う頻度、部署の名称及び体制

(l) the frequency of the inspection on the status of the execution of the electronic trading platform management service, and the name and structure of the section in charge of such inspection;

ワ　不公正な取引の防止の方法その他の取引の公正の確保に関する事項

(m) the method of the prevention of unfair transactions, and any other matters relating to the securing of fair transactions; and

カ　その他電子取引基盤運営業務に係る損失の危険の管理に関する重要な事項

(n) other important matters in regard to methods of management of risks of loss relating to the electronic trading platform management service;

八　投資助言・代理業を行う場合には、第八条第八号イからニまでに掲げる事項

(viii) if the applicant for registration intends to conduct an investment advisory and agency business, the matters listed in Article 8, item (viii), (a) through (d);

九　投資運用業を行う場合には、第八条第九号イからホまでに掲げる事項

(ix) if the applicant for registration intends to conduct investment management business, the matters listed in Article 8, item (ix), (a) through (e);

十　有価証券等管理業務を行う場合には、法第四十三条の二から第四十三条の三までの規定による管理の方法

(x) if the applicant for registration intends to conduct a securities, etc. management business, the management methods under Article 43-2 through Article 43-3 of the Act;

十一　電子募集取扱業務を行う場合には、第八条第十号イ及びニに掲げる事項

(xi) in cases of conducting electronic public offering services, the matters specified in Article 8, item (x), (a) and (d);

十二　第七十条の四第一項各号に掲げる措置に関する次に掲げる事項

(xii) the following matters concerning the measures listed in the respective items of Article 70-4, paragraph (1):

イ　当該措置の実施の方法

(a) the method for carrying out such measures; and

ロ　当該措置の実施を所掌する組織及びその人員の配置

(b) the organization in charge of carrying out such measures and the positions of personnel therefor;

十三　第百二十三条第一項第十八号ホ及び第二十四号ニに規定する場合において情報を受領し、又は提供するときは、電子情報処理組織の保守及び管理に関する業務並びに第百五十三条第三項に規定する内部の管理及び運営に関する業務に関する次に掲げる事項

(xiii) if the applicant for registration intends to receive or supply information in the cases referred to in Article 123, paragraph (1), item (xviii), (e) and item (xxiv), (d), the following matters concerning affairs related to the maintenance and management of electronic data processing systems and concerning affairs related to internal management and operation prescribed in Article 153, paragraph (3):

イ　当該情報を受領し、又は提供する委託金融商品取引業者の商号又は名称

(a) the trade name or name of the entrusting financial instruments business operator that receives or supplies the information;

ロ　業務執行の方法

(b) the method for execution of the affairs; and

ハ　当該業務を所掌する組織及びその人員の配置

(c) the organization in charge of such affairs and the positions of the personnel therefor;

十四　第百五十四条第四号ト、リ及びヌに規定する場合において情報を提供するときは、当該情報を受領する親法人等又は子法人等の商号又は名称

(xiv) if the applicant for registration intends to supply information in the case referred to in Article 154, item (iv), (g), (i) and (j), the trade name or name of the parent corporation, etc. or subsidiary corporation, etc. that receives such information; and

十五　登録金融機関業務として高速取引行為を行う場合には、第八条第十一号イからニまでに掲げる事項

(xv) if the applicant for registration intends to conduct high-speed trading as a registered financial institution business, the matters specified in Article 8, item (xi), (a) through (d).

（登録申請書の添付書類）

(Documents to Be Attached to Written Application for Registration)

第四十六条　法第三十三条の三第二項第三号に規定する内閣府令で定めるものは、関係会社（親法人等、子法人等又は持株会社をいう。第五号において同じ。）の状況として次に掲げる事項とする。

Article 46 The conditions to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (iii) of the Act are the status of the associated company (meaning a parent corporation, etc., a subsidiary corporation, etc. or a holding company; the same applies in item (v)), as listed in the following items:

一　商号又は名称

(i) the trade name or name;

二　資本金の額、基金の総額又は出資の総額

(ii) the amount of stated capital, the total amount of funds or the total amount of investment;

三　本店又は主たる事務所の所在地

(iii) the location of the head office or principal office;

四　事業の種類

(iv) the type of business;

五　登録申請者と関係会社との間の資本関係、人的関係及び最近一年間の業務上の関係

(v) the capital relationship and personal relationship between the applicant for registration and the associated company, as well as their business relationship in the past year; and

六　親法人等、子法人等又は持株会社のいずれに該当するかの別

(vi) information as to whether the associated company falls under the category of parent corporation, etc., subsidiary corporation, etc. or the holding company.

第四十七条　法第三十三条の三第二項第四号に規定する内閣府令で定める書類は、次に掲げる書類とする。

Article 47 (1) The documents to be specified by Cabinet Office Order as referred to in Article 33-3, paragraph (2), item (iv) of the Act are as follows:

一　業務に係る人的構成及び組織等の業務執行体制を記載した書面

(i) documents stating the applicant for registration's system for conducting business, such as its structure of personnel and the organizational structure pertaining to the business;

二　登録金融機関業務を担当する役員及び重要な使用人（第四十四条第一号イ又はロのいずれかに該当する使用人をいう。第五十一条第一項第四号において同じ。）の履歴書（役員が法人であるときは、当該役員の沿革を記載した書面）

(ii) the resumes of the officers and major employees (meaning an employee that falls under any of Article 44, item (i), (a) or (b); the same applies in Article 51, paragraph (1), item (iv)) in charge of the registered financial institution business (if the officer is a corporation, the document containing the background of such officer);

三　金融商品取引業協会（登録申請者が行う業務を行う者を主要な協会員又は会員とするものに限る。）に加入しないときは、当該業務に関する社内規則

(iii) if the applicant for registration is not to become a member of a financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business implemented by the applicant for registration), the internal rules concerning the business;

四　電子取引基盤運営業務を行う場合には、次に掲げる書類

(iv) if the applicant for registration intends to conduct an electronic trading platform management service, the following documents:

イ　電子取引基盤運営業務を管理する責任者の履歴書

(a) the resume of the person responsible for the management of the electronic trading platform management service;

ロ　電子取引基盤運営業務に関する社内規則

(b) the internal rules concerning the electronic trading platform management service;

ハ　電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類

(c) contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and

ニ　第四十五条第七号リに掲げるものに関する登録申請者と特別の利害関係のない者の評価書

(d) an appraisal report issued by a person having no special interest relationship with the applicant for registration in relation to the matters specified in Article 45, item (vii), (i);

五　競走用馬に係る商品投資関連業務を行う場合には、第四十九条第三号に掲げる基準に該当しないことを証する書面

(v) if the applicant for registration intends to conduct a business related to commodities investment pertaining to racehorses, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 49, item (iii);

六　不動産信託受益権等売買等業務を行う場合には、第四十九条第四号に掲げる基準に該当しないことを証する書面

(vi) if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, a document evidencing that the applicant for registration does not fall under the criteria specified in Article 49, item (iv);

七　不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(vii) a document stating the matters related to the applicant for registration's ability to carry out the business, if the applicant for registration intends to conduct a specified investment management business related to real property;

八　貸借対照表に関連する注記及び損益計算書に関連する注記

(viii) the notes in reference to the balance sheet and the notes in reference to the profit and loss statement;

九　法第三十三条第二項第一号に掲げる有価証券について有価証券の元引受けに係る業務を行う場合又は同項第五号に掲げる取引について同号に定める行為に係る業務を行う場合には、次に掲げる書類

(ix) if the applicant for registration intends to conduct a business pertaining to the wholesale underwriting of securities in regard to the securities specified in Article 33, paragraph (2), item (i) of the Act, or the business pertaining to the act specified in item (v) of that paragraph with regard to the transaction specified in that item, the following documents:

イ　当該業務を管理する責任者の履歴書

(a) the resume of the person responsible for the management of the business;

ロ　当該業務に関する社内規則

(b) the internal rules regarding the business;

ハ　当該業務に関し顧客と取引を行う際に使用する契約書類

(c) the contracts to be used in transactions with customers in connection with the business; and

十　金融商品仲介業務を行う場合には、委託金融商品取引業者との間の金融商品仲介業務の委託契約に係る契約書の写し

(x) if the applicant for registration intends to conduct a financial instruments intermediary service operation, a copy of the contract for the entrustment of a financial instruments intermediary service operation concluded with the entrusting financial instruments business operator; and

十一　登録金融機関業務として高速取引行為を行う場合には、高速取引行為に係る業務を管理する責任者の履歴書

(xi) in the case of conducting a high-speed trading as a registered financial institution business, the resume of the person responsible for the management of business relating to the high-speed trading.

２　前項第七号に掲げる書類を添付する場合において、貸借対照表に関連する注記又は損益計算書に関連する注記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（第十一条に定めるものに限る。）を添付することができる。

(2) If the applicant for registration intends to attach the document specified in item (vii) of the preceding paragraph, if the notes in reference to the balance sheet or the notes in reference to the profit and loss statement have been prepared by means of an electronic or magnetic record, such applicant for registration may attach the electronic or magnetic record (limited to the record specified in Article 11) in lieu of documents.

（金融機関登録簿の縦覧）

(Public Inspection of Registry of Registered Financial Institutions)

第四十八条　管轄財務局長等は、その登録をした登録金融機関に係る金融機関登録簿を当該登録金融機関の本店等の所在地を管轄する財務局（当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局）に備え置き、公衆の縦覧に供するものとする。

Article 48 The competent director-general of local finance bureau, etc. is to keep the registry of registered financial institutions containing information on the registered financial institutions to which such person has granted registrations, at the local finance bureau with jurisdiction over the location of the relevant registered financial institution's head office, etc. (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, at the Fukuoka Local Finance Branch Bureau), and make it available for public inspection.

（人的構成の審査基準）

(Criteria for Examination of Structure of Personnel)

第四十九条　法第三十三条の五第一項第三号に規定する登録金融機関業務を適確に遂行するに足りる人的構成を有しない者であるかどうかの審査をするときは、登録申請者が次に掲げるいずれかの基準に該当するかどうかを審査するものとする。

Article 49 When conducting an examination under Article 33-5, paragraph (1), item (iii) of the Act as to whether the applicant for registration lacks a structure of personnel sufficient to conduct a registered financial institution business in the appropriate manner, it is to be examined whether the applicant for registration falls under any of the following criteria:

一　その行う業務に関する十分な知識及び経験を有する役員又は使用人の確保の状況並びに組織体制に照らし、当該業務を適正に遂行することができないと認められること。

(i) that the applicant for registration is found not to be able to conduct the business in a proper manner, considering status of securing officers or employees having sufficient knowledge and experience for conducting the business as well as its organizational structure;

二　役員又は使用人のうちに、経歴、暴力団員による不当な行為の防止等に関する法律第二条第二号に規定する暴力団又は同条第六号に規定する暴力団員との関係その他の事情に照らして業務の運営に不適切な資質を有する者があることにより、登録金融機関業務の信用を失墜させるおそれがあると認められること。

(ii) that the applicant for registration is found to be likely to cause a loss of confidence in a registered financial institution business, on the grounds of having any officer or employee with qualities unfit for the operation of the business in light of such officer's or employee's career, relationship with the organized crime group set forth in Article 2, item (ii) of the Act on Prevention of Illegal Acts by Organized Crime Group Members or relationship with the organized crime group members set forth item (vi) of that Article or any other circumstances;

三　競走用馬に係る商品投資関連業務を行う場合には、次に掲げる要件に該当しないこと。

(iii) that, if the applicant for registration intends to conduct a business related to commodities investment for racehorses, such applicant for registration does not fall under any of the following requirements:

イ　あらかじめ日本中央競馬会又は地方競馬全国協会による指導を受けていること。

(a) that the applicant for registration has been given guidance in advance by the Japan Racing Association or the National Association of Racing;

ロ　その行う商品投資関連業務が第七条第四号ニ（１）に掲げる権利に係る競走用馬投資関連業務又は同号ニ（２）に掲げる権利に係る競走用馬投資関連業務のいずれかのみに該当すること。

(b) that the business related to commodities investment to be conducted by the applicant for registration only falls under either of the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 1. or the business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2.;

ハ　第七条第四号ニ（２）に掲げる権利に係る競走用馬投資関連業務を行う場合には、競馬法第十三条第一項（同法第二十二条において準用する場合を含む。）の登録を受けていること。

(c) that, if the applicant for registration intends to conduct a business related to investment in racehorses pertaining to the rights specified in Article 7, item (iv), (d), 2., such applicant for registration has obtained a registration under Article 13, paragraph (1) of the Horse Racing Act (including as applied mutatis mutandis pursuant to Article 22 of that Act);

四　不動産信託受益権等売買等業務を行う場合には、次に掲げる要件に該当しないこと。

(iv) that, if the applicant for registration intends to conduct a business of transaction, etc. of beneficial interest in real property trust, such applicant for registration does not fall under the following requirements:

イ　宅地又は建物の取引に関する専門的知識及び経験を有する役員又は使用人を次に掲げる部門にそれぞれ配置していること。

(a) that the applicant for registration has assigned its officers or employees having expert knowledge of and experience in the transaction related to building lots or buildings to each of the following sections:

（１）　不動産信託受益権等売買等業務の統括に係る部門

1. the section in charge of supervising the business of transaction, etc. of beneficial interest in real property trust;

（２）　内部監査に係る部門

2. the section in charge of the internal audit; and

（３）　法令等を遵守させるための指導に関する業務に係る部門

3. the section in charge of affairs related to instructions for ensuring compliance with the laws and regulations, etc.;

ロ　不動産信託受益権等売買等業務を行う役員又は使用人が、第八十五条第一項各号に掲げる事項について、顧客の知識、経験、財産の状況及び金融商品取引契約を締結する目的に照らして当該顧客に理解されるために必要な方法及び程度による説明をするために必要な宅地又は建物の取引に関する専門的知識及び経験を有していること。

(b) that the officers or the employees that are to conduct the business of transaction, etc. of beneficial interest in real property trust have sufficient expert knowledge of and experience in transactions of building lots or buildings which enable them to provide explanations so that a customer is able to understand the matters specified in the items of Article 85, paragraph (1), in a manner and to the extent as may be required in light of the customer's knowledge, experience and conditions of property and in light of the purpose of the conclusion of a contract for financial instruments transaction.

五　不動産関連特定投資運用業を行う場合には、金融庁長官の定める要件に該当しないこと。

(v) that, if the applicant for registration intends to conduct a specified investment management business related to real property, such applicant for registration does not fall under the requirements specified by the Commissioner of the Financial Services Agency.

