securities underwriterとは 意味・読み方・使い方

(3) In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in paragraph (1) (limited to those so specified by a Cabinet Order; hereinafter the same shall apply in this paragraph) or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, if the other person requests the Prospectus stating the matters specified in Article 13(2)(ii) by the time when such Securities are acquired or sold through Public Offering or Secondary Distribution, they shall deliver the Prospectus to the other person immediately.発音を聞く 例文帳に追加

３　発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、第一項の有価証券（政令で定めるものに限る。以下この項において同じ。）又は既に開示された有価証券を募集又は売出しにより取得させ、又は売り付ける場合において、その取得させ、又は売り付ける時までに、相手方から第十三条第二項第二号に定める事項に関する内容を記載した目論見書の交付の請求があつたときには、直ちに、当該目論見書を交付しなければならない。 - 日本法令外国語訳データベースシステム

(2) No person shall, in response to a request of an Issuer, a person engaged in Secondary Distribution of Securities, an Underwriter or Financial Instruments Business Operator, etc., prepare or distribute documents that contain fake statement on any important matters pertaining to Securities issued by, apportioned to or dealt by such persons for the purpose of publicly notifying or distributing the documents.発音を聞く 例文帳に追加

２　何人も、発行者、有価証券の売出しをする者、引受人又は金融商品取引業者等の請託を受けて、公示し又は頒布する目的をもつてこれらの者の発行、分担又は取扱いに係る有価証券に関し重要な事項について虚偽の記載をした文書を作成し、又は頒布してはならない。 - 日本法令外国語訳データベースシステム

In cases where a securities company, etc. acts as a lead underwriter of share certificates issued by its parent/subsidiary corporations, etc. under Article 153(1)(iv)(c) of the FIB Cabinet Office Ordinance, whether the following measures have been taken to ensure that other securities companies, etc. can appropriately participate in the process of determining the issue price for such underwriting.発音を聞く 例文帳に追加

証券会社等が、金商業等府令第153条第１項第４号ニに基づき、その親子法人等が発行する株券等の引受けの主幹事会社となる場合には、当該引受けに係る発行価格の決定に関して他の証券会社等の適切な関与を確保するため、以下の措置が講じられているか。 - 金融庁

Article 26 When the Prime Minister finds it necessary and appropriate for the public interest or protection of investors, he/she may order the person who submits a Securities Registration Statement, Shelf Registration Statement, Annual Securities Report, Share Buyback Report or Status Report of Parent Company, etc. or an Underwriter of the Securities or other person concerned or witnesses to submit reports or materials that will be helpful, or have the officials inspect the books and documents or other articles held by these persons.発音を聞く 例文帳に追加

第二十六条　内閣総理大臣は、公益又は投資者保護のため必要かつ適当であると認めるときは、有価証券届出書の届出者、発行登録書の提出者、有価証券報告書の提出者、自己株券買付状況報告書の提出者、親会社等状況報告書の提出者若しくは有価証券の引受人その他の関係者若しくは参考人に対し参考となるべき報告若しくは資料の提出を命じ、又は当該職員をしてその者の帳簿書類その他の物件を検査させることができる。 - 日本法令外国語訳データベースシステム

(4) In cases where the Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider has another person acquire Securities referred to in paragraph (1) or Already Disclosed Securities, or sells such Securities to another person, through Public Offering or Secondary Distribution, if an amendment has been submitted with regard to the statement submitted for the Securities under the main clause of Article 5(1), they shall deliver the Prospectus stating the matters specified in Article 13(2)(iii) to the other person in advance of, or at the same time as, having the Securities acquired or selling the Securities; provided, however, that this shall not apply in the cases specified in the items of paragraph (2).発音を聞く 例文帳に追加

４　発行者、有価証券の売出しをする者、引受人、金融商品取引業者、登録金融機関又は金融商品仲介業者は、第一項の有価証券を募集又は売出しにより取得させ、又は売り付ける場合において、当該有価証券に係る第五条第一項本文の届出書について第七条の規定による訂正届出書が提出されたときには、第十三条第二項第三号に定める事項に関する内容を記載した目論見書をあらかじめ又は同時に交付しなければならない。ただし、第二項各号に掲げる場合は、この限りでない。 - 日本法令外国語訳データベースシステム

