「IN SECURITIES」に関連した英語例文の一覧と使い方(11ページ目) - Weblio英語例文検索

(i) Securities, etc. for retention under the management of a Commodity Clearing Organization (excluding Securities, etc. which are retained and commingled; the same shall apply in the following item): a management method by which the Commodity Clearing Organization controls the location for the retention of Securities, etc. for allocation that is clearly separate from that for the Securities, etc. of a person's own property and other Securities, etc., than that for the Securities, etc. for allocation (hereinafter referred to as the "Securities, etc. of a Clearing Organization's Own Property" in this Article), and that said Securities, etc. for allocation are retained in an available condition that is immediately distinguishable as to which customer deposited such property or for which customer such property was deposited; 例文帳に追加

一商品取引清算機関が保管することにより管理する有価証券等（混蔵して保管される 有価証券等を除く。次号において同じ。） 充用有価証券等の保管場所については自 己の固有財産である有価証券等その他の充用有価証券等以外の有価証券等（以下こ の条において「清算機関固有有価証券等」という。）の保管場所と明確に区分し、か つ、当該充用有価証券等についてどの会員等から又はどの会員等を通じ預託を受けた有価証券等であるかが直ちに判別できる状態で保管することにより管理する方法 - 経済産業省

1. the cases specified in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order according to the category of cases where the Securities which shall be the subject of a purchase and sale or any other transaction upon the exercise of the Options indicated on the Securities (the first-mentioned Securities shall be referred to as the "Underlying Securities" in Article 13, paragraph (3), item (ii), sub-item (b), Article 13-4, paragraph (2), item (ii), sub-item (b) and Article 13-7, paragraph (3), item (ii), sub-item (b)) are the Securities set forth in the items of Article 1-4 or the items of Article 1-7-4 of the Cabinet Order; and 例文帳に追加

（１）　有価証券に表示されるオプションの行使により売買その他の取引の対象となる有価証券（第十三条第三項第二号ロ、第十三条の四第二項第二号ロ及び第十三条の七第三項第二号ロにおいて「原有価証券」という。）が令第一条の四各号又は第一条の七の四各号に掲げる有価証券である場合の区分に応じ、令第一条の四各号又は第一条の七の四各号に定める場合 - 日本法令外国語訳データベースシステム

Article 14 (1) The Securities specified by Cabinet Office Ordinance, referred to in Article 2, paragraph (5) of the Act, shall be the Beneficiary Certificates of a Special Purpose Trust, the Beneficiary Certificates of a Trust That Issues Beneficiary Certificates and Mortgage Securities; the Securities which are listed in Article 2, paragraph (1), item (xvii) of the Act and which have the nature of the Beneficiary Certificates of a Special Purpose Trust, the Beneficiary Certificates of a Trust That Issues Beneficiary Certificates and Mortgage Securities; and the Securities listed in item (xx) of that paragraph. 例文帳に追加

第十四条　法第二条第五項に規定する内閣府令で定める有価証券は、特定目的信託の受益証券、受益証券発行信託の受益証券及び抵当証券並びに法第二条第一項第十七号に掲げる有価証券のうち特定目的信託の受益証券、受益証券発行信託の受益証券及び抵当証券の性質を有するもの並びに同項第二十号に掲げる有価証券とする。 - 日本法令外国語訳データベースシステム

(3) When a Commodity Exchange manages Securities, etc. for Allocation (which means Securities and warehouse receipts allocated for clearing margins pursuant to the provisions of Article 103, paragraph (5) of the Act [hereinafter referred to as "Securities, etc."]; hereinafter the same shall apply in this Article) based on the provisions of paragraph (4) of the same Article, it shall manage said Securities, etc. for Allocation by the methods specified in the following items for the categories of Securities, etc. set forth respectively in those items: 例文帳に追加

３　商品取引所は、法第百三条第四項の規定に基づき充用有価証券等（同条第五項の規定により取引証拠金に充てられる有価証券及び倉荷証券（以下この条において「有価証券等」という。）をいう。以下この条において同じ。）を管理するときは、次の各号に掲げる有価証券等の区分に応じ、当該各号に定める方法により当該充用有価証券等を管理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

(iii) Securities, etc. for retention under the management of a Commodity Exchange (limited to the Securities, etc. which are retained and commingled; the same shall apply in the following item): a management method by which the location for the retention of Securities, etc. for Allocation is clearly separate from that for the Private Securities, etc., and that the equity interests pertaining to Securities, etc. for Allocation deposited by or through each Member, etc. are retained in an available condition which is easily distinguishable in their own books and records; 例文帳に追加