（有価証券に係る店頭デリバティブ取引についての登録の条件）

(Conditions for Registration of Over-the-Counter Transactions of Derivatives Pertaining to Securities)

第五十条　法第三十三条の五第二項に規定する内閣府令で定める条件は、次に掲げる条件とする。

Article 50 The conditions to be specified by Cabinet Office Order as referred to in Article 33-5, paragraph (2) of the Act are as follows:

一　登録金融機関である銀行、保険会社（保険業法（平成七年法律第百五号）第二条第二項に規定する保険会社をいい、同条第七項に規定する外国保険会社等を含む。以下同じ。）、信用金庫連合会、農林中央金庫又は株式会社商工組合中央金庫にあっては、業として株券関連店頭デリバティブ取引（株券の価格又は株価指数（株券の価格に基づき算出される指数をいう。第四号において同じ。）の変動によりその時価が変動する法第三十三条第二項第五号に掲げる取引をいう。以下この条において同じ。）を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定（銀行法施行規則（昭和五十七年大蔵省令第十号）第十三条の六の三第一項、長期信用銀行法施行規則（昭和五十七年大蔵省令第十三号）第十二条の四の三第一項、保険業法施行規則（平成八年大蔵省令第五号）第五十三条の六の二第一項、信用金庫法施行規則（昭和五十七年大蔵省令第十五号）第百七条第一項、農林中央金庫法施行規則（平成十三年内閣府・農林水産省令第十六号）第六十五条第一項又は経済産業省・財務省・内閣府関係株式会社商工組合中央金庫法施行規則（平成二十年内閣府・財務省・経済産業省令第一号）第十八条第一項に規定する特定取引勘定（銀行法（昭和五十六年法律第五十九号）第四十七条第二項に規定する外国銀行支店又は保険業法第二条第七項に規定する外国保険会社等にあっては、特定取引勘定に類する勘定）をいう。以下この条において同じ。）において経理すること。

(i) that, if any bank, insurance company (meaning an insurance company as prescribed in Article 2, paragraph (2) of the Insurance Business Act (Act No. 105 of 1995) and including a foreign insurance company, etc. as prescribed in paragraph (7) of that Article; the same applies hereinafter), federation of Shinkin banks, the Norinchukin Bank or the Shoko Chukin Bank Limited, which falls under the category of registered financial institution, conducts over-the-counter transactions of derivatives related to share certificates (meaning the transaction specified in Article 33, paragraph (2), item (v) of the Act wherein the market value fluctuates depending on the fluctuation of price of share certificates or stock price index (meaning the index calculated based on the price of share certificates; the same applies in item (iv)); hereinafter the same applies in this Article) in the course of trade, the accounting for such over-the-counter transactions of derivatives related to share certificates is managed in a specified transaction account (meaning the specified transaction account prescribed in Article 13-6-3, paragraph (1) of the Regulation for Enforcement of Banking Act (Order of the Ministry of Finance No. 10 of 1982), Article 12-4-3, paragraph (1) of the Regulation for Enforcement of Long Term Credit Bank Act (Order of the Ministry of Finance No. 13 of 1982), Article 53-6-2, paragraph (1) of the Regulation for Enforcement of Insurance Business Act (Order of the Ministry of Finance No. 5 of 1996), Article 107, paragraph (1) of the Regulation for Enforcement of the Shinkin Bank Act (Order of the Ministry of Finance No. 15 of 1982), Article 65, paragraph (1) of the Regulation for Enforcement of the Norinchukin Bank Act (Order of the Cabinet Office and the Ministry of Agriculture, Forestry and Fisheries No. 16 of 2001) or Article 18, paragraph (1) of the Regulation for Enforcement of The Shoko Chukin Bank Limited Act Relevant to the Ministry of Economy, Trade and Industry, the Ministry of Finance and the Cabinet Office (Order of the Cabinet Office, the Ministry of Finance and the Ministry of Economy, Trade and Industry No. 1 of 2008) (in case of a branch office of a foreign bank prescribed in Article 47, paragraph (2) of the Banking Act (Act No. 59 of 1981) or a foreign insurance company, etc. prescribed in Article 2, paragraph (7) of the Insurance Business Act, an account similar to a specified transaction account); hereinafter the same applies in this Article);

二　前号に規定する登録金融機関以外の登録金融機関にあっては、業として株券関連店頭デリバティブ取引を行う場合には、当該株券関連店頭デリバティブ取引を特定取引勘定に準ずる勘定において経理すること。

(ii) that, if any registered financial institution other than that specified in the preceding item intends to conduct over-the-counter transactions of derivatives related to share certificates in the course of trade, the accounting for such over-the-counter transactions of derivatives related to share certificates is managed in an account equivalent to the specified transaction account;

三　前二号の規定にかかわらず、業として株券関連店頭デリバティブ取引を行う登録金融機関は、次に掲げる条件のすべてに該当する株券関連店頭デリバティブ取引のみを特定取引勘定（前号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定）以外の勘定において経理することができること。

(iii) that, notwithstanding the provisions of the preceding two items, a registered financial institution which conducts over-the-counter transactions of derivatives related to share certificates in the course of trade may manage only the over-the-counter transactions of derivatives related to share certificates which satisfy all of the following requirements in an account other than the specified transaction account (in the case of a registered financial institution as set forth in the preceding item, an account other than an account equivalent to the specified transaction account):

イ　当該株券関連店頭デリバティブ取引の相手方が、法第二十八条第八項第四号に掲げる取引若しくはその媒介、取次ぎ（有価証券等清算取次ぎを除く。）若しくは代理を業として行う金融商品取引業者又は法第三十三条第二項第五号に掲げる取引について同号に定める行為を業として行う登録金融機関であること。

(a) that the counterparty to the over-the-counter transactions of derivatives related to share certificates is a financial instruments business operator conducting the transaction specified in Article 28, paragraph (8), item (iv) of the Act, or an intermediary, brokerage (excluding brokerage for clearing of securities, etc.) or agency service therefor in the course of trade, or is a registered financial institution conducting the act specified in Article 33, paragraph (2), item (v) of the Act in regard to the transaction set forth in that item in the course of trade; and

ロ　当該株券関連店頭デリバティブ取引の相手方が、当該株券関連店頭デリバティブ取引を特定取引勘定（金融商品取引業者にあっては特定取引勘定と同種類の勘定、前号に規定する登録金融機関にあっては特定取引勘定に準ずる勘定）において経理すること。

(b) that the counterparty to the over-the-counter transactions of derivatives related to share certificates manages the accounting for such over-the-counter transactions of derivatives related to share certificates in the specified transaction account (in the case of a financial instruments business operator, in the same type of account as the specified transaction account; or in the case of a registered financial institution set forth in the preceding item, in an account equivalent to the specified transaction account);

四　登録金融機関は、業として株券関連店頭デリバティブ取引を行った場合には、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る損失を有効に減少させるための取引（特定取引勘定（第二号に規定する登録金融機関にあっては、特定取引勘定に準ずる勘定。以下この号において同じ。）において経理するものに限る。）を直ちに行うことにより、当該株券関連店頭デリバティブ取引に係る株券の価格又は株価指数の変動により生じ得る特定取引勘定における損失の額を可能な限り抑制するものとすること。

(iv) that, if a registered financial institution conducts any over-the-counter transactions of derivatives related to share certificates in the course of trade, it is to, to the maximum extent possible, mitigate the amount of loss in the specified transaction account which may accrue from a fluctuation in the price of share certificates or stock price index pertaining to such over-the-counter transactions of derivatives related to share certificates by immediately effecting a transaction (limited to a transaction managed in the specified transaction account (in case of a registered financial institution prescribed in item (ii), in an account equivalent to the specified transaction account; hereinafter the same applies in this item)) which would effectively reduce the loss arising from a fluctuation in the price of share certificates or stock price index pertaining to such over-the-counter transactions of derivatives related to share certificates.

（登録申請書記載事項の変更の届出）

(Notification of Changes to Matters Stated in a Written Application for Registration)

第五十一条　法第三十三条の六第一項の規定により届出を行う登録金融機関は、変更の内容、変更年月日及び変更の理由を記載した届出書に、別紙様式第九号により作成した変更後の内容を記載した書面及び当該書面の写し並びに次の各号に掲げる場合の区分に応じ当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。ただし、やむを得ない事由があるときは、当該各号に定める書類は、当該届出書の提出後遅滞なく提出すれば足りる。

Article 51 (1) A registered financial institution which intends to file the notification under Article 33-6, paragraph (1) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written notification stating the particulars and date of and reasons for the change, attaching a document stating the particulars after such change prepared in accordance with Appended Form No. 9, a copy thereof and a document specified in the following items in accordance the categories of documents respectively set forth therein; provided, however, the documents specified in each of the following items may be submitted without delay after submission of the written notification, if any unavoidable ground exists:

一　法第三十三条の三第一項第一号又は第二号に掲げる事項について変更があった場合　当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面

(i) if there has been any change to the matters specified in Article 33-3, paragraph (1), item (i) or (ii) of the Act: the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof;

二　法第三十三条の三第一項第三号又は第四号に掲げる事項について変更があった場合　次に掲げる書類

(ii) if there has been any change to the matters specified in Article 33-3, paragraph (1), item (iii) or (iv) of the Act: the following documents:

イ　業務に係る人的構成及び組織等の業務執行体制を記載した書面

(a) the documents stating the registered financial institution's system for conducting business, such as its structure of personnel and the organizational structure pertaining to the business;

ロ　当該変更に係る事項を記載した登記事項証明書又はこれに代わる書面

(b) the certificate of the registered matters containing the particulars so changed, or any other document in lieu thereof; and

ハ　新たに役員（登録金融機関業務を担当する者及び会計参与に限る。）となった者の履歴書（役員が法人であるときは、当該役員の沿革を記載した書面）

(c) the resume of the person that has newly assumed the position of officer (limited to an officer in charge of registered financial institution business and an accounting advisor) (if the officer is a corporation, the document containing the background of the officer);

三　法第三十三条の三第一項第七号に掲げる事項について変更があった場合（営業所又は事務所の廃止をした場合に限る。）　当該変更に伴う顧客勘定の処理の内容を記載した書面

(iii) if there has been any change to the matters specified in Article 33-3, paragraph (1), item (vii) of the Act (but only if the business office or any other office was abolished): a document containing the details of the treatment of a customer's account incidental to such change;

四　第四十四条第一号に掲げる事項について変更があった場合　新たに重要な使用人となった者の履歴書

(iv) if there is a change to the matters specified in Article 44, item (i): the resume of the person that newly assumes the position of a major employee;

五　第四十四条第四号から第十号までに掲げる事項について変更があった場合（新たにこれらの号に掲げる業務を行うこととなった場合に限る。）　金融商品取引業協会（当該登録金融機関が新たに行うこととなった業務を行う者を主要な協会員又は会員とするものに限る。）に加入していないときは、当該業務に関する社内規則

(v) in the case of any change in the matters specified in Article 44, items (iv) through (x) (but only if the registered financial institution newly conducts the businesses specified in these items): internal rules relating to the businesses, if the applicant for registration is not a member of any financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business implemented by the applicant for registration);

六　第四十四条第四号の二に掲げる事項について変更があった場合（電子取引基盤運営業務を行うこととなった場合に限る。）　次に掲げる書類

(vi) in the case of any change in the matters specified in Article 44, item (iv)-2 (but only if the registered financial institution is to conduct an electronic trading platform management service), the following documents:

イ　電子取引基盤運営業務を管理する責任者の履歴書

(a) the resume of the person responsible for the management of the electronic trading platform management service;

ロ　電子取引基盤運営業務に関する社内規則

(b) the internal rules concerning the electronic trading platform management service;

ハ　電子取引基盤運営業務に関し顧客と取引を行う際に使用する契約書類及びその添付書類

(c) contracts to be used for the transactions with customers in relation to the electronic trading platform management service and their attachments; and

ニ　第四十五条第七号リに掲げるものに関する届出者と特別の利害関係のない者の評価書

(d) an appraisal report issued by a person having no special interest relationship with the notifying person in relation to the matters specified in Article 45, item (vii), (i);

七　第四十四条第六号に掲げる事項について変更があった場合（新たに金融商品仲介業務の委託を受けることとなった場合に限る。）　委託金融商品取引業者との間の金融商品仲介業務の委託契約に係る契約書の写し

(vii) if there is a change to the matters specified in Article 44, item (vi) (but only if the registered financial institution has come to newly accept the entrustment of a financial instruments intermediary service operation): a copy of the contract for the entrustment of a financial instruments intermediary service operation concluded with the entrusting financial instruments business operator;

八　第四十四条第七号ニに掲げる事項について変更があった場合（競走用馬投資関連業務を行うこととなった場合に限る。）　第四十九条第三号に掲げる基準に該当しないことを証する書面

(viii) if there is a change to the matters specified in Article 44, item (vii), (d) (but only if the registered financial institution has come to conduct a business related to investment in racehorses): a document evidencing that the registered financial institution does not fall under the criteria specified in Article 49, item (iii);

九　第四十四条第九号に掲げる事項について変更があった場合（不動産信託受益権等売買等業務を行うこととなった場合に限る。）　第四十九条第四号に掲げる基準に該当しないことを証する書面

(ix) if there is a change to the matters specified in Article 44, item (ix) (but only if the registered financial institution has come to conduct a business of transaction, etc. of beneficial interest in real property trust): a document evidencing that the registered financial institution does not fall under the criteria specified in Article 49, item (iv); and

十　第四十四条第十号に掲げる事項について変更があった場合（不動産関連特定投資運用業を行うこととなった場合に限る。）　不動産関連特定投資運用業を行う場合における業務遂行能力に関する事項を記載した書面

(x) if there is a change to the matters specified in Article 44, item (x) (but only if the registered financial institution has come to conduct a specified investment management business related to real property): a document containing matters related to its ability to execute the business when a specified investment management business related to real property is to be conducted.

２　所管金融庁長官等は、登録金融機関から管轄財務局長等の管轄する区域を超えて本店等の所在地を変更したことの届出を受理した場合には、届出書及び金融機関登録簿のうち当該登録金融機関に係る部分その他の書類を、当該届出に係る変更後の本店等の所在地を管轄する財務局長（当該所在地が福岡財務支局の管轄区域内にある場合にあっては、福岡財務支局長）に送付し、又は送付させるものとする。

(2) If the Commissioner of Financial Services Agency or other competent official has received from any registered financial institution a notification on the relocation of the head office, etc. filed beyond the jurisdictional district of the competent finance bureau commissioner, etc., the commissioner or official is to send or instruct to send the written notification, the portion of the registry of registered financial institutions pertaining to the relevant registered financial institution and any other documents to the director-general of a local finance bureau with jurisdiction over the relocated address of the head office, etc. notified thereunder (if such location falls within the jurisdictional district of the Fukuoka Local Finance Branch Bureau, to the director-general thereof).