Article 15 (1) With regard to Securities of which Public Offering or Secondary Distribution is subject to the main clause of Article 4(1) or the main clause of Article 4(2), its Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter (including a person who, with regard to a General Solicitation for Securities Acquired by Qualified Institutional Investor (excluding in the Case Where Disclosures Have Been Made with regard to the Securities for which the general solicitation is made), carries out any of the acts specified in the items of Article 2(6); hereinafter the same shall apply in this Chapter), a Financial Instruments Business Operator, a Registered Financial Institution, or a Financial Instruments Intermediary Service Provider shall not have another person acquire such Securities or sell such Securities to another person through Public Offering or Secondary Distribution unless the notification made under Article 4(1) or (2) comes into effect.発音を聞く 例文帳に追加

第十五条　発行者、有価証券の売出しをする者、引受人（適格機関投資家取得有価証券一般勧誘（開示が行われている場合における有価証券に係るものを除く。）に際し、第二条第六項各号のいずれかを行う者を含む。以下この章において同じ。）、金融商品取引業者、登録金融機関又は金融商品仲介業者は、その募集又は売出しにつき第四条第一項本文又は第二項本文の規定の適用を受ける有価証券については、これらの規定による届出がその効力を生じているのでなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。 - 日本法令外国語訳データベースシステム

Article 23-8 (1) The Issuer, a person who engages in Secondary Distribution of Securities, an Underwriter, a Financial Instruments Business Operator or a Registered Financial Institution shall not have another person acquire Securities for which the Shelf Registration has been made for their Public Offerings or Secondary Distributions, or sell such Securities to another person, through Public Offerings or Secondary Distributions, unless the Shelf Registration has already come into effect and, for each Public Offering or Secondary Distribution, a document which states the total issue price or total distribution amount, conditions of issuance or distribution of the Securities or other matters specified by a Cabinet Office Ordinance as necessary and appropriate for the public interest or protection of investors (hereinafter referred to as "Shelf Registration Supplements") has been submitted to the Prime Minister pursuant to the provisions of a Cabinet Office Ordinance; provided however, that this shall not apply to Public Offerings or Secondary Distributions specified by a Cabinet Office Ordinance if the total issue price or total distribution amount of each Public Offering or Secondary Distribution is less than 100 million.発音を聞く 例文帳に追加

第二十三条の八　発行登録者、有価証券の売出しをする者、引受人、金融商品取引業者又は登録金融機関は、発行登録によりあらかじめその募集又は売出しが登録されている有価証券については、当該発行登録がその効力を生じており、かつ、当該有価証券の募集又は売出しごとにその発行価額又は売出価額の総額、発行条件又は売出条件その他の事項で公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものを記載した書類（以下「発行登録追補書類」という。）が内閣府令で定めるところにより内閣総理大臣に提出されていなければ、これを募集又は売出しにより取得させ、又は売り付けてはならない。ただし、有価証券の募集又は売出しごとの発行価額又は売出価額の総額が一億円未満の有価証券の募集又は売出しで内閣府令で定めるものについては、この限りでない。 - 日本法令外国語訳データベースシステム

Article 169 When a person publishes in a newspaper or a magazine, or indicates by means of documents, broadcasting, motion picture or other means to the public, his/her opinion which would convey his/her decision regarding investment on Securities, Issuers or Tender Offerors prescribed in Article 27-3(2) (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2(2)), in exchange for consideration received from or under a promise to receive consideration from any Issuer, person engaged in Secondary Distribution of Securities, Underwriter, Financial Instruments Business Operator, etc. or Tender Offeror, etc. prescribed in Article 27-3(3) (including the cases where it is applied mutatis mutandis pursuant to Article 27-22-2(2)), such a person shall indicate, together with the opinion, that the opinion is published or indicated in exchange for consideration received or under a promise to receive consideration; provided, however, that this shall not apply to cases where a person who has received or is promised to receive advertisement fees indicates such an opinion as an advertisement made in exchange for the advertisement fees.発音を聞く 例文帳に追加

第百六十九条　何人も、発行者、有価証券の売出しをする者、引受人、金融商品取引業者等又は第二十七条の三第三項（第二十七条の二十二の二第二項において準用する場合を含む。）に規定する公開買付者等から対価を受け、又は受けるべき約束をして、有価証券、発行者又は第二十七条の三第二項（第二十七条の二十二の二第二項において準用する場合を含む。）に規定する公開買付者に関し投資についての判断を提供すべき意見を新聞紙若しくは雑誌に掲載し、又は文書、放送、映画その他の方法を用いて一般に表示する場合には、当該対価を受け、又は受けるべき約束をして行う旨の表示を併せてしなければならない。ただし、広告料を受け、又は受けるべき約束をしている者が、当該広告料を対価とし、広告として表示する場合については、この限りでない。 - 日本法令外国語訳データベースシステム