三　商品取引所が保管することにより管理する有価証券等（混蔵して保管される有価証券等に限る。次号において同じ。）　充用有価証券等の保管場所については固有有価証券等の保管場所と明確に区分し、かつ、各会員等から又は各会員等を通じ預託を受けた充用有価証券等に係る持分が自己の帳簿により直ちに判別できる状態で保管することにより管理する方法 - 日本法令外国語訳データベースシステム

(iii) Securities, etc. for retention under the management of a Commodity Clearing Organization (limited to the Securities, etc., which are retained and commingled; the same shall apply in the following item): a management method by which the location for the retention of Securities, etc. for Allocation is clearly separate from that for the Securities, etc. of a Clearing Organization's Own Property, and that the equity interests pertaining to Securities, etc. for Allocation deposited by or through each Member, etc. are retained in an available condition which is easily distinguishable in their own books and records; 例文帳に追加

三　商品取引清算機関が保管することにより管理する有価証券等（混蔵して保管される有価証券等に限る。次号において同じ。）　充用有価証券等の保管場所については清算機関固有有価証券等の保管場所と明確に区分し、かつ、各会員等から又は各会員等を通じ預託を受けた充用有価証券等に係る持分が自己の帳簿により直ちに判別できる状態で保管することにより管理する方法 - 日本法令外国語訳データベースシステム

(iii) Securities, etc. for retention under the management of a Commodity Exchange (limited to the Securities, etc. which are retained and commingled; the same shall apply in the following item): a management method by which the location for the retention of Securities, etc. for allocation is clearly separate from that for the Private Securities, etc., and that the shares pertaining to Securities, etc. for allocation deposited by or through each Member, etc. are retained in an available condition which is easily distinguishable in their own books and records; 例文帳に追加

三商品取引所が保管することにより管理する有価証券等（混蔵して保管される有価証 券等に限る。次号において同じ。） 充用有価証券等の保管場所については固有有価 証券等の保管場所と明確に区分し、かつ、各会員等から又は各会員等を通じ預託を受 けた充用有価証券等に係る持分が自己の帳簿により直ちに判別できる状態で保管する ことにより管理する方法 - 経済産業省

(iii) Securities, etc. for retention under the management of a Commodity Clearing Organization (limited to the Securities, etc., which are retained and commingled; the same shall apply in the following item): a management method by which the location for the retention of Securities, etc. for allocation is clearly separate from that for the Securities, etc. of the Clearing Organization's Own Property, and that the shares pertaining to Securities, etc. for allocation deposited by or through each Member, etc. are retained in an available condition which is easily distinguishable in their own books and records; 例文帳に追加

三商品取引清算機関が保管することにより管理する有価証券等（混蔵して保管される 有価証券等に限る。次号において同じ。） 充用有価証券等の保管場所については清 算機関固有有価証券等の保管場所と明確に区分し、かつ、各会員等から又は各会員 等を通じ預託を受けた充用有価証券等に係る持分が自己の帳簿により直ちに判別で きる状態で保管することにより管理する方法 - 経済産業省

(ii) the Securities possessed by the Financial Instruments Business Operator, etc. based on the account of a customer or Securities deposited to the Financial Instruments Business Operator, etc. from a customer (excluding the Securities listed in the preceding item, Securities that a Financial Instruments Business Operator, etc. may use under a contract, and other Securities specified by a Cabinet Order), with regard to transactions pertaining to Securities-Related Business or other businesses specified by a Cabinet Office Ordinance as being incidental to Securities-Related Business (excluding Over-the-Counter Transactions of Derivatives and other transactions specified by a Cabinet Order; hereinafter referred to as "Subject Securities-Related Transactions" in item (ii) of the following paragraph and Article 79-20). 例文帳に追加

二　有価証券関連業又は有価証券関連業に付随する業務として内閣府令で定めるものに係る取引（店頭デリバティブ取引に該当するものその他政令で定める取引を除く。次項第二号及び第七十九条の二十において「対象有価証券関連取引」という。）に関し、顧客の計算において金融商品取引業者等が占有する有価証券又は金融商品取引業者等が顧客から預託を受けた有価証券（前号に掲げる有価証券、契約により金融商品取引業者等が消費できる有価証券その他政令で定める有価証券を除く。） - 日本法令外国語訳データベースシステム