３　前項の規定による書類の送付を受けた財務局長又は福岡財務支局長は、当該登録金融機関に係る事項を金融機関登録簿に登録するものとする。

(3) The director-general of a local finance bureau or the director-general of the Fukuoka Local Finance Branch Bureau who has received the documents sent pursuant to the provisions of the preceding paragraph is to register the matters related to the registered financial institution in the registry of registered financial institutions.

（業務の内容又は方法の変更の届出）

(Notification on Change of Content and Method of Business)

第五十二条　法第三十三条の六第三項の規定により届出を行う登録金融機関は、変更の内容、変更年月日及び変更の理由を記載した届出書に、第四十五条各号に掲げるもの（内容に変更のあるものに限る。）を記載した書類、第四十七条第一項第十一号に掲げる書類（内容に変更のあるものに限る。）及び前条第一項第六号に定める書類（内容に変更のあるものに限る。）を添付して、所管金融庁長官等に提出しなければならない。

Article 52 A registered financial institution which intends to file the notification under Article 33-6, paragraph (3) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written notification stating the particulars and date of and reasons for the change, attaching a document stating the matters specified in the items of Article 45 (limited to those matters whose details have been changed), the document specified in Article 47, paragraph (1), item (xi) (limited to those with changes in contents) and the documents specified in Article 51, paragraph (1), item (vi) (limited to those with changes in contents).

第五款　特定投資家

Subsection 5 Professional Investors

（契約の種類）

(Contract Type)

第五十三条　法第三十四条に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 53 The kind of contract to be specified by Cabinet Office Order as referred to in Article 34 of the Act is as follows:

一　有価証券についての法第二条第八項第一号から第十号までに掲げる行為、当該行為に関して行う同項第十六号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約

(i) a contract for conducting acts listed in Article 2, paragraph (8), items (i) through (x) of the Act, acts specified in item (xvi) of that paragraph to be conducted with regard to any of those acts, or acts specified in item (xvii) of that paragraph, in relation to the securities;

二　デリバティブ取引についての法第二条第八項第一号から第五号までに掲げる行為、当該行為に関して行う同項第十六号に掲げる行為又は同項第十七号に掲げる行為を行うことを内容とする契約

(ii) a contract for conducting acts listed in Article 2, paragraph (8), items (i) through (v) of the Act, acts specified in item (xvi) of that paragraph to be conducted with regard to any of those acts, or acts specified in item (xvii) of that paragraph, in relation to derivative transactions;

三　投資顧問契約及び法第二条第八項第十三号に掲げる行為（投資顧問契約に係るものに限る。）を行うことを内容とする契約

(iii) an investment advisory contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to an investment advisory contract); and

四　投資一任契約及び法第二条第八項第十三号に掲げる行為（投資一任契約に係るものに限る。）を行うことを内容とする契約

(iv) a discretionary investment contract, and a contract for conducting the act specified in Article 2, paragraph (8), item (xiii) of the Act (limited to the act pertaining to a discretionary investment contract).

第五十四条　削除

Article 54 deleted

（申出をした特定投資家に交付する書面の記載事項）

(Matters to Be Stated in Document to Be Delivered to Professional Investor That Made Request)

第五十五条　法第三十四条の二第三項第四号に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 55 The matters to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (3), item (iv) of the Act are as follows:

一　申出者（法第三十四条の二第三項に規定する申出者をいう。次号において同じ。）は、同条第二項の規定による承諾を行った金融商品取引業者等のみから対象契約（同項に規定する対象契約をいう。同号及び第五十七条の二において同じ。）に関して特定投資家以外の顧客として取り扱われることになる旨

(i) that the applicant (meaning an applicant prescribed in Article 34-2, paragraph (3) of the Act; the same applies in the following item) will be treated as a customer other than a professional investor with regard to the subject contract (meaning a subject contract prescribed in that paragraph; the same applies in that item and Article 57-2), only by the financial instruments business operator, etc. which has accepted the request pursuant to the provisions of paragraph (2) of that Article; and

二　金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で承諾日（法第三十四条の二第三項第一号に規定する承諾日をいう。）以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家以外の顧客として取り扱われる旨

(ii) that, with regard to any contract for financial instruments transaction which the financial instruments business operator, etc., on behalf of the applicant, concludes with another financial instruments business operator, etc. on or after the date of acceptance (meaning the date of acceptance prescribed in Article 34-2, paragraph (3), item (i) of the Act) pursuant to the subject contract, such applicant is also treated as a customer other than a professional investor by such other financial instruments business operator, etc.

（情報通信の技術を利用した提供）

(Provision by Use of Information and Communications Technology)

第五十六条　法第三十四条の二第四項（法第三十四条の三第十二項（法第三十四条の四第六項において準用する場合を含む。）、第三十四条の四第三項、第三十七条の三第二項、第三十七条の四第二項、第三十七条の五第二項、第四十条の二第六項、第四十条の五第三項及び第四十二条の七第二項において準用する場合を含む。以下この条において同じ。）に規定する内閣府令で定めるものは、次に掲げるもの（以下「電磁的方法」という。）とする。

Article 56 (1) The means specified by Cabinet Office Order as referred to in Article 34-2, paragraph (4) of the Act (including as applied mutatis mutandis pursuant to Article 34-3, paragraph (12) (including as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act), Article 34-4, paragraph (3), Article 37-3, paragraph (2), Article 37-4, paragraph (2), Article 37-5, paragraph (2), Article 40-2, paragraph (6), Article 40-5, paragraph (3) and Article 42-7, paragraph (2) of the Act; hereinafter the same applies in this Article) are the following means (hereinafter referred to as the "electronic or magnetic means"):

一　電子情報処理組織を使用する方法のうち次に掲げるもの

(i) the means of using an electronic data processing system set forth in the following items:

イ　金融商品取引業者等（法第三十四条の二第四項に規定する事項の提供を行う金融商品取引業者等との契約によりファイルを自己の管理する電子計算機に備え置き、これを当該事項を提供する相手方（以下この条において「顧客」という。）又は当該金融商品取引業者等の用に供する者を含む。以下この条において同じ。）の使用に係る電子計算機と顧客等（顧客及び顧客との契約により顧客ファイル（専ら顧客の用に供せられるファイルをいう。以下この条において同じ。）を自己の管理する電子計算機に備え置く者をいう。以下この条において同じ。）の使用に係る電子計算機とを接続する電気通信回線を通じて書面に記載すべき事項（以下この条において「記載事項」という。）を送信し、顧客等の使用に係る電子計算機に備えられた顧客ファイルに記録する方法（同項に規定する方法による提供を受ける旨の承諾又は受けない旨の申出をする場合にあっては、同項に規定する事項の提供を行う金融商品取引業者等の使用に係る電子計算機に備えられたファイルにその旨を記録する方法）

(a) to transmit information to be contained in a document (hereinafter referred to as the "information" in this Article) via telecommunications line connecting the computers used by a financial instruments business operator, etc. (including a person that, pursuant to the contract with a financial instruments business operator, etc. providing information set forth in Article 34-2, paragraph (4) of the Act, stores files onto a computer managed by such person, and make such files available for the party to which such information is provided (hereinafter referred to as the "customers" in this Article) or for such financial instruments business operator, etc.; hereinafter the same applies in this Article) and the computers used by the customers, etc. (meaning a customer, and a person that, pursuant to a contract with the customer, stores the customer file (meaning the file solely made available to the customers; hereinafter the same applies in this Article) onto a computer managed by such person; hereinafter the same applies in this Article), and to record the information into the customer file stored onto the computer used by the customers, etc. (if the applicant acknowledges the provision of information by the means specified in Article 34-2, paragraph (4) of the Act or if the applicant notifies to the effect that the applicant will not receive information by such means, the means by which to record such acknowledgment or notice into a file stored on the computer used by the financial instruments business operator, etc. which provides the information set forth in that paragraph);

ロ　金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された記載事項を電気通信回線を通じて顧客の閲覧に供し、顧客等の使用に係る電子計算機に備えられた当該顧客の顧客ファイルに当該記載事項を記録する方法（法第三十四条の二第四項に規定する方法による提供を受ける旨の承諾又は受けない旨の申出をする場合にあっては、金融商品取引業者等の使用に係る電子計算機に備えられたファイルにその旨を記録する方法）

(b) to make the information recorded into the files stored on a computer used by a financial instruments business operator, etc. available for a customer's inspection via telecommunications line, and to record the information into the customer file of the relevant customer stored on the computer used by such customer, etc. (or, if the applicant acknowledges the provision of information by the means specified in Article 34-2, paragraph (4) of the Act or if the applicant notifies to the effect that the applicant will not receive information by such means, to record such acknowledgment or notice into a file stored on the computer used by the financial instruments business operator, etc.);

ハ　金融商品取引業者等の使用に係る電子計算機に備えられた顧客ファイルに記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法

(c) to make the information recorded into the customer files stored on the computer used by a financial instruments business operator, etc. available for a customer's inspection via telecommunications line; and

ニ　閲覧ファイル（金融商品取引業者等の使用に係る電子計算機に備えられたファイルであって、同時に複数の顧客の閲覧に供するため記載事項を記録させるファイルをいう。以下この条において同じ。）に記録された記載事項を電気通信回線を通じて顧客の閲覧に供する方法

(d) to make the information recorded into the inspection file (meaning a file stored on a computer used by a financial instruments business operator, etc. with which to record the information for the purpose of making them available for public inspection by multiple customers at the same time; hereinafter the same applies in this Article) available for a customer's inspection via telecommunications line;

二　磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに記載事項を記録したものを交付する方法

(ii) to deliver the file storing the information, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.

２　前項各号に掲げる方法は、次に掲げる基準に適合するものでなければならない。

(2) The means set forth in the items of the preceding paragraph must conform to the following criteria:

一　顧客が顧客ファイル又は閲覧ファイルへの記録を出力することにより書面を作成できるものであること。

(i) that the means enables a customer to prepare a document by outputting information recorded on the customer file or inspection file;

二　前項第一号イ、ハ又はニに掲げる方法（顧客の使用に係る電子計算機に備えられた顧客ファイルに記載事項を記録する方法を除く。）にあっては、記載事項を顧客ファイル又は閲覧ファイルに記録する旨又は記録した旨を顧客に対し通知するものであること。ただし、顧客が当該記載事項を閲覧していたことを確認したときはこの限りでない。

(ii) in the case of the means listed in item (i), (a), (c) or (d) of the preceding paragraph (excluding the means to record the information into the customer file stored on a computer used by a customer), that the customer is informed of the fact that the information will be or have been recorded into the customer file or the inspection file; provided, however, that this does not apply if it is confirmed that the customer has inspected the information;

三　前項第一号ハ又はニに掲げる方法にあっては、記載事項に掲げられた取引を最後に行った日以後五年間（当該期間が終了する日までの間に当該記載事項に係る苦情の申出があったときは、当該期間が終了する日又は当該苦情が解決した日のいずれか遅い日までの間）次に掲げる事項を消去し又は改変することができないものであること。ただし、閲覧に供している記載事項を書面により交付する場合、顧客の承諾（令第十五条の二十二に規定する方法による承諾をいう。）を得て前項第一号イ、ロ若しくは同項第二号に掲げる方法により提供する場合又は顧客による当該記載事項に係る消去の指図がある場合は、当該記載事項を消去することができる。

(iii) in the case of the means listed in item (i), (c) or (d) of the preceding paragraph, that the following matters cannot be deleted or altered for the period until five years have elapsed from the day when the transaction referred to in the information was finally conducted (if any complaint related to the information has been raised within the period before the expiration date of such period, for the period until either the expiration date of such period or the day when the complaint was settled, whichever comes later); provided, however, that the information may be deleted if the information that has been made available for inspection is delivered in writing, if that information is provided by the means listed in item (i), (a) or (b) of the preceding paragraph or in item (ii) of the preceding paragraph with the customer's consent (meaning consent given by the means specified in Article 15-22 of the Order), or if the customer has instructed that the information should be deleted:

イ　前項第一号ハに掲げる方法については、顧客ファイルに記録された記載事項

(a) in the case of the means specified in item (i), (c) of the preceding paragraph, the information recorded in the customer file; and

ロ　前項第一号ニに掲げる方法については、閲覧ファイルに記録された記載事項

(b) in the case of the means specified in item (i), (d) of the preceding paragraph, the information recorded in the inspection file;

四　前項第一号ニに掲げる方法にあっては、次に掲げる基準に適合するものであること。

(iv) in the case of the means specified in item (i), (d) of the preceding paragraph, that it conforms to the following requirements:

イ　顧客が閲覧ファイルを閲覧するために必要な情報を顧客ファイルに記録するものであること。

(a) that information necessary for a customer's inspection of the inspection file is recorded into the customer file; and

ロ　前号に規定する期間を経過するまでの間において、イの規定により顧客が閲覧ファイルを閲覧するために必要な情報を記録した顧客ファイルと当該閲覧ファイルとを電気通信回線を通じて接続可能な状態を維持させること。ただし、閲覧の提供を受けた顧客が接続可能な状態を維持させることについて不要である旨通知した場合は、この限りでない。

(b) that, before the elapse of the period set forth in the preceding item, the customer file recording the information necessary for the customer's inspection of the inspection file as set forth in (a) and such inspection file are kept connectible via telecommunications line; provided, however, that this does not apply if the customer that has been given access to the files has notified to the effect that such connectibility need not be maintained.

３　第一項第一号の「電子情報処理組織」とは、金融商品取引業者等の使用に係る電子計算機と、顧客ファイルを備えた顧客等又は金融商品取引業者等の使用に係る電子計算機とを電気通信回線で接続した電子情報処理組織をいう。

(3) The term "electronic data processing system" as used in paragraph (1), item (i) means an electronic data processing system connecting a computer used by a financial instruments business operator, etc. and a computer storing customer files used by a customer, etc. or financial instruments business operator, etc., via telecommunications line.

（電磁的方法の種類及び内容）

(Types and Content of Electronic or Magnetic Means)

第五十七条　令第十五条の二十二第一項及び第十五条の二十三第一項の規定により示すべき方法の種類及び内容は、次に掲げる事項とする。

Article 57 The types and contents of the means to be specified as set forth in Article 15-22, paragraph (1) and Article 15-23, paragraph (1) of the Order are as follows:

一　前条第一項各号又は第五十七条の三第一項各号に掲げる方法のうち金融商品取引業者等が使用するもの

(i) the means set forth in the items of paragraph (1) of the preceding Article or the items of Article 57-3, paragraph (1), which are to be used by the financial instruments business operator, etc.; and

二　ファイルへの記録の方式

(ii) the format for recording information into a file.

（特定投資家への復帰申出をした者が同意を行う書面の記載事項）

(Matters to Be Stated in Document Indicating Consent by Person That Made Request for Reinstatement as Professional Investor)

第五十七条の二　法第三十四条の二第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 57-2 The matters to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (11) of the Act are as follows:

一　法第三十四条の二第十一項の規定による承諾をする日（以下この条において「承諾日」という。）

(i) the day when the acceptance under the provisions of Article 34-2, paragraph (11) of the Act is to be given (hereinafter referred to as the "date of acceptance" in this Article);

二　対象契約の属する契約の種類（法第三十四条に規定する契約の種類をいう。以下この款において同じ。）

(ii) the kind of contract to which the subject contract belongs (meaning the kind of contract prescribed in Article 34 of the Act; hereinafter the same applies in this Subsection);

三　復帰申出者（法第三十四条の二第十一項に規定する復帰申出者をいう。以下この条において同じ。）が次に掲げる事項を理解している旨

(iii) a statement to the effect that the applicant for reinstatement (meaning an applicant for reinstatement prescribed in Article 34-2, paragraph (11) of the Act; hereinafter the same applies in this Article) understands the following matters:

イ　法第四十五条各号に掲げる規定は、対象契約に関して復帰申出者が当該各号に定める者である場合（同条ただし書に規定する場合を除く。）には適用されない旨

(a) that the provisions listed in the items of Article 45 of the Act do not apply if the applicant for reinstatement is any of the persons specified respectively in those items with regard to the subject contract (excluding the cases specified in the proviso to that Article);

ロ　対象契約に関して特定投資家として取り扱われることがその知識、経験及び財産の状況に照らして適当ではない者が特定投資家として取り扱われる場合には、当該者の保護に欠けることとなるおそれがある旨

(b) that if a person that, in light of the knowledge, experience and state of property of the person, is deemed inappropriate to be treated as a professional investor with regard to the subject contracts is treated as a professional investor, the protection of such person might be impaired;

四　承諾日以後に対象契約の締結の勧誘又は締結をする場合において、復帰申出者を再び特定投資家として取り扱う旨

(iv) that the applicant for reinstatement will be treated as a professional investor again when soliciting the conclusion of, or concluding, the subject contract on or after the date of acceptance;

五　金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家として取り扱われる旨

(v) that, with regard to any contract for financial instruments transaction which the financial instruments business operator, etc., on behalf of the applicant for reinstatement, concludes with another financial business operators, etc. on or after the date of acceptance pursuant to the subject contract, the applicant for reinstatement will also be treated as a professional investor again by such other financial instruments business operators, etc.; and

六　復帰申出者は、承諾日以後いつでも、法第三十四条の二第一項の規定による申出ができる旨

(vi) that the applicant for reinstatement may make a request under the provisions of Article 34-2, paragraph (1) of the Act at any time on or after the date of acceptance.

（情報通信の技術を利用した同意の取得）

(Obtaining Consent Using Information and Communication Technology)

第五十七条の三　法第三十四条の二第十二項（法第三十四条の三第三項（法第三十四条の四第六項において準用する場合を含む。）及び第四十三条の四第三項において準用する場合を含む。以下この条において同じ。）に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 57-3 (1) The means to be specified by Cabinet Office Order as referred to in Article 34-2, paragraph (12) of the Act (including as applied mutatis mutandis pursuant to Article 34-3, paragraph (3) (including as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act) and Article 43-4, paragraph (3) of the Act; hereinafter the same applies in this Article) are as follows:

一　電子情報処理組織を使用する方法のうち次に掲げるもの

(i) the means using an electronic data processing system, as listed in the following:

イ　金融商品取引業者等の使用に係る電子計算機と法第三十四条の二第十二項の規定により同意を得ようとする相手方（以下この条において「顧客」という。）の使用に係る電子計算機とを接続する電気通信回線を通じて送信し、受信者の使用に係る電子計算機に備えられたファイルに記録する方法

(a) to transmit information via telecommunications line connecting a computer used by a financial instruments business operator, etc. and that used by the other party that it seeks consent from pursuant to Article 34-2, paragraph (12) of the Act (hereinafter referred to as the "customer" in this Article), and to record such information in a file stored on a computer used by the recipient; and

ロ　金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された顧客の同意に関する事項を電気通信回線を通じて当該顧客の閲覧に供し、当該金融商品取引業者等の使用に係る電子計算機に備えられたファイルに当該顧客の同意に関する事項を記録する方法

(b) to make information related to the customer's consent recorded into a file stored on a computer used by a financial instruments business operator, etc. available for the customer's inspection via telecommunications line, and to record information related to the customer's consent into a file stored on a computer used by such financial instruments business operator, etc.;

二　磁気ディスク、シー・ディー・ロムその他これらに準ずる方法により一定の事項を確実に記録しておくことができる物をもって調製するファイルに同意に関する事項を記録したものを得る方法

(ii) to obtain the file storing the information related to a consent, which is prepared by the use of any object which can securely record certain information by means of magnetic disks, CD-ROMs or any other means equivalent thereto.

２　前項各号に掲げる方法は、金融商品取引業者等がファイルへの記録を出力することにより書面を作成することができるものでなければならない。

(2) The means listed in the items of the preceding paragraph must be the means enabling a financial instruments business operator, etc. to prepare a document by way of outputting the information recorded on the files.

３　第一項第一号の「電子情報処理組織」とは、金融商品取引業者等の使用に係る電子計算機と、顧客の使用に係る電子計算機とを電気通信回線で接続した電子情報処理組織をいう。

(3) The "electronic data processing system" as used in paragraph (1), item (i) means an electronic data processing system connecting a computer used by a financial instruments business operator, etc. and a computer used by a customer via telecommunications line.

（特定投資家以外の顧客である法人が特定投資家とみなされる場合の期限日）

(Expiration Date If a Corporation Which Is Customer Other Than Professional Investor Is Deemed to Be Professional Investor)

第五十八条　法第三十四条の三第二項に規定する内閣府令で定める場合は、金融商品取引業者等が一定の日を定め、次に掲げる事項を当該金融商品取引業者等の営業所又は事務所の公衆の見やすい場所への掲示その他の適切な方法により公表している場合とする。

Article 58 (1) The case specified by Cabinet Office Order as prescribed in Article 34-3, paragraph (2) of the Act is a case in which a financial instruments business operator, etc. has designated a certain date and publicized the following matters by posting them at a place easily accessible to the public at its business office or any other office, or by any other appropriate means:

一　当該日

(i) that designated date; and

二　次項に規定する日を期限日（法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十条において同じ。）とする旨

(ii) to the effect that the day set forth in the following paragraph is the expiration date (meaning the expiration date set forth in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in paragraph (2) of the following Article and Article 60).

２　法第三十四条の三第二項に規定する内閣府令で定める日は、金融商品取引業者等が前項の規定により定めた日であって承諾日（同条第二項第一号に規定する承諾日をいう。次条第二項第五号及び第六十条において同じ。）から起算して一年以内の日のうち最も遅い日とする。

(2) The day to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act is the day designated by the financial instruments business operator, etc. under the preceding paragraph, which is the latest of the days within one year from the date of acceptance (meaning the date of acceptance prescribed in item (i), paragraph (2) of that Article; the same applies in item (v), paragraph (2) of the following Article and Article 60).

（申出をした特定投資家以外の顧客である法人が同意を行う書面の記載事項）

(Matters to Be Specified in Document Indicating Consent by Corporation Which Is Customer Other Than Professional Investors That Made Request)

第五十九条　法第三十四条の三第二項第四号イに規定する内閣府令で定める事項は、法第四十五条各号に掲げる規定は、対象契約（同項第二号に規定する対象契約をいう。次項及び第六十条の二において同じ。）に関して申出者（法第三十四条の三第二項に規定する申出者をいう。次項において同じ。）が当該各号に定める者である場合（法第四十五条ただし書に規定する場合を除く。）には適用されない旨とする。

Article 59 (1) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (iv), (a) of the Act are the fact that the provisions listed in the items of Article 45 of the Act do not apply if the applicant (meaning the applicant prescribed in Article 34-3, paragraph (2) of the Act; the same applies in the following paragraph) falls under any of the persons respectively set forth in such items with regard to the subject contract (meaning the subject contract prescribed in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in the following paragraph and Article 60-2) (excluding the case specified in the proviso to Article 45 of the Act).

２　法第三十四条の三第二項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。

(2) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (vii) of the Act are as follows:

一　期限日以前に締結した対象契約（投資顧問契約及び投資一任契約を除く。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨

(i) that, in regard to any act related to the subject contract (excluding an investment advisory contract and a discretionary investment contract) concluded prior to the expiration date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor, even if that act is conducted after the expiration date;

二　法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約（投資顧問契約及び投資一任契約に限る。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨

(ii) if the kinds of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act falls under any of those specified in Article 53, items (iii) and (iv), the fact that, in regard to any act related to the subject contract (limited to an investment advisory contract and a discretionary investment contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor only in respect of the act conducted prior to the expiration date;

三　申出者は、法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨

(iii) that the applicant will be treated as a professional investor with regard to the subject contract, only by the financial instruments business operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act;

四　金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨

(iv) that, with regard to any contract for financial instruments transaction which the financial instruments business operator, etc., on behalf of the applicant, concludes with another financial instruments business operator, etc. prior to the expiration date pursuant to the subject contract, such applicant is also treated as a professional investor by such other financial instruments business operator, etc.; and

五　申出者は、承諾日以後いつでも、法第三十四条の三第九項の規定による申出ができる旨

(v) that the applicant may make a request under the provisions of Article 34-3, paragraph (9 of the Act at any time on or after the date of acceptance.

（申出をした特定投資家以外の顧客である法人が更新申出をするために必要な期間）

(Period Necessary for a Corporation Which Is Customer Other Than Professional Investors That Made Request to Make Request for Renewal)

第六十条　法第三十四条の三第七項に規定する内閣府令で定める期間は、十一月（次の各号に掲げる場合にあっては、当該各号に定める期間）とする。

Article 60 (1) The period to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (7) of the Act is eleven months (or, in the following cases, the period set forth in the respective items):

一　承諾日から期限日までの期間が一年に満たない場合（次号に掲げる場合を除く。）　当該期間から一月を控除した期間

(i) when the period between the date of acceptance and the expiration date is less than one year (excluding the case specified in the following item): that period minus one month; or

二　承諾日から期限日までの期間が一月を超えない場合　一日

(ii) when the period between the date of acceptance and the expiration date does not exceed one month: one day.

２　法第三十四条の三第八項に規定する場合における前項の規定の適用については、同項各号中「承諾日」とあるのは、「前回の期限日の翌日」とする。

(2) With regard to the application of the provisions of the preceding paragraph in the cases prescribed in Article 34-3, paragraph (8) of the Act, the term "date of acceptance" in the items of that paragraph is deemed to be replaced with "day following the previous expiration date".

（特定投資家以外の顧客への復帰申出をした法人に交付する書面の記載事項）

(Matters to Be Stated in a Document to Be Delivered to a Corporation That Made a Request for Reinstatement as a Customer Other Than a Professional Investor)

第六十条の二　法第三十四条の三第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 60-2 The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (11) of the Act are as follows:

一　法第三十四条の三第十項の規定による承諾をする日（以下この条において「承諾日」という。）

(i) the day when the acceptance under the provisions of Article 34-3, paragraph (10) of the Act is to be given (hereinafter referred to as the "date of acceptance" in this Article);

二　対象契約の属する契約の種類

(ii) the kind of contract to which the subject contract belongs;

三　承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の三第九項の規定による申出をした法人（次号において「復帰申出者」という。）を再び特定投資家以外の顧客として取り扱う旨

(iii) that the corporation that made a request under the provisions of Article 34-3, paragraph (9) of the Act (hereinafter referred to as the "applicant for reinstatement" in the following item) will be treated as a customer other than a professional investor again when soliciting the conclusion of, or concluding, the subject contract on or after the date of acceptance; and

四　金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨

(iv) that, with regard to any contract for financial instruments transaction which the financial instruments business operator, etc., on behalf of the applicant for reinstatement, concludes with another financial business operator, etc. on or after the date of acceptance pursuant to the subject contract, the applicant for reinstatement will also be treated as a customer other than a professional investor again by such other financial instruments business operator, etc.

（特定投資家として取り扱うよう申し出ることができる営業者等）

(Proprietors That May Make a Request for Treatment as Professional Investor)

第六十一条　法第三十四条の四第一項第一号に規定する内閣府令で定めるものは、次に掲げる要件のいずれかに該当するものとする。

Article 61 (1) The excluded individual to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (i) of the Act is that who satisfies any of the following requirements:

一　法第三十四条の四第一項の規定による申出を行うことについてすべての匿名組合員の同意を得ていないこと。

(i) that the individual has not obtained the consent from all of the silent partners on making a request under Article 34-4, paragraph (1) of the Act; or

二　その締結した匿名組合契約に基づく出資の合計額が三億円未満であること。

(ii) that the total amount of the equity investment under the silent partnership contract which the individual concluded is less than 300 million yen.

２　法第三十四条の四第一項第一号に規定する内閣府令で定める個人は、次に掲げる者とする。

(2) The individuals to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (i) of the Act are as follows:

一　組合契約を締結して組合の業務の執行を委任された組合員である個人（次に掲げる要件のすべてに該当する者に限る。）

(i) an individual who has concluded a partnership contract and has become a partner delegated to manage the business of the partnership (limited to an individual who satisfies all of the following requirements):

イ　法第三十四条の四第一項の規定による申出を行うことについて他のすべての組合員の同意を得ていること。

(a) that the individual has obtained the consent from all of the other partners on making a request under Article 34-4, paragraph (1) of the Act; and

ロ　当該組合契約に基づく出資の合計額が三億円以上であること。

(b) that the total amount of the equity investment under the partnership contract is not less than 300 million yen.

二　有限責任事業組合契約を締結して組合の重要な業務の執行の決定に関与し、かつ、当該業務を自ら執行する組合員である個人（次に掲げる要件のすべてに該当する者に限る。）

(ii) an individual who has concluded a limited liability partnership agreement and is involved in the decision-making on the execution of the important business of the partnership, and who is also a partner personally executing such business (limited to an individual who satisfies all of the following requirements):

イ　法第三十四条の四第一項の規定による申出を行うことについて他のすべての組合員の同意を得ていること。

(a) that the individual has obtained the consent from all of the other partners on making a request under Article 34-4, paragraph (1) of the Act; and

ロ　当該有限責任事業組合契約に基づく出資の合計額が三億円以上であること。

(b) that the total amount of the equity investment under the limited liability partnership agreement is 300 million yen or more.