(v) corporate bond certificates (excluding the Securities listed in items (i) and (ii), and the preceding item) with special provisions whereby they are to be or may be redeemed through the Securities issued by a company other than the company that issued the relevant corporate bond certificates (hereinafter such Securities shall be referred to as the "Target Securities" in this item) (limited to corporate bond certificates where the person who holds the corporate bond certificates has the right to receive the redemption thereof through the Target Securities from the company that issued said corporate bond certificates): the following matters: 例文帳に追加

五　社債券（第一号、第二号及び前号に掲げる有価証券を除く。）のうち、当該社債券の発行会社以外の会社が発行した有価証券（以下この号において「対象証券」という。）により償還される旨又は償還することができる旨の特約が付されているもの（社債券を保有する者が当該社債券の発行会社に対し対象証券による償還を受ける権利を有しているものに限る。）　次に掲げる事項 - 日本法令外国語訳データベースシステム

Article 24-4 Article 22 shall apply mutatis mutandis to cases where an Annual Securities Report contains any fake statement on important matters or lacks a statement on important matters that should be stated or on a material fact that is necessary for avoiding misunderstanding. In this case, the term "persons who have acquired the Securities issued by the person submitting the Securities Registration Statement not through Public Offering or Secondary Distribution" in Article 22(1) shall be deemed to be replaced with "persons who acquire the Securities issued by the person submitting the Securities Registration Statement." 例文帳に追加

第二十四条の四　第二十二条の規定は、有価証券報告書のうちに重要な事項について虚偽の記載があり、又は記載すべき重要な事項若しくは誤解を生じさせないために必要な重要な事実の記載が欠けている場合について準用する。この場合において、同条第一項中「有価証券を募集又は売出しによらないで取得した者」とあるのは、「有価証券を取得した者」と読み替えるものとする。 - 日本法令外国語訳データベースシステム

(3) When a Commodity Exchange manages Securities, etc. for allocation (which means Securities and warehouse receipts allocated for clearing margins pursuant to the provisions of Article 103, paragraph 5 of the Act [hereinafter referred to as "Securities, etc."]; hereinafter the same shall apply in this Article) based on the provisions of paragraph 4 of the same Article, it shall manage said Securities, etc. for allocation by the methods listed as follows, according to the classification of the Securities, etc. listed in the following items: 例文帳に追加

３ 商品取引所は、法第百三条第四項の規定に基づき充用有価証券等（同条第五項の規定 により取引証拠金に充てられる有価証券及び倉荷証券（以下この条において「有価証券 等」という。）をいう。以下この条において同じ。）を管理するときは、次の各号に掲げ る有価証券等の区分に応じ、当該各号に定める方法により当該充用有価証券等を管理し なければならない。 - 経済産業省

(3) A person shall, when he/she makes a Solicitation for Small Number of Investors (meaning a Solicitation for Newly Issued Securities, etc. which falls under any of the categories listed in the following items for each kind of Securities set forth in the respective items (excluding those specified by a Cabinet Order); hereinafter the same shall apply in this paragraph) or makes a Solicitation for Delivery of Existing Securities, etc. which is for Securities to which a Solicitation for Small Number of Investors was made and is exempted from application of the main clause of Article 4(1) (collectively referred to as "Solicitation for Small Number of Investors, etc." in the following paragraph), notify the solicited persons of the matters specified by a Cabinet Office Ordinance, including the fact that the Solicitation for Newly Issued Securities, etc. made for the Securities falls under any of the categories listed in the following items for each kind of Securities set forth in the respective items and therefore the notification under Article 4(1) has not been made for the Solicitation for Newly Issued Securities, etc.; provided, however, that this shall not apply to the Case Where Disclosures Have Been Made with regard to the Securities and to cases where the Solicitation for Small Number of Investors, etc. is made for the Securities of which the total issue price was or is less than the amount designated by a Cabinet Office Ordinance, which may not be more than 100 million yen: 例文帳に追加

３　少人数向け勧誘（有価証券発行勧誘等のうち次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当するもの（政令で定めるものを除く。）をいう。以下この項において同じ。）又はこれに係る有価証券の有価証券交付勧誘等で第四条第一項本文の規定の適用を受けないもの（次項において「少人数向け勧誘等」という。）を行う者は、当該有価証券の有価証券発行勧誘等が次の各号に掲げる有価証券の区分に応じ、当該各号に定める場合に該当することにより当該有価証券発行勧誘等に関し第四条第一項の規定による届出が行われていないことその他の内閣府令で定める事項を、その相手方に対して告知しなければならない。ただし、当該有価証券に関して開示が行われている場合及び発行価額の総額が一億円を超えない範囲内で内閣府令で定める金額未満である少人数向け勧誘に係る有価証券について行う場合は、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

(5) The provisions of the preceding paragraphs shall apply mutatis mutandis to cases where Regulated Securities issued by a company fall under any of the categories specified in the items of paragraph (1). In this case, the term "excluding Regulated Securities" in the main clause of paragraph (1) shall be deemed to be replaced with "limited to Regulated Securities"; the term "the company shall" in the main clause of paragraph (1) shall be deemed to be replaced with "the company (if said Securities are so specified by a Cabinet Office Ordinance, excluding persons specified by a Cabinet Office Ordinance) shall"; the terms "the trade name of the company, financial conditions of the Corporate Group to which the company belongs and of the company, other important matters concerning the company's business" in the main clause of paragraph (1) shall be deemed to be replaced with "financial conditions of asset investment or other similar businesses conducted by the company, other important matters concerning the company's assets"; the term "for each business year" in the main clause of paragraph (1) shall be deemed to be replaced with "for each of the periods of time specified by a Cabinet Office Ordinance for the Regulated Securities (hereinafter referred to as the "Specified Period" in this Article)"; the term "that business year" in the main clause of paragraph (1) shall be deemed to be replaced with "that Specified Period"; the part "the Securities issued by the company fall under the category of Securities specified in item (iii) below (limited to share certificates and other Securities specified by a Cabinet Order) and the numbers of holders of the Securities on the last day of that business year and on the last days of the business years that began within four years before the day on which that business year began are fewer than the number calculated pursuant to the provisions of a Cabinet Order, if the Prime Minister approves pursuant to the provisions of a Cabinet Office Ordinance that even if the company does not submit Annual Securities Reports, the public interest or protection of investors would not be impaired (limited to the company for which five years have already passed after the end of the Starting Year of Report Submission (meaning the business year that includes the day on which the main clause of Article 4(1) or (2) or the main clause of Article 23-8(1) or (2) became applicable to the Public Offering or Secondary Distribution of the Securities, or, the latest one of such business years); where the Securities issued by the company fall under the category of Securities specified in item (iv) below" in the proviso to paragraph (1) shall be deemed to be replaced with "the Regulated Securities issued by the company fall under the category of Securities specified in item (iv) below"; the part "or if the number of holders of the Securities on the last day of that business year is fewer than the number specified by a Cabinet Order; and" in the proviso to paragraph (1) shall be deemed to be replaced with "; and"; the part "share certificates, Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2(2)" in item (iv) of paragraph (1) shall be deemed to be replaced with "Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2(2)"; the part "if the number of its holders on the last day of that business year or on the last day of any of the business years that began within four years before the day on which that business year began is not less than the number specified by a Cabinet Order (or, in case of Rights in Securities Investment Business, etc. that shall be deemed as Securities under Article 2(2), the number of its holders on the last day of that business year is not less than the number specified by a Cabinet Order)" in item (iv) of paragraph (1) shall be deemed to be replaced with "if the number of its holders on the last day of the Specified Period is not less than the number specified by a Cabinet Order"; the term "issued Securities" in paragraph (2) shall be deemed to be replaced with "issued Regulated Securities"; the term "Securities issued" in paragraph (3) shall be deemed to be replaced with "Regulated Securities issued"; the term "a company" in paragraph (3) shall be deemed to be replaced with "a company (if said Regulated Securities are Securities so specified by a Cabinet Office Ordinance, excluding persons specified by a Cabinet Office Ordinance)"; the term "the main clause of paragraph (1)" in paragraph (3) shall be deemed to be replaced with "the main clause of paragraph (1) as applied mutatis mutandis pursuant to paragraph (5)"; the term "business year" in paragraph (3) shall be deemed to be replaced with "Specified Period"; the term "the day on which the Securities came" in paragraph (3) shall be deemed to be replaced with "the day on which the Regulated Securities came"; and any other necessary technical replacement of terms shall be specified by a Cabinet Order. 例文帳に追加