（特定投資家として取り扱うよう申し出ることができる個人）

(Individual Who May Make a Request for Treatment as Professional Investor)

第六十二条　法第三十四条の四第一項第二号に規定する内閣府令で定める要件は、次に掲げる要件の全てに該当することとする。

Article 62 The requirements to be specified by Cabinet Office Order as referred to in Article 34-4, paragraph (1), item (ii) of the Act are the fulfillment of all of the following:

一　取引の状況その他の事情から合理的に判断して、承諾日（法第三十四条の四第六項において準用する法第三十四条の三第二項第一号に規定する承諾日をいう。次号、次条第二項、第六十四条第二項第五号及び第六十四条の二において同じ。）における申出者（法第三十四条の四第二項に規定する申出者をいう。以下この条及び第六十四条において同じ。）の資産の合計額から負債の合計額を控除した額が三億円以上になると見込まれること。

(i) that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the assets of the applicant (meaning the applicant prescribed in Article 34-4, paragraph (2) of the Act; hereinafter the same applies in this Article and Article 64) as of the date of acceptance (meaning the date of acceptance prescribed in Article 34-3, paragraph (2), item (i) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in the following item, paragraph (2) of the following Article, and Article 64, paragraph (2), item (v) and Article 64-2), less the total amount of its liabilities as of that date is likely to be 300 million yen or more;

二　取引の状況その他の事情から合理的に判断して、承諾日における申出者の資産（次に掲げるものに限る。）の合計額が三億円以上になると見込まれること。

(ii) that, judging reasonably from the status of the transactions or any other circumstances, the total amount of the applicant's assets (limited to the assets listed in the following) as of the date of acceptance is likely to be 300 million yen or more:

イ　有価証券（ホに掲げるもの及びヘに掲げるもの（不動産特定共同事業法（平成六年法律第七十七号）第二条第九項に規定する特例事業者と締結したものに限る。）を除く。）

(a) securities (excluding the securities specified in (e) and (f) (limited to contracts that are concluded with a special enterprise operator as defined in Article 2, paragraph (9) of the Real Estate Specified Joint Enterprise Act (Act No. 77 of 1994)));

ロ　デリバティブ取引に係る権利

(b) rights pertaining to a derivative transaction;

ハ 農業協同組合法（昭和二十二年法律第百三十二号）第十一条の五に規定する特定貯金等、水産業協同組合法（昭和二十三年法律第二百四十二号）第十一条の九に規定する特定貯金等、協同組合による金融事業に関する法律（昭和二十四年法律第百八十三号）第六条の五の十一に規定する特定預金等、信用金庫法（昭和二十六年法律第二百三十八号）第八十九条の二に規定する特定預金等、長期信用銀行法（昭和二十七年法律第百八十七号）第十七条の二に規定する特定預金等、労働金庫法（昭和二十八年法律第二百二十七号）第九十四条の二に規定する特定預金等、銀行法第十三条の四に規定する特定預金等、農林中央金庫法（平成十三年法律第九十三号）第五十九条の三に規定する特定預金等及び株式会社商工組合中央金庫法（平成十九年法律第七十四号）第二十九条に規定する特定預金等

(c) specified deposits, etc. as prescribed in Article 11-5 of the Agricultural Co-operatives Act (Act No. 132 of 1947), specified deposits, etc. as prescribed in Article 11-9 of the Fishery Cooperatives Act (Act No. 242 of 1948), specified deposits, etc. as prescribed in Article 6-5-11 of the Act on Financial Businesses by Cooperative (Act No. 183 of 1949), specified deposits, etc. as prescribed in Article 89-2 of the Shinkin Bank Act (Act No. 238 of 1951), specified deposits, etc. as prescribed in Article 17-2 of the Long Term Credit Bank Act (Act No. 187 of 1952), specified deposits, etc. as prescribed in Article 94-2 of the Labor Bank Act (Act No. 227 of 1953), specified deposits, etc. as prescribed in Article 13-4 the Banking Act, specified deposits, etc. as prescribed in Article 59-3 of the Norinchukin Bank Act (Act No. 93 of 2001) and specified deposits, etc. as prescribed in Article 29 of the Shoko Chukin Bank Limited Act (Act No. 74 of 2007);

ニ 農業協同組合法第十一条の十の三に規定する特定共済契約、消費生活協同組合法（昭和二十三年法律第二百号）第十二条の三第一項に規定する特定共済契約、水産業協同組合法第十五条の七に規定する特定共済契約、中小企業等協同組合法（昭和二十四年法律第百八十一号）第九条の七の五第二項に規定する特定共済契約及び保険業法第三百条の二に規定する特定保険契約に基づく保険金、共済金、返戻金その他の給付金に係る権利

(d) the rights pertaining to benefits such as insurance proceeds, mutual aid benefits and refunds payable under a specified mutual aid contract as prescribed in Article 11-10-3 of the Agricultural Cooperatives Act, a specified mutual aid contract as prescribed in Article 12-3, paragraph (1) of the Consumer Cooperatives Act (Act No. 200 of 1948), a specified mutual aid contract as prescribed in Article 15-7 of the Fisheries Cooperatives Act, a specified mutual aid contract as prescribed in Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) and a specified insurance contract as prescribed in Article 300-2 of the Insurance Business Act;

ホ 信託業法第二十四条の二に規定する特定信託契約に係る信託受益権

(e) beneficial interest in a trust pertaining to a specific trust agreement as prescribed in Article 24-2 of the Trust Business Act;

ヘ 不動産特定共同事業法第二条第三項に規定する不動産特定共同事業契約に基づく権利

(f) rights under a real estate specified joint enterprise contract as prescribed in Article 2, paragraph (3) of the Real Estate Specified Joint Enterprise Act; and

ト　商品市場における取引（商品先物取引法（昭和二十五年法律第二百三十九号）第二条第十項に規定する商品市場における取引をいう。）、外国商品市場取引（同条第十三項に規定する外国商品市場取引をいう。第六十七条第一号において同じ。）及び店頭商品デリバティブ取引（同法第二条第十四項に規定する店頭商品デリバティブ取引をいう。第六十七条第二号並びに第百二十三条第八項及び第十二項において同じ。）に係る権利

(g) rights pertaining to transactions on a commodity market (meaning the transactions on a commodity market defined in Article 2, paragraph (10) of the Commodity Futures Trading Act (Act No. 239 of 1950)), foreign commodity market transaction (meaning the foreign commodity market transaction defined in paragraph (13) of that Article; the same applies in Article 67, item (i)), and over-the-counter commodity derivatives transactions (meaning the over-the-counter commodity derivatives transactions defined in Article 2, paragraph (14) of that Act; the same applies in Article 67, item (ii) and Article 123, paragraphs (8) and (12)); and

三　申出者が最初に当該金融商品取引業者等との間で法第三十四条の四第一項の規定による申出に係る契約の種類に属する金融商品取引契約を締結した日から起算して一年を経過していること。

(iii) that one year has elapsed from the day when the applicant concluded with the financial instruments business operator, etc. a contract for a financial instruments transaction which is of the type pertaining to the request under Article 34-4, paragraph (1) of the Act for the first time.

（特定投資家以外の顧客である個人が特定投資家とみなされる場合の期限日）

(Expiration Date of Period When Individual Who Is Customer Other Than Professional Investor Is Deemed to Be Professional Investor)

第六十三条　法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する内閣府令で定める場合は、金融商品取引業者等が一定の日を定め、次に掲げる事項を当該金融商品取引業者等の営業所又は事務所の公衆の見やすい場所への掲示その他の適切な方法により公表している場合とする。

Article 63 (1) The case specified by Cabinet Office Order as prescribed in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is one in which a financial instruments business operator, etc. has designated a certain date and publicized the following matters by posting them at a place accessible to the public at its business office or any other office, or by any other appropriate means:

一　当該日

(i) that designated date; and

二　次項に規定する日を期限日（法第三十四条の四第六項において準用する法第三十四条の三第二項第二号に規定する期限日をいう。次条第二項及び第六十四条の二において同じ。）とする旨

(ii) to the effect that the day set forth in the following paragraph is the expiration date (meaning the expiration date set forth in Article 34-3, paragraph (2), item (ii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act; the same applies in paragraph (2) of the following Article and Article 64-2).

２　法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する内閣府令で定める日は、金融商品取引業者等が前項の規定により定めた日であって承諾日から起算して一年以内の日のうち最も遅い日とする。

(2) The day to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is the day designated by the financial instruments business operator, etc. under the preceding paragraph, which is the latest of the day within one year from the date of acceptance.

（申出をした特定投資家以外の顧客である個人が同意を行う書面の記載事項）

(Matters to Be Stated in Documents Indicating Consent by an Individual Who Is a Customer Other Than the Professional Investor That Made a Request)

第六十四条　法第三十四条の四第六項において準用する法第三十四条の三第二項第四号イに規定する内閣府令で定める事項は、法第四十五条各号に掲げる規定は、対象契約（同項第二号に規定する対象契約をいう。次項及び第六十四条の三において同じ。）に関して申出者が当該各号に定める者である場合（法第四十五条ただし書に規定する場合を除く。）には適用されない旨とする。

Article 64 (1) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (iv), (a) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are the fact that the provisions listed in the items of Article 45 do not apply if the applicant falls under any of the persons set forth respectively in such items in regard to the subject contract (meaning the subject contract prescribed in Article 34-3, paragraph (2), item (ii) of the Act; the same applies in the following paragraph and Article 64-3) (excluding the case specified in the proviso to Article 45 of the Act).

２　法第三十四条の四第六項において準用する法第三十四条の三第二項第七号に規定する内閣府令で定める事項は、次に掲げる事項とする。

(2) The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (2), item (vii) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are as follows:

一　期限日以前に締結した対象契約（投資顧問契約及び投資一任契約を除く。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日後に行うものであっても、申出者を特定投資家として取り扱う旨

(i) that, with regard to any act related to the subject contract (excluding an investment advisory contract and a discretionary investment contract) concluded prior to the expiration date, which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor, even if that act is conducted after the expiration date;

二　法第三十四条の四第六項において準用する法第三十四条の三第二項に規定する申出に係る契約の種類が第五十三条第三号及び第四号に掲げるものである場合にあっては、対象契約（投資顧問契約及び投資一任契約に限る。）に関して法令の規定又は契約の定めに基づいて行う行為については、期限日以前に行うものに限り、申出者を特定投資家として取り扱う旨

(ii) if the kind of contract pertaining to the request set forth in Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act falls under any of the kinds specified in Article 53, items (iii) and (iv), to the effect that, with regard to any act related to the subject contract (limited to an investment advisory contract and a discretionary investment contract), which is to be conducted pursuant to the provisions of laws and regulations or the contract, the applicant is treated as a professional investor only with regard to an act conducted prior to the expiration date;

三　申出者は、法第三十四条の四第六項において準用する法第三十四条の三第二項の規定による承諾を行った金融商品取引業者等のみから対象契約に関して特定投資家として取り扱われることになる旨

(iii) that the applicant is treated as a professional investor in regard to the subject contract, only by the financial instruments business operator, etc. which has accepted the request pursuant to the provisions of Article 34-3, paragraph (2) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act;

四　金融商品取引業者等が対象契約に基づき申出者を代理して他の金融商品取引業者等との間で期限日以前に締結する金融商品取引契約については、当該他の金融商品取引業者等からも特定投資家として取り扱われる旨

(iv) that, with regard to any contract for financial instruments transaction which the financial instruments business operator, etc., on behalf of the applicant, concludes with another financial instruments business operator, etc. prior to the expiration date pursuant to the subject contract, such applicant is also treated as a professional investor by such other financial instruments business operator, etc.; and

五　申出者は、承諾日以後いつでも、法第三十四条の四第四項の規定による申出ができる旨

(v) that the applicant may make a request under the provisions of Article 34-4, paragraph (4) of the Act at any time on or after the date of acceptance.

（申出をした特定投資家以外の顧客である個人が更新申出をするために必要な期間）

(Period Necessary for an Individual Who Is a Customer Other Than a Professional Investor That Made a Request to Make a Request for Renewal)

第六十四条の二　法第三十四条の四第六項において準用する法第三十四条の三第七項に規定する内閣府令で定める期間は、十一月（次の各号に掲げる場合にあっては、当該各号に定める期間）とする。

Article 64-2 (1) The period to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (7) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act is eleven months (or, in the following cases, the period set forth in the respective items):

一　承諾日から期限日までの期間が一年に満たない場合（次号に掲げる場合を除く。）　当該期間から一月を控除した期間

(i) when the period between the date of acceptance and the expiration date is less than one year (excluding the case specified in the following item): that period minus one month; or

二　承諾日から期限日までの期間が一月を超えない場合　一日

(ii) when the period between the date of acceptance and the expiration date does not exceed one month: one day.

２　法第三十四条の四第六項において準用する法第三十四条の三第八項に規定する場合における前項の規定の適用については、同項各号中「承諾日」とあるのは、「前回の期限日の翌日」とする。

(2) With regard to the application of the provisions of the preceding paragraph in the cases prescribed in Article 34-3, paragraph (8) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act, the term "date of acceptance" in the items of that paragraph is deemed to be replaced with "day following the previous expiration date".

（特定投資家以外の顧客への復帰申出をした個人に交付する書面の記載事項）

(Matters to Be Stated in Documents to Be Delivered to an Individual Who Made a Request for Reinstatement as a Customer Other Than a Professional Investor)

第六十四条の三　法第三十四条の四第六項において準用する法第三十四条の三第十一項に規定する内閣府令で定める事項は、次に掲げる事項とする。

Article 64-3 The matters to be specified by Cabinet Office Order as referred to in Article 34-3, paragraph (11) of the Act as applied mutatis mutandis pursuant to Article 34-4, paragraph (6) of the Act are as follows:

一　法第三十四条の四第五項の規定による承諾をする日（以下この条において「承諾日」という。）

(i) the day when the acceptance under the provisions of Article 34-4, paragraph (5) of the Act is to be given (hereinafter referred to as the "date of acceptance" in this Article);

二　対象契約の属する契約の種類

(ii) the kind of contract to which the subject contract belongs;

三　承諾日以後に対象契約の締結の勧誘又は締結をする場合において、法第三十四条の四第四項の規定による申出をした個人（次号において「復帰申出者」という。）を再び特定投資家以外の顧客として取り扱う旨

(iii) that the corporation that made a request under the provisions of Article 34-4, paragraph (4) of the Act (hereinafter referred to as the "applicant for reinstatement" in the following item) will be treated as a customer other than a professional investor again when soliciting the conclusion of, or concluding, the subject contract on or after the date of acceptance; and

四　金融商品取引業者等が対象契約に基づき復帰申出者を代理して他の金融商品取引業者等との間で承諾日以後に締結する金融商品取引契約については、当該他の金融商品取引業者等からも再び特定投資家以外の顧客として取り扱われる旨

(iv) that, with regard to any contract for financial instruments transaction which the financial instruments business operator, etc., on behalf of the applicant for reinstatement, concludes with another financial business operator, etc. on or after the date of acceptance pursuant to the subject contract, the applicant for reinstatement will also be treated as a customer other than a professional investor again by such other financial instruments business operator, etc.