５　前各項の規定は、特定有価証券が第一項各号に掲げる有価証券のいずれかに該当する場合について準用する。この場合において、同項本文中「有価証券の発行者である会社」とあるのは「有価証券の発行者である会社（内閣府令で定める有価証券については、内閣府令で定める者を除く。）」と、「特定有価証券を除く」とあるのは「特定有価証券に限る」と、「事業年度ごと」とあるのは「当該特定有価証券につき、内閣府令で定める期間（以下この条において「特定期間」という。）ごと」と、「当該会社の商号、当該会社の属する企業集団及び当該会社の経理の状況その他事業」とあるのは「当該会社が行う資産の運用その他これに類似する事業に係る資産の経理の状況その他資産」と、「当該事業年度」とあるのは「当該特定期間」と、同項ただし書中「当該有価証券が第三号に掲げる有価証券（株券その他の政令で定める有価証券に限る。）に該当する場合においてその発行者である会社（報告書提出開始年度（当該有価証券の募集又は売出しにつき第四条第一項本文若しくは第二項本文又は第二十三条の八第一項本文若しくは第二項の規定の適用を受けることとなつた日の属する事業年度をいい、当該報告書提出開始年度が複数あるときは、その直近のものをいう。）終了後五年を経過している場合に該当する会社に限る。）の当該事業年度の末日及び当該事業年度の開始の日前四年以内に開始した事業年度すべての末日における当該有価証券の所有者の数が政令で定めるところにより計算した数に満たない場合であつて有価証券報告書を提出しなくても公益又は投資者保護に欠けることがないものとして内閣府令で定めるところにより内閣総理大臣の承認を受けたとき、当該有価証券が第四号」とあるのは「当該特定有価証券が第四号」と、「及び当該事業年度の末日における当該有価証券の所有者の数が政令で定める数に満たないとき、並びに」とあるのは「及び」と、同項第四号中「株券、第二条第二項の規定により有価証券とみなされる有価証券投資事業権利等」とあるのは「第二条第二項の規定により有価証券とみなされる有価証券投資事業権利等」と、「当該事業年度又は当該事業年度の開始の日前四年以内に開始した事業年度のいずれかの末日におけるその所有者の数が政令で定める数以上（当該有価証券が同項の規定により有価証券とみなされる有価証券投資事業権利等である場合にあつては、当該事業年度の末日におけるその所有者の数が政令で定める数以上）」とあるのは「当該特定期間の末日におけるその所有者の数が政令で定める数以上」と、第二項中「有価証券の」とあるのは「特定有価証券の」と、第三項中「第一項本文」とあるのは「第五項において準用する第一項本文」と、「発行者」とあるのは「発行者（内閣府令で定める有価証券については、内閣府令で定める者を除く。）」と、「有価証券が」とあるのは「特定有価証券が」と、「その該当することとなつた日」とあるのは「当該特定有価証券につき、その該当することとなつた日」と、「事業年度」とあるのは「特定期間」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。 - 日本法令外国語訳データベースシステム

(ii) Securities, etc. for retention under the management of a Commodity Exchange using a third party: a management method by which the Commodity Exchange uses a third party to control the location for the retention of Securities, etc. for Allocation clearly separating them from the Securities, etc. of the Private Securities, etc., and to retain said Securities, etc. for Allocation in an available condition that is immediately distinguishable as to which Member, etc. deposited such property or for which Member, etc. such property was deposited; 例文帳に追加

二　商品取引所が第三者をして保管させることにより管理する有価証券等　当該第三者をして、充用有価証券等の保管場所については固有有価証券等の保管場所と明確に区分させ、かつ、当該充用有価証券等についてどの会員等から又はどの会員等を通じ預託を受けた有価証券等であるかが直ちに判別できる状態で保管させることにより管理する方法 - 日本法令外国語訳データベースシステム

(iii) Securities for retention under the management of a Consumer Protection Fund (limited to Securities which are retained and commingled; the same shall apply to the following item): a management method by which the location for the retention of Securities that are Properties Subject to Preservation is clearly separate from that for the Fund's Securities, etc., and that equity interests pertaining to Securities that are Properties Subject to Preservation and are deposited from each Member are retained in an available condition that is immediately distinguishable by using a person's own books; 例文帳に追加

三　委託者保護基金が保管することにより管理する有価証券（混蔵して保管される有価証券に限る。次号において同じ。）　保全対象財産である有価証券の保管場所については基金固有有価証券等の保管場所と明確に区分し、かつ、各会員から預託を受けた保全対象財産である有価証券に係る持分が自己の帳簿により直ちに判別できる状態で保管することにより管理する方法 - 日本法令外国語訳データベースシステム

(5) The term "Issuer" as used in this Act means a person who issues, or intends to issue, Securities (or a person specified by a Cabinet Office Ordinance for Securities specified by the Cabinet Office Ordinance), and rights which are not rights to be indicated on Securities or certificates but are regarded as Securities under paragraph (2) are deemed to be Securities issued by such person as specified for each kind of rights by a Cabinet Office Ordinance at such time as specified by a Cabinet Office Ordinance. 例文帳に追加

５　この法律において、「発行者」とは、有価証券を発行し、又は発行しようとする者（内閣府令で定める有価証券については、内閣府令で定める者）をいうものとし、証券又は証書に表示されるべき権利以外の権利で第二項の規定により有価証券とみなされるものについては、権利の種類ごとに内閣府令で定める者が内閣府令で定める時に当該権利を有価証券として発行するものとみなす。 - 日本法令外国語訳データベースシステム

(5) The term "Opposing Volume of Sales, etc." as used in paragraph (1), item (ii), sub-item (a) means either the exceeding volume of Sales, etc. of Securities when the volume of Sales, etc. of Securities pertaining to an Act of Violation exceeds the volume of Purchase, etc. of Securities pertaining to said Act of Violation, or the volume of Purchase, etc. of Securities related to the Listed Financial Instruments, etc. or Over-the-Counter Traded Securities pertaining to said Act of Violation conducted within one month after the date of termination of the Act of Violation, whichever is smaller. 例文帳に追加

５　第一項第二号イの「売付け等対当数量」とは、違反行為に係る有価証券の売付け等の数量が当該違反行為に係る有価証券の買付け等の数量を超える場合における当該超える数量と、当該違反行為が終了した日から一月以内に行われた当該違反行為に係る上場金融商品等又は店頭売買有価証券に係る有価証券の買付け等の数量のうち、いずれか少ない数量をいう。 - 日本法令外国語訳データベースシステム

(6) The term "Opposing Volume of Purchase, etc." as used in paragraph (1), item (ii), sub-item (b) means either the exceeding volume of Purchase, etc. of Securities when the volume of Purchase, etc. of Securities pertaining to an Act of Violation exceeds the volume of Sales, etc. of Securities pertaining to said Act of Violation, or the volume of Sales, etc. of Securities related to the Listed Financial Instruments, etc. or Over-the-Counter Traded Securities pertaining to said Act of Violation conducted within one month after the date of termination of the Act of Violation, whichever is smaller. 例文帳に追加

６　第一項第二号ロの「買付け等対当数量」とは、違反行為に係る有価証券の買付け等の数量が当該違反行為に係る有価証券の売付け等の数量を超える場合における当該超える数量と、当該違反行為が終了した日から一月以内に行われた当該違反行為に係る上場金融商品等又は店頭売買有価証券に係る有価証券の売付け等の数量のうち、いずれか少ない数量をいう。 - 日本法令外国語訳データベースシステム

(ii) Securities, etc. for retention under the management of a Commodity Exchange using a third party: a management method by which the Commodity Exchange uses a third party to control the location for the retention of Securities, etc. for allocation clearly separating them from the Securities, etc. of the Private Securities, etc., and to retain said Securities, etc. for allocation in an available - 64 - condition that is immediately distinguishable as to which Member, etc. deposited such property or for which Member, etc. such property was deposited; 例文帳に追加

二商品取引所が第三者をして保管させることにより管理する有価証券等当該第三者 をして、充用有価証券等の保管場所については固有有価証券等の保管場所と明確に区 分させ、かつ、当該充用有価証券等についてどの会員等から又はどの会員等を通じ預 託を受けた有価証券等であるかが直ちに判別できる状態で保管させることにより管理 する方法 - 経済産業省

(ii) Securities for retention under the management of a Consignor Protection Fund using a third party: a management method by which the Consignor Protection Fund uses a third party to control the location for the retention of Securities that are Properties Subject to Preservation, clearly separating them from Securities of a person’s own property and other Securities than Property Subject to Preservation, and to retain Securities that are Properties Subject to Preservation in an available condition that is immediately distinguishable as to which Member deposited such property; 例文帳に追加