第二節　業務

Section 2 Business

第一款　通則

Subsection 1 General Rules

（保護預り有価証券を担保とする金銭の貸付け）

(Money Loan Secured by Securities in Safe Custody)

第六十五条　法第三十五条第一項第三号に規定する内閣府令で定めるものは、次の各号のいずれかに該当するものとする。

Article 65 The money loan to be specified by Cabinet Office Order as referred to in Article 35, paragraph (1), item (iii) of the Act is the money loan which falls under any of the following items:

一　顧客から保護預りをしている有価証券が次に掲げるいずれかの有価証券（当該保護預りをした顧客の所有するものに限る。）であって、当該顧客が当該有価証券を引き続き所有するために必要なものとして当該有価証券を担保として行う金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円（当該貸付けの時における当該有価証券の時価の範囲内に限る。次号において同じ。）を超えないもの

(i) a money loan that may be necessary for a customer in maintaining the ownership in the securities specified as follows deposited by a customer for safe custody (limited to the securities owned by the customer which has made such deposit for safety custody), which is secured by such securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already extended as secured by such securities does not exceed five million yen (limited to the amount within the range of market price of the securities as of the time of such loan; the same applies in the next item):

イ　国債証券

(a) national government bond securities;

ロ　地方債証券

(b) municipal bond securities;

ハ　政府保証債券

(c) government guaranteed bond certificates;

ニ　社債券

(d) corporate bond certificates;

ホ　株券

(e) share certificates;

ヘ 投資信託及び投資法人に関する法律（昭和二十六年法律第百九十八号）に規定する投資信託又は外国投資信託の受益証券

(f) beneficiary certificates of an investment trust or a foreign investment trust as prescribed in the Act on Investment Trust and Investment Corporations (Act No. 198 of 1951);

ト　投資証券（投資信託及び投資法人に関する法律第二条第十五項に規定する投資証券をいう。以下同じ。）若しくは投資法人債券（同条第二十項に規定する投資法人債券をいう。第百十七条第二十項第三号並びに第百五十三条第一項第四号ハ及びニにおいて同じ。）又は外国投資証券（新投資口予約権証券に類するものを除く。）

(g) investment securities (meaning the investment securities provided in Article 2, paragraph (15) of the Act on Investment Trust and Investment Corporations; the same applies hereinafter), investment corporation bond certificates (meaning the investment corporation bond certificates provided in paragraph (20) of that Article; the same applies in Article 117, paragraph (20), item (iii) and Article 153, paragraph (1), item (iv), (c) and (d)) or foreign investment securities (excluding those similar to certificates of investment equity subscription rights);

チ　外国又は外国法人の発行する証券又は証書でイからホまでに掲げる有価証券の性質を有するもの

(h) instruments or certificates issued by a foreign state or a foreign corporation, which have the natures of the securities listed in (a) through (e);

二　顧客から保護預りをしている有価証券が投資信託の受益証券のうち次に掲げるいずれかのもの（当該保護預りをした顧客の所有するものに限る。）であって、当該有価証券に係る解約を請求した顧客に対し、解約に係る金銭が支払われるまでの間に当該有価証券を担保として行うその解約に係る金銭の額に相当する額の金銭の貸付けのうち、当該顧客に貸し付ける金額が当該有価証券を担保として既に貸し付けている金銭の額と合計して五百万円を超えないもの

(ii) if the securities deposited by a customer for safe custody fall under the category of any of the following beneficiary certificates pertaining to an investment trust (limited to the securities owned by the customer that has made the deposit for safety custody), a money loan secured by such securities in the amount equivalent to a cancellation money for such securities, which is to be granted prior to the payment of the cancellation money to the customer that has requested the cancellation of such securities, and in which case the total of the amount to be loaned to the customer and the amount of loan already granted as secured by such securities does not exceed five million yen:

イ 投資信託及び投資法人に関する法律施行規則（平成十二年総理府令第百二十九号）第十三条第二号イに規定する公社債投資信託のうち、主たる投資対象を短期の公社債（前号イからニまでに掲げる有価証券（外国又は外国法人の発行する証券又は証書で同様の性質を有するものを含む。）をいう。）、預金、金銭信託及びコール・ローン等の金融資産とするものであって、次に掲げる要件の全てに該当するものの受益証券

(a) a bond investment trust prescribed in Article 13, item (ii), (a) of the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (Order of the Prime Minister's Office No. 129 of 2000) which satisfies all of the following requirements and whose primary investment targets comprise financial assets such as short-term public or corporate bonds (meaning the securities listed in (a) through (d) of the preceding item (including instruments or certificates issued by a foreign state or a foreign corporation which have a similar nature thereto)), deposits, money trusts and call loans:

（１）　信託期間に制限のないものであること。

1. that the term of the trust is unlimited;

（２）　毎日決算を行い元本を超える額を分配し、その分配金が月末に再投資されるものであること。

2. that the account is settled and the amount in excess of the principal is distributed every day, and that the dividend thereof is to be reinvested at the end of each month;

（３）　解約を常時行うことができるものであること。

3. that the bond investment trust is cancellable at any time; and

（４）　解約金の支払いが当日又はその翌営業日に行われるものであること。

4. that the cancellation money is payable on the day of cancellation or on the business day immediately after such day;

ロ　投資信託のうち、主たる投資対象を中期の利付国債、預金、金銭信託及びコール・ローン等の金融資産とするものであって、イ（１）から（４）までに掲げる要件の全てに該当するものの受益証券

(b) beneficiary certificates of an investment trust which satisfy all of the requirements listed in (a), 1. through 4. and whose primary investment targets comprise financial assets such as medium-term interest-bearing government bonds, deposits, money trusts and call loans; and

ハ 投資信託及び投資法人に関する法律施行規則第二十五条第二号に規定する公社債投資信託（計算期間が一日のものに限る。）の受益証券

(c) beneficiary certificates of the bond investment trust prescribed in Article 25, item (ii) of the Regulation for Enforcement of the Act on Investment Trust and Investment Corporations (limited to the bond investment trust of which accounting period is one day).

（累積投資契約の締結）

(Conclusion of Contracts for Cumulative Investment)

第六十六条　法第三十五条第一項第七号に規定する内閣府令で定めるものは、次の各号に掲げる要件のすべてに該当する契約の締結とする。

Article 66 The conclusion to be specified by Cabinet Office Order as referred to in Article 35, paragraph (1), item (vii) of the Act is the conclusion of a contract which satisfies all of the requirements listed in the following items:

一　有価証券の買付けの方法として、当該有価証券の種類及び買付けのための預り金の充当方法を定めていること。

(i) that the contract provides for, as a method of purchases of securities, the types of the securities and the method for the appropriation of a deposit for making purchases;

二　預り金の管理の方法として、顧客からの払込金及び顧客が寄託している有価証券の果実並びに償還金の受入れに基づいて発生した金融商品取引業者の預り金を累積投資預り金として他の預り金と区分して経理することを定めていること。

(ii) that the contract provides, as a method for the management of deposits, that the fruits derived from the money paid and securities deposited by the customer, and the money which the financial instruments business operator's keeps custody due to acceptance of redemption are treated as the cumulative investment deposit, and that accounting of such cumulative investment deposit is managed separately from any other deposit;

三　他の顧客又は金融商品取引業者と共同で買い付ける場合には、顧客が買い付けた有価証券につき回記号及び番号が特定されたときに、当該顧客が単独で当該有価証券の所有権を有することが確定することを定めていること。

(iii) that the contract provides that, in the case of the joint purchase with another customer or financial instruments business operator, it is certain that the customer gains sole ownership in the securities purchased by such customer when the code and number thereof are identified;

四　有価証券の管理の方法として、預託を受けた有価証券（金融商品取引業者と顧客が共有しているものに限る。）が他の有価証券と分別して管理されるものであること。

(iv) that the contract provides, as a method for the management of securities, that the deposited securities (limited to those co-owned by the financial instruments business operator and the customer) are managed separately from any other securities; and

五　顧客から申出があったときには解約するものであること。

(v) that the contract may be cancelled if the customer so requests.

（指標に係る変動等を利用して行う取引）

(Transactions Conducted by Using Fluctuations in Indicators)

第六十七条　法第三十五条第二項第二号に規定する内閣府令で定めるものは、次に掲げるものとする。

Article 67 The transactions to be specified by Cabinet Office Order as referred to in Article 35, paragraph (2), item (ii) of the Act are as follows:

一　外国商品市場取引

(i) foreign commodity market transaction; and

二　店頭商品デリバティブ取引

(ii) over-the-counter commodity derivatives transactions.

（届出業務）

(Business Subject to Notification)

第六十八条　法第三十五条第二項第七号に規定する内閣府令で定める業務は、次に掲げる業務とする。

Article 68 The business to be specified by Cabinet Office Order as referred to in Article 35, paragraph (2), item (vii) of the Act is as follows:

一　金地金の売買又はその媒介、取次ぎ若しくは代理に係る業務

(i) business pertaining to purchase and sale of gold bullion, or an intermediary, brokerage or agency service therefor;

二　組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務

(ii) business pertaining to conclusion of a partnership contract, or an intermediary, brokerage or agency service therefor;

三　匿名組合契約の締結又はその媒介、取次ぎ若しくは代理に係る業務

(iii) business pertaining to conclusion of a silent partnership contract, or an intermediary, brokerage or agency service therefor;

四　貸出参加契約（金融機関等貸出債権に係る権利義務関係を移転させずに、原貸出債権に係る経済的利益及び損失の危険を原債権者から第三者に移転させる契約をいう。）の締結又はその媒介、取次ぎ若しくは代理に係る業務

(iv) business pertaining to conclusion of a loan participation contract (meaning a contract wherein the economic profit and risk of loss originating from a loan claim of a financial institution, etc. is transferred from the original creditor thereof to a third party, instead of transferring any right and obligation arising from the original loan), or an intermediary, brokerage or agency service therefor;

五 保険業法第二条第二十六項に規定する保険募集に係る業務

(v) business pertaining to insurance solicitation as prescribed in Article 2, paragraph (26) of the Insurance Business Act;

六　自ら所有する不動産の賃貸に係る業務

(vi) business pertaining to lease of real properties owned by a financial instruments business operator itself;

七　物品賃貸業

(vii) goods leasing business;

八　他の事業者の業務に関する電子計算機のプログラムの作成又は販売を行う業務及び計算受託業務

(viii) business pertaining to creation and sale of computer programs for the business of any other business operator, and a business to accept the entrustment of computing service;

九 確定拠出年金法（平成十三年法律第八十八号）第二条第七項に規定する確定拠出年金運営管理業

(ix) business of management of the defined contribution pension prescribed in Article 2, paragraph (7) of the Defined Contribution Pension Act (Act No. 88 of 2001);

十　国民年金基金連合会から確定拠出年金法第六十一条第一項の規定による委託を受けて同項第一号、第二号又は第五号に掲げる事務（第五号に掲げる事務にあっては、同法第七十三条において準用する同法第二十二条の措置に関する事務又は同法第二条第三項に規定する個人型年金に係る届出の受理に関する事務に限る。）を行う業務

(x) business of carrying out the affairs listed in Article 61, paragraph (1), item (i), (ii) or (v) of the Defined Contribution Pension Act (with regard to the affair specified in item (v), limited to the affairs related to the measures set forth in Article 22 of that Act as applied mutatis mutandis pursuant to Article 73 of that Act or the affairs related to the acceptance of a notification on pensions for individuals as prescribed in Article 2, paragraph (3) of that Act), based on an entrustment from the national pension fund association pursuant to the provisions of Article 61, paragraph (1) of that Act;

十一 信託業法第二条第八項に規定する信託契約代理業

(xi) trust agreement agency business prescribed in Article 2, paragraph (8) of the Trust Business Act;

十二 金融機関の信託業務の兼営等に関する法律（昭和十八年法律第四十三号）第一条第一項第四号に掲げる業務若しくは同項第六号に掲げる業務のうち遺言の執行に関するもの又は同号若しくは同項第七号（イを除く。）に掲げる業務のうち遺産の整理に関するものに係る契約の締結の媒介（信託業務を営む金融機関（同項の認可を受けた金融機関をいう。以下同じ。）のために行うものに限る。）に係る業務

(xii) an intermediary service for a conclusion of a contract for the business specified in Article 1, paragraph (1), item (iv) of the Act on Provision of Trust Business by Financial Institutions (Act No. 43 of 1943), a contract for the business specified in item (vi) of that paragraph which relates to the execution of a will, or a contract for the business specified in that item or item (vii) of that paragraph (excluding (a)) which relates to the arrangement of an estate (limited to intermediary services provided for a financial institution engaged in trust business (meaning a financial institution authorized under that paragraph; the same applies hereinafter));

十三　金融機関代理業（銀行法第二条第十四項に規定する銀行代理業、長期信用銀行法第十六条の五第二項に規定する長期信用銀行代理業、信用金庫法第八十五条の二第二項に規定する信用金庫代理業、協同組合による金融事業に関する法律第六条の三第二項に規定する信用協同組合代理業、労働金庫法第八十九条の三第二項に規定する労働金庫代理業、農業協同組合法第九十二条の二第二項に規定する特定信用事業代理業、水産業協同組合法第百二十一条の二第二項に規定する特定信用事業代理業及び農林中央金庫法第九十五条の二第二項に規定する農林中央金庫代理業をいう。以下同じ。）

(xiii) financial institution agency service (meaning the bank agency service prescribed in Article 2, paragraph (14) of the Banking Act, the long term credit bank agency service prescribed in Article 16-5, paragraph (2) of the Long-Term Credit Bank Act, the Shinkin Bank agency service prescribed in Article 85-2, paragraph (2) of the Shinkin Bank Act, the credit cooperative agency service prescribed in Article 6-3, paragraph (2) of the Act on Financial Businesses by Cooperative, the Labor Bank agency service prescribed in Article 89-3, paragraph (2) of the Labor Bank Act, the specific credit business agency service prescribed in Article 92-2, paragraph (2) of the Agricultural Cooperatives Act, the specific credit business agency service prescribed in Article 121-2, paragraph (2) of the Fishery Cooperatives Act and the Norinchukin Bank agency service prescribed in Article 95-2, paragraph (2) of the Norinchukin Bank Act; the same applies hereinafter);