二委託者保護基金が第三者をして保管させることにより管理する有価証券当該第三 者をして、保全対象財産である有価証券の保管場所については基金固有有価証券等の保管場所と明確に区分させ、かつ、保全対象財産である有価証券についてどの会 員から預託を受けた有価証券であるかが直ちに判別できる状態で保管させることに より管理する方法 - 経済産業省

(iii) Securities for retention under the management of a Consignor Protection Fund (limited to Securities which are retained and commingled; the same shall apply to the following item): a management method by which the location for the retention of Securities that are Properties Subject to Preservation is clearly separate from that for the Fund’s Securities, etc., and that shares pertaining to Securities that are Properties Subject to Preservation and are deposited from each Member are retained in an available condition that is immediately distinguishable by using a person’s own books; 例文帳に追加

三委託者保護基金が保管することにより管理する有価証券（混蔵して保管される有価 証券に限る。次号において同じ。） 保全対象財産である有価証券の保管場所につい ては基金固有有価証券等の保管場所と明確に区分し、かつ、各会員から預託を受け た保全対象財産である有価証券に係る持分が自己の帳簿により直ちに判別できる状 態で保管することにより管理する方法 - 経済産業省

Article 23-14 (1) With regard to Securities already-issued in a foreign State (excluding those specified by a Cabinet Order) or Securities specified by a Cabinet Order as those equivalent to such Securities, among solicitations of an application to sell or purchase such Securities, those exempted from application of the main clause of Article 4(1) (hereinafter referred to as "Solicitation for Small Number of Investors for Foreign Securities)" in this Article) shall be made by clearly indicating that the conditions specified by a Cabinet Order as those necessary to reduce the likelihood that the Securities will be transferred from any person who purchased them to a large number of persons are imposed on sales of the Securities; provided, however, that this shall not apply to the Case Where Disclosures Have Been Made with regard to the Securities and to cases where the requirements specified by a Cabinet Office Ordinance in order to qualify sales of Securities as those which will not impair the public interest or protection of investors even if such conditions are not imposed thereon, including the requirement that the total amount of the sales of the Securities must be less than the amount specified by a Cabinet Office Ordinance, which may not be more than 100 million yen, are satisfied. 例文帳に追加

第二十三条の十四　外国で既に発行された有価証券（政令で定めるものを除く。）その他これに準ずるものとして政令で定める有価証券の売付けの申込み又はその買付けの申込みの勧誘で、第四条第一項本文の規定の適用を受けないもの（以下この条において「海外発行証券の少人数向け勧誘」という。）は、当該有価証券がその買付者から多数の者に譲渡されるおそれを少なくするために必要な条件として政令で定める条件が当該有価証券の売付けに付されることを明らかにして、しなければならない。ただし、当該有価証券に関して開示が行われている場合、当該有価証券の売付けの総額が一億円を超えない範囲内で内閣府令で定める金額未満である場合その他当該有価証券の売付けに当該条件を付さなくても公益又は投資者保護に欠けることがないものとして内閣府令で定める要件を満たす場合については、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

2. the Securities set forth in Article 1-4, item (ii) or Article 1-7-4, item (ii) of the Cabinet Order: the cases specified in Article 1-4, item (ii) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the requirements set forth in sub-item (b) of that item), or the cases specified in Article 1-7-4, item (ii) of the Cabinet Order (in the Case of Already Issued Securities Acquired Upon Redemption, excluding the requirements set forth in sub-item (b) of that item); 例文帳に追加

２）　令第一条の四第二号又は第一条の七の四第二号に掲げる有価証券　令第一条の四第二号に定める場合（既発行償還有価証券である場合には、同号ロに掲げる要件を除く。）又は令第一条の七の四第二号に定める場合（既発行償還有価証券である場合には、同号ロに掲げる要件を除く。 - 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). 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

someone who engages in arbitrage (who purchases securities in one market for immediate resale in another in the hope of profiting from the price differential) 例文帳に追加