十四　不動産の管理業務

(xiv) real property management business;

十五　不動産に係る投資に関し助言を行う業務

(xv) advisory business related to real property investment;

十六　算定割当量（地球温暖化対策の推進に関する法律（平成十年法律第百十七号）第二条第六項に規定する算定割当量その他これに類似するものをいう。次号において同じ。）の取得若しくは譲渡に関する契約の締結又はその媒介、取次ぎ若しくは代理を行う業務

(xvi) business of a conclusion of a contract on the acquisition or transfer of carbon dioxide equivalent quotas (meaning the carbon dioxide equivalent quotas prescribed in Article 2, paragraph (6) of the Act on Promotion of Global Warming Countermeasures (Act No. 117 of 1998) or any other subject-matter similar thereto; the same applies in the following item), or an intermediary, brokerage or agency service therefor;

十七　次に掲げる取引又はその媒介、取次ぎ若しくは代理を行う業務

(xvii) business of conducting any of the following transactions, or an intermediary, brokerage or agency service therefor:

イ　当事者が数量を定めた算定割当量について当該当事者間で取り決めた算定割当量の相場に基づき金銭の支払を相互に約する取引その他これに類似する取引

(a) a transaction wherein the parties mutually promise to pay money with regard to the carbon dioxide equivalent quotas of which quantities are fixed by the parties, based on a quotation for the carbon dioxide equivalent quotas fixed by the parties, or any other transaction similar thereto; and

ロ　当事者の一方の意思表示により当事者間において前号の契約に係る取引及びイに掲げる取引を成立させることができる権利を相手方が当事者の一方に付与し、当事者の一方がこれに対して対価を支払うことを約する取引その他これに類似する取引

(b) a transaction wherein the parties thereto promise that one of the parties thereto grants to the other party the right to effect a transaction pertaining to the contract specified in the preceding item and a transaction specified in (a) between the parties upon the other party's manifestation of intention and the other party pays money in consideration for such right, or any other transaction similar thereto;

十八　投資法人（投資信託及び投資法人に関する法律第二条第十二項に規定する投資法人をいう。以下同じ。）から同法第百十七条第一項の規定による委託を受けて同項第四号に掲げる事務を行う業務又は特別目的会社から委託を受けてその機関の運営に関する事務を行う業務

(xviii) business of conducting the affairs specified in Article 117, paragraph (1), item (iv) of the Act on Investment Trust and Investment Corporations, based on an entrustment by an investment corporation (meaning an investment corporation prescribed in Article 2, paragraph (12) of that Act; the same applies hereinafter) pursuant to the provisions of Article 117, paragraph (1) of that Act; or the business of conducting the affairs related to the management of an organ of a special purpose company, based on entrustment by such special purpose company;

十九　有価証券又はデリバティブ取引に係る権利以外の資産に対する投資として、他人のため金銭その他の財産の運用を行う業務（法第三十五条第二項第一号、第二号、第五号の二及び第六号に掲げる業務に該当するものを除く。）

(xix) business of investing money or other properties for other person, as an investment in assets other than securities or rights pertaining to a derivative transaction (excluding the business which falls under any of the categories of business listed in Article 35, paragraph (2), items (i), (ii), (v)-2 and (vi) of the Act);

二十　債務の保証又は引受けに係る契約の締結又はその媒介、取次ぎ若しくは代理に係る業務

(xx) business of concluding a contract for a guarantee or assumption of an obligation, or an intermediary, brokerage or agency service therefor;

二十一　その行う業務に係る顧客に対し他の事業者のあっせん又は紹介を行う業務

(xxi) business of making an arrangement with or introducing another business operator, to customers of its business;

二十二　他の事業者の業務に関する広告又は宣伝を行う業務

(xxii) business of creating any advertisement or promotion in regard to the business of any other business operator;

二十三 資金決済に関する法律（平成二十一年法律第五十九号）第二条第二項に規定する資金移動業

(xxiii) funds transfer business prescribed in Article 2, paragraph (2) of the Act on Funds Settlement (Act No. 59 of 2009); and

二十四　法第三十五条第二項第一号から第六号まで又は前各号に掲げる業務に附帯する業務

(xxiv) business incidental to those listed in Article 35, paragraph (2), items (i) through (vi) of the Act or in the preceding items.

（その他業務に係る届出）

(Notification of Additional Business)

第六十九条　法第三十五条第三項又は第六項の規定により届出を行う金融商品取引業者は、当該届出に係る業務の種類並びに当該業務の開始又は廃止の年月日及び理由を記載した届出書に、次の各号に掲げる場合の区分に応じ、当該各号に定める書類を添付して、所管金融庁長官等に提出しなければならない。

Article 69 A financial instruments business operator which intends to file a notification under Article 35, paragraph (3) or (6) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written notification stating the type of business to be notified as well as the date of and reason for the commencement or discontinuation of such business, attaching a document specified in the following items in accordance the categories of documents set forth respectively therein:

一　当該業務を開始した場合　次に掲げる事項を記載した書類

(i) in the case of the commencement of the business: a document stating the following particulars:

イ　当該業務の方法

(a) the business methods;

ロ　当該業務の損失の危険の管理方法

(b) the method of the risk management concerning loss arising from the business; and

ハ　当該業務を行う部署の名称及び人員配置

(c) the name of the section in charge of the business and the positions of the personnel;

二　当該業務を廃止した場合　当該業務の廃止に伴う顧客勘定の処理の方法を記載した書面

(ii) in the case of the discontinuation of the business: a document stating the means of the treatment of customers' accounts incidental to the discontinuation of such business.

（その他業務の承認申請）

(Applications for Approval of Additional Business)

第七十条　法第三十五条第四項の承認を受けようとする金融商品取引業者は、次に掲げる事項を記載した承認申請書を所管金融庁長官等に提出しなければならない。

Article 70 (1) A financial instruments business operator which intends to obtain the approval under Article 35, paragraph (4) of the Act must submit to the Commissioner of Financial Services Agency or other competent official a written application for approval stating the following particulars:

一　商号

(i) the trade name;

二　登録年月日及び登録番号

(ii) the registration date and registration number;

三　承認を受けようとする業務の種類

(iii) the type of business for which approval is sought; and

四　当該業務の開始予定年月日

(iv) the scheduled date for the commencement of the business.

２　前項の承認申請書には、次に掲げる事項を記載した書類を添付しなければならない。

(2) A document stating the following particulars must be attached to a written application for approval as set forth in the preceding paragraph:

一　当該業務の内容及び方法

(i) the content of the business and business methods;

二　当該業務に係る損失の危険の管理方法に関する次に掲げる事項

(ii) the following matters in relation to the method of risk management concerning risk of loss pertaining to the business:

イ　当該業務に係る損失の危険相当額（第一種金融商品取引業を行う者にあっては、第百七十八条第一項第一号に規定する市場リスク相当額及び同項第二号に規定する取引先リスク相当額を含む。以下この号において同じ。）の算定方法

(a) the method of calculating the value of loss risk equivalent pertaining to the business (in the case of a person engaged in a type-I financial instruments business, including the market risk equivalent defined in Article 178, paragraph (1), item (i) and the counterparty risk equivalent defined in item (ii) of that paragraph; hereinafter the same applies in this item);

ロ　当該業務に係る損失の危険相当額の限度枠の設定及び適用方法

(b) the method of the establishment and application of a ceiling on the value of loss risk equivalent pertaining to the business;

ハ　当該業務に係る損失の危険相当額の算定及び限度枠の管理を行う部署の名称及び体制

(c) the name and structure of the section in charge of the calculation of the value of loss risk equivalent pertaining to the business and the management of the ceiling thereof;

ニ　当該業務に係る損失の危険相当額の算定の基礎となる資料の作成及び保存の方法

(d) the method of preparation and preservation of materials which would serve as the basis of the calculation of the value of loss risk equivalent pertaining to the business;

ホ　当該業務に係る損失の危険相当額及びその限度枠の適用状況について、検査を行う頻度、部署の名称及び体制

(e) the frequency of inspection of the value of loss risk equivalent pertaining to the business and the status of the application of the ceiling thereof, and the name and structure of the section in charge of such inspection; and

ヘ　その他当該業務に係る損失の危険の管理に関する重要な事項

(f) any other important matter related to the risk management concerning loss pertaining to the business;

三　当該業務を所掌する組織及び人員配置

(iii) the organizational structure for executing the business and the positions of the personnel therefor;

四　当該業務の運営に関する社内規則

(iv) the internal rules regarding the management of the business.

（業務管理体制の整備）

(Establishment of Operational Control System)

第七十条の二　法第三十五条の三の規定により金融商品取引業者等が整備しなければならない業務管理体制は、金融商品取引業等を適確に遂行するための社内規則等（社内規則その他これに準ずるものをいう。）を整備し、当該社内規則等を遵守するための従業員に対する研修その他の措置がとられていることとする。

Article 70-2 (1) The operational control system to be established by a financial instruments business operator, etc. pursuant to Article 35-3 of the Act is to develop internal rules, etc. (meaning internal rules and other documents equivalent thereto) for ensuring the implementation of financial instruments business, etc. in an appropriate way and to implement employee training and other measures to ensure compliance with the internal rules, etc.

２　法第三十五条の三の規定により金融商品取引業者等（電子募集取扱業務を行う者又は第六条の二各号に掲げる方法により法第二条第八項第七号に掲げる行為（法第三条各号に掲げる有価証券又は金融商品取引所に上場されていない有価証券（令第十五条の四の二各号に掲げるものを除く。）について行う場合に限る。）を業として行う者に限る。第二号において同じ。）が整備しなければならない業務管理体制は、前項の要件のほか、次に掲げる要件を満たさなければならない。

(2) The operational control system to be established by a financial instruments business operator, etc. (limited to an operator conducting electronic public offering services or an operator conducting the acts specified in Article 2, paragraph (8), item (vii) of the Act by the method specified in the items of Article 6-2 (limited to the case relating to the securities specified in the items of Article 3 of the Act or the securities not listed on a financial instruments exchange (excluding the securities specified in the items of Article 15-4-2 of the Order)) in the course of trade; the same applies in item (ii)), pursuant to Article 35-3 of the Act, must satisfy the following requirements beyond the requirements under the preceding paragraph.

一　金融商品取引業等に係る電子情報処理組織の管理を十分に行うための措置がとられていること。

(i) that the measures to ensure sufficient control of the electronic data processing system pertaining to the financial instruments business, etc. have been taken;

二　法第三十六条の二第一項の規定により同項の標識に表示されるべき事項（金融商品取引業者等が電子申込型電子募集取扱業務等を行う場合であって、金融商品取引業協会（当該金融商品取引業者等が行う業務（当該電子申込型電子募集取扱業務等に係るものに限る。）を行う者を主要な協会員又は会員とするものに限る。）に加入していない場合にあっては、その旨を含む。）に関し、金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された情報の内容を電気通信回線を通じて公衆の閲覧に供するための措置がとられていること。

(ii) that, for the matters to be indicated on the sign under Article 36-2, paragraph (1) of the Act pursuant to that paragraph (if the financial instruments business operator, etc. conducts electronic-based application type electronic public offering services, and if it is not a member of any financial instruments firms association (limited to an association having principal association members or members that are persons conducting the business implemented by the financial instruments business operator, etc. (limited to the business pertaining to the electronic-based application type electronic public offering services)), including such fact), measures have been taken to make available for public inspection the contents of information recorded into the files stored on the computer used by the financial instruments business operator via telecommunications line;

三　電子申込型電子募集取扱業務等において取り扱おうとする有価証券に関し、その発行者の財務状況、事業計画の内容及び資金使途その他電子申込型電子募集取扱業務等の対象とすることの適否の判断に資する事項の適切な審査（電子申込型電子募集取扱業務等において取り扱う有価証券の募集又は私募に係る顧客の応募額の目標として設定した金額（次号及び第五号並びに第八十三条第一項第六号ロ及びハにおいて「目標募集額」という。）が発行者の事業計画に照らして適当なものであることを確認することを含む。）を行うための措置がとられていること。

(iii) that, for the securities to be handled in the course of electronic-based application type electronic public offering services, etc., measures have been taken for the examination, in an appropriate manner, of the financial status of the issuers, details of business plans , purpose of use of funds and any other matters to facilitate the decision of whether it is appropriate to handle the securities as part of electronic-based application type electronic public offering services, etc. (including the confirmation of the appropriateness of the amount fixed as a target for the subscription amount of customers of the public offering or private placement of securities handled as part of the electronic-based application type electronic public offering services (referred to as "target subscription amount" in the following item and item (v) as well as Article 83, paragraph (1), item (vi), (b) and (c))) in light of the business plan of the issuer;

四　電子申込型電子募集取扱業務等において取り扱う有価証券の募集又は私募に係る顧客の応募額が顧客が当該有価証券の取得の申込みを行うことができる期間（次号及び第八十三条第一項第六号イにおいて「申込期間」という。）内に目標募集額に到達しなかった場合及び目標募集額を超過した場合の当該応募額の取扱いの方法を定め、当該方法に関して顧客に誤解を生じさせないための措置がとられていること。

(iv) that the method of handling the target subscription amount are provided for a case in which the subscription amount of customers of the public offering or private placement of securities handled as part of the electronic-based application type electronic public offering services failed to reach the target subscription amount within the period during which the customers may make a subscription for the acquisition of the securities (referred to as "subscription period" in the following item and Article 83, paragraph (1), item (vi), (a)) and a case in which the subscription amount exceeded the target subscription amount, and that measures have been taken to prevent the customers' misunderstanding as to the method;

五　電子申込型電子募集取扱業務等において取り扱う有価証券の募集又は私募に関して、顧客の応募額が申込期間内に目標募集額に到達したときに限り当該有価証券が発行される方法を用いている場合には、当該目標募集額に到達するまでの間、発行者が応募代金の払込みを受けることがないことを確保するための措置がとられていること。

(v) that, in relation to the public offering or private placement of the securities handled as part of the electronic-based application type electronic public offering services, if the financial instruments business operator, etc. uses a method whereby the securities are issued subject to the achievement of the target subscription amount for the subscription amount of customer within the subscription period, measures have been taken to ensure that the issuer will not receive the payment of subscription price before the target subscription amount is achieved;

六　電子申込型電子募集取扱業務等に係る顧客が電子申込型電子募集取扱業務等において取り扱う有価証券の取得の申込みをした日から起算して八日を下らない期間が経過するまでの間、当該顧客が当該申込みの撤回又は当該申込みに係る発行者との間の契約の解除を行うことができることを確認するための措置がとられていること。

(vi) that the measures have been taken to confirm that customers may withdraw the subscription or cancel the subscription contract with the issuer before the elapse of the period which is not less than eight days from the day when the customer of the electronic-based application type electronic public offering services, etc. made a subscription for the acquisition of securities to be handled as part of the electronic-based application type electronic public offering services;

七　発行者が電子申込型電子募集取扱業務等に係る顧客の応募代金の払込みを受けた後に、当該発行者が顧客に対して事業の状況について定期的に適切な情報を提供することを確保するための措置がとられていること。

(vii) that the measures have been taken to ensure that the issuer provides customers with appropriate information on the business on a regular basis after the issuer receives the payment of the subscription price by the customer of the electronic-based application type electronic public offering services; and

八　第一種少額電子募集取扱業務又は第二種少額電子募集取扱業務において取り扱う募集又は私募に係る有価証券の発行価額の総額及び当該有価証券を取得する者が払い込む額が令第十五条の十の三各号に掲げる要件を満たさなくなることを防止するための必要かつ適切な措置（第十六条の三各項に規定する算定方法に基づいて当該有価証券の発行価額の総額及び当該有価証券を取得する者が払い込む額を適切に算定するための措置を含む。）がとられていること。

(viii) that necessary and appropriate measures have been taken to prevent the total amount of issue value of the securities for the public offering or private placement handled as part of the type-I small-amount electronic public offering service or type-II small-amount electronic public offering service and the amount to be paid by the person acquiring the securities from falling below the requirements specified in the items of Article 15-10-3 of the Order (including the measure for the appropriate calculation of the total amount of issue value of the securities or the amount to be paid by the person acquiring the securities in accordance with the calculation methods provided in the paragraphs of Article 16-3).