鞘取引（ある市場で有価証券を買い、別の市場で直ちに売りに出してその価格差で利益を得ようとすること）をする人 - 日本語WordNet

Article 23-13 (1) A person (limited to a person who is specified by a Cabinet Office Ordinance) shall, when he/she makes a Solicitation Only for Qualified Institutional Investors (meaning a Solicitation for Newly Issued Securities, etc. which is made to Qualified Institutional Investors who are excluded under the provision of Article 2(3)(i) from the number of persons to which the Solicitation for Newly Issued Securities, etc. was made in cases where the Solicitation for Newly Issued Securities, etc. falls under the category of Solicitations for Acquisition specified by Article 2(3)(i), or which falls under the category of Solicitations for Acquisition specified by Article 2(3)(ii)(a) or Article 2-2(4)(ii)(a); hereinafter the same shall apply in this paragraph) or makes a Solicitation for Delivery of Existing Securities, etc. which is for Securities to which a Solicitation Only for Qualified Institutional Investors was made and is exempted from application of the main clause of Article 4(2) (collectively referred to as "Solicitation Only for Qualified Institutional Investors, etc." in the following paragraph), notify the solicited persons of the matters specified by a Cabinet Office Ordinance, including the fact that the Solicitation for Newly Issued Securities, etc. made for the Securities falls under any of the categories of Solicitation for Acquisition listed in the following items (limited to Securities acquired by Qualified Institutional Investors who are excluded under the provision of Article 2(3)(i) from the number of persons to which the Solicitation for Newly Issued Securities, etc. was made in cases where the Solicitation for Newly Issued Securities, etc. falls under the category of Solicitations for Acquisition specified by Article 2(3)(i)) and therefore the notification under Article 4(1) has not been made for the Solicitation for Newly Issued Securities, etc.; provided, however, that this shall not apply to the Case Where Disclosures Have Been Made with regard to the Securities and to cases where the Solicitation Only for Qualified Institutional Investors, etc. is made for Securities of which the total issue price was or is less than the amount specified by a Cabinet Office Ordinance, which may not be more than 100 million yen: 例文帳に追加

第二十三条の十三　適格機関投資家向け勧誘（有価証券発行勧誘等のうち、第二条第三項第一号に掲げる場合に該当する場合における同号の規定により当該有価証券発行勧誘等の相手方から除かれる適格機関投資家を相手方として行うもの又は同項第二号イ若しくは第二条の二第四項第二号イに掲げる場合に該当するものをいう。以下この項において同じ。）又はこれに係る有価証券の有価証券交付勧誘等で第四条第二項本文の規定の適用を受けないもの（次項において「適格機関投資家向け勧誘等」という。）を行う者（内閣府令で定める者に限る。）は、当該有価証券の有価証券発行勧誘等が次に掲げる場合に該当するものであつた有価証券（第一号に掲げる場合にあつては、第二条第三項第一号の規定により当該有価証券発行勧誘等の相手方から除かれた適格機関投資家が取得した有価証券に限る。）の有価証券発行勧誘等に該当することにより当該有価証券発行勧誘等に関し第四条第一項の規定による届出が行われていないことその他の内閣府令で定める事項を、その相手方に対して告知しなければならない。ただし、当該有価証券に関して開示が行われている場合及び発行価額の総額が一億円を超えない範囲内で内閣府令で定める金額未満である適格機関投資家向け勧誘に係る有価証券について行う場合は、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

xix) Over-the-counter transactions of securities-related derivatives (limited to those that are settled by paying or receiving the differences, in the case where the securities subject to said over-the-counter transactions of securities-related derivatives fall under the category of monetary claims indicated in the form of certificates as prescribed in item (x) and those that are not short term company bonds, etc.; the same shall apply in the following item) (excluding those that fall under the activities set forth in item (vii) 例文帳に追加

十九　有価証券関連店頭デリバティブ取引（当該有価証券関連店頭デリバティブ取引に係る有価証券が第十号に規定する証書をもつて表示される金銭債権に該当するもの及び短期社債等以外のものである場合には、差金の授受によつて決済されるものに限る。次号において同じ。）（第七号に掲げる事業に該当するものを除く。） - 日本法令外国語訳データベースシステム

(xvi) Over-the-Counter Transactions of Securities-Related Derivatives (limited to those that are settled through giving and receiving the difference in the case where the securities pertaining to that Over-the-Counter Transactions of Securities-Related Derivatives fall under the category of monetary claims that are indicated in the form of certificates as prescribed in item (v) and are not Short-Term Bonds, etc.; the same shall apply in the following item) (excluding transactions that fall under the category of business specified in item (ii)); and 例文帳に追加

十六　有価証券関連店頭デリバティブ取引（当該有価証券関連店頭デリバティブ取引に係る有価証券が第五号に規定する証書をもつて表示される金銭債権に該当するもの及び短期社債等以外のものである場合には、差金の授受によつて決済されるものに限る。次号において同じ。）（第二号に掲げる業務に該当するものを