３　前項第二号から第七号までの「電子申込型電子募集取扱業務等」とは、電子申込型電子募集取扱業務（電子募集取扱業務のうち、次に掲げる方法により当該電子募集取扱業務の相手方（以下この項において「顧客」という。）に有価証券の取得の申込みをさせるものをいう。以下この項において同じ。）又は第一種少額電子募集取扱業者若しくは第二種少額電子募集取扱業者が行う電子募集取扱業務（電子申込型電子募集取扱業務に該当するものを除く。以下この項において同じ。）及びこれらの業務において取り扱う募集又は私募に係る有価証券についての法第二条第八項第九号に掲げる行為（電子申込型電子募集取扱業務又は第一種少額電子募集取扱業者若しくは第二種少額電子募集取扱業者が行う電子募集取扱業務に該当するものを除く。）をいう。

(3) The term "electronic-based application type electronic public offering services, etc." referred to in items (ii) through (vii) of the preceding paragraph means electronic-based application type electronic public offering services (meaning an electronic public offering services whereby the counterparty to the electronic public offering services (hereinafter referred to as a "customer" in this paragraph) makes a subscription for the acquisition of securities by the following means; hereinafter the same applies in this paragraph), or electronic public offering services conducted by a type-I small-amount electronic public offering service provider or type-II small-amount electronic public offering service provider (excluding services which fall under the category of electronic-based application type electronic public offering services; hereinafter the same applies in this paragraph), and the acts specified in Article 2, paragraph (8), item (ix) of the Act in relation to the securities for the public offering and private placement to be handled as part of these services (excluding the services which fall under the categories of electronic-based application type electronic public offering services, or electronic public offering services conducted by a type-I small-amount electronic public offering service provider or type-II small-amount electronic public offering service provider):

一　金融商品取引業者等の使用に係る電子計算機に備えられたファイルに記録された顧客が申し込もうとする有価証券に関する事項を電気通信回線を通じて顧客の閲覧に供し、当該金融商品取引業者等の使用に係る電子計算機に備えられたファイルに当該顧客の申込みに関する事項を記録する方法

(i) a means whereby the matters relating to the securities to be subscribed for by a customer recorded in the files stored on a computer used by a financial instruments business operator, etc. are made available for inspection via telecommunication lines, and by the matters relating to the subscription by the customer is recorded in the file stored on a computer used by the financial instruments business operator, etc.; or

二　金融商品取引業者等の使用に係る電子計算機と有価証券の取得の申込みをしようとする顧客の使用に係る電子計算機とを接続する電気通信回線を通じて又はこれに類する方法により顧客が申し込もうとする有価証券に関する事項を送信し（音声の送受信による通話を伴う場合を除く。）、当該金融商品取引業者等の使用に係る電子計算機に備えられたファイルに当該顧客の申込みに関する事項を記録する方法

(ii) a means whereby the matters relating to the securities to be subscribed for by a customer that intends to make a subscription for the acquisition of the securities are transmitted via telecommunication lines connecting a computer used by a financial instruments business operator, etc. and a computer used by the customer or similar means (excluding the case of involving a communication through audio transmission), and by the matters relating to the subscription by the customer are recorded in the file stored on a computer used by the financial instruments business operator, etc.

４　法第三十五条の三の規定により金融商品取引業者等（金融商品取引業等として高速取引行為を行う者に限る。）が整備しなければならない業務管理体制は、第一項の要件のほか、高速取引行為に係る電子情報処理組織その他の設備の管理を十分に行うための措置がとられていることとする。

(4) The operational control systems to be established by financial instruments business operators, etc. (limited to the business operators conducting high-speed trading as financial instruments business, etc.) pursuant to Article 35-3 of the Act are the measures to ensure sufficient management of an electronic data processing systems for the high-speed trading and other facilities, beyond the requirements under paragraph (1).

５　法第三十五条の三の規定により金融商品取引業者等（親会社（法第五十七条の二第八項に規定する親会社をいう。以下この項において同じ。）が外国会社である者のうち金融庁長官が指定する者に限る。）が整備しなければならない業務管理体制は、第一項の要件のほか、金融庁長官が定めるところにより、親会社との間において、業務の継続的な実施を確保するための措置がとられていることとする。

(5) The operational control systems to be established by financial instruments business operators, etc. (limited to the business operators whose parent company (meaning a parent company provided in Article 57-2, paragraph (8) of the Act; hereinafter the same applies in this paragraph) is a foreign company designated by the Commissioner of the Financial Services Agency) pursuant to Article 35-3 of the Act are the measures to ensure continuous implementation of business with the parent company as prescribed by the Commissioner of the Financial Services Agency, in addition to the requirements under paragraph (1).

（金融商品関連業務の範囲）

(Range of Financial Instruments Related Business)

第七十条の三　法第三十六条第二項に規定する内閣府令で定める業務は、次の各号に掲げる場合の区分に応じ、当該各号に定める業務とする。

Article 70-3 The businesses to be specified by Cabinet Office Order as referred to in Article 36, paragraph (2) of the Act are the businesses specified in the following items according to the category of cases set forth in the respective items:

一　特定金融商品取引業者等（法第三十六条第三項に規定する特定金融商品取引業者等をいう。以下同じ。）が令第十五条の二十七第一号に掲げる者である場合　次のイ及びロに掲げる業務

(i) when a specified financial instruments business operator, etc. (meaning a specified financial instruments business operator, etc. prescribed in Article 36, paragraph (3) of the Act; the same applies hereinafter) is a person listed in Article 15-27, item (i) of the Order: the businesses listed in (a) and (b) below:

イ　金融商品取引業又は登録金融機関業務

(a) financial instruments business or registered financial institution business; and

ロ　法第三十五条第一項に規定する金融商品取引業に付随する業務（当該特定金融商品取引業者等の子金融機関等（法第三十六条第五項に規定する子金融機関等をいう。以下同じ。）が行う当該業務に相当する業務を含む。）

(b) a business incidental to financial instruments business prescribed in Article 35, paragraph (1) of the Act (including a business conducted by a subsidiary financial institution, etc. of such specified financial instruments business operator, etc. (meaning a subsidiary financial institution, etc. prescribed in Article 36, paragraph (5) of the Act; the same applies hereinafter) that is equivalent to such business); and

二　特定金融商品取引業者等が令第十五条の二十七第二号に掲げる者である場合　次のイ及びロに掲げる業務

(ii) when a specified financial instruments business operator, etc. is a person listed in Article 15-27, item (ii) of the Order: the businesses listed in (a) and (b) below:

イ　金融商品取引業又は登録金融機関業務

(a) financial instruments business or registered financial institution business; and

ロ　法第三十五条第一項に規定する金融商品取引業に付随する業務

(b) a business incidental to financial instruments business prescribed in Article 35, paragraph (1) of the Act.

（顧客の利益が不当に害されることのないよう必要な措置）

(Measures Required So That Interests of Customer Would Not Be Unjustly Impaired)

第七十条の四　特定金融商品取引業者等は、当該特定金融商品取引業者等又はその親金融機関等（法第三十六条第四項に規定する親金融機関等をいう。以下同じ。）若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務（同条第二項に規定する金融商品関連業務をいう。以下同じ。）に係る顧客の利益が不当に害されることのないよう、次に掲げる措置を講じなければならない。

Article 70-4 (1) A specified financial instruments business operator, etc. must take the following measures so that, as a result of any transaction it or its parent financial institution, etc. (meaning a parent financial institution, etc. prescribed in Article 36, paragraph (4) of the Act; the same applies hereinafter) or subsidiary financial institution, etc. conducts, the interests of a customer pertaining to financial instruments related business (meaning a financial instruments related business prescribed in paragraph (2) of that Article; the same applies hereinafter) conducted by the specified financial instruments business operator, etc. or its subsidiary financial institution etc. would not be unjustly impaired:

一　対象取引を適切な方法により特定するための体制の整備

(i) the establishment of a system for identifying a subject transaction in an appropriate manner;

二　次に掲げる方法その他の方法により当該顧客の保護を適正に確保するための体制の整備

(ii) the establishment of a system for ensuring in an appropriate manner the protection of such customer by following means and any other means:

イ　対象取引を行う部門と当該顧客との取引を行う部門を分離する方法

(a) means of separating the section conducting the subject transaction and the section conducting a transaction with such customer;

ロ　対象取引又は当該顧客との取引の条件又は方法を変更する方法

(b) means of changing the terms or means of the subject transaction or the transaction with such customer;

ハ　対象取引又は当該顧客との取引を中止する方法

(c) means of discontinuing the subject transaction or the transaction with such customer; and

ニ　対象取引に伴い、当該顧客の利益が不当に害されるおそれがあることについて、当該顧客に適切に開示する方法

(d) means of disclosing in an appropriate fashion that as a result of the subject transaction, the interests of such customer might be unjustly impaired;

三　前二号に掲げる措置の実施の方針の策定及びその概要の適切な方法による公表

(iii) the formulation of policies for implementing the measures listed in the preceding two items and the publication of an overview thereof by an appropriate means; and

四　次に掲げる記録の保存

(iv) the storage of the following records:

イ　第一号の体制の下で実施した対象取引の特定に係る記録

(a) the records pertaining to the identification of subject transactions performed under the system under item (i); and

ロ　第二号の体制の下で実施した顧客の保護を適正に確保するための措置に係る記録

(b) the records pertaining to the measures for ensuring in an appropriate manner the protection of customers performed under the system under item (ii).

２　前項第四号に規定する記録は、その作成の日から五年間保存しなければならない。

(2) The records prescribed in item (iv) of the preceding paragraph must be preserved for five years after the preparation thereof.

３　第一項の「対象取引」とは、特定金融商品取引業者等又はその親金融機関等若しくは子金融機関等が行う取引に伴い、当該特定金融商品取引業者等又はその子金融機関等が行う金融商品関連業務に係る顧客の利益が不当に害されるおそれがある場合における当該取引をいう。

(3) A "subject transaction" under paragraph (1) means a transaction conducted by a specified financial instruments business operator, etc. or its parent financial institution, etc., or subsidiary financial institution, etc., as a result of which the interests of a customer pertaining to financial instruments related business conducted by such specified financial instruments business operator, etc. or its subsidiary financial institution, etc. might be unjustly impaired.

（掲示すべき標識の様式）

(Forms of Signs to Be Posted)

第七十一条　法第三十六条の二第一項に規定する内閣府令で定める様式は、次の各号に掲げる者の区分に応じ、当該各号に定めるものとする。

Article 71 The forms to be specified by Cabinet Office Order as referred to in Article 36-2, paragraph (1) of the Act are the forms specified in the following items, in accordance with the categories of the persons respectively set forth therein:

一　金融商品取引業者　別紙様式第十号

(i) financial instruments business operator: Appended Form No. 10; or

二　登録金融機関　別紙様式第十一号

(ii) registered financial institution: Appended Form 11.

（広告類似行為）

(Acts Similar to Advertising)

第七十二条　法第三十七条各項に規定する内閣府令で定める行為は、郵便、信書便（民間事業者による信書の送達に関する法律（平成十四年法律第九十九号）第二条第六項に規定する一般信書便事業者又は同条第九項に規定する特定信書便事業者の提供する同条第二項に規定する信書便をいう。第二百六十六条において同じ。）、ファクシミリ装置を用いて送信する方法、電子メール（特定電子メールの送信の適正化等に関する法律（平成十四年法律第二十六号）第二条第一号に規定する電子メールをいう。第二百六十六条において同じ。）を送信する方法、ビラ又はパンフレットを配布する方法その他の方法（次に掲げるものを除く。）により多数の者に対して同様の内容で行う情報の提供とする。

Article 72 The acts to be specified by Cabinet Office Order as referred to in the paragraphs of Article 37 of the Act are the provision of identical information to many persons, by means of postal mail, correspondences delivery (meaning a correspondence delivery as prescribed in Article 2, paragraph (2) of the Act on Correspondence Delivery by Private Business Operators (Act No. 99 of 2002) that is provided by a general correspondence delivery operator as prescribed in paragraph (6) of that Article or by a specified correspondence delivery operator as prescribed in paragraph (9) of that Article; the same applies in Article 266), transmission by facsimile devices, transmission by electronic mails (meaning the electronic mail prescribed in Article 2, item (i) of the Act on Regulation of Transmission of Specified Electronic Mail (Act No. 26 of 2002); the same applies in Article 266), distribution of leaflets or pamphlets or by any other means (excluding those listed in the following):

一　法令又は法令に基づく行政官庁の処分に基づき作成された書類を配布する方法

(i) distribution of documents prepared in accordance with laws or regulations, or in accordance with the dispositions rendered by administrative agencies under the laws and regulations;

二　個別の企業の分析及び評価に関する資料であって、金融商品取引契約の締結の勧誘に使用しないものを配布する方法

(ii) distribution of materials on the analysis and appraisal of the respective companies not intended to be used for solicitation for the conclusion of a contract for financial instruments transaction;

三　次に掲げるすべての事項のみが表示されている景品その他の物品（ロからニまでに掲げる事項について明瞭かつ正確に表示されているものに限る。）を提供する方法（当該事項のうち景品その他の物品に表示されていない事項がある場合にあっては、当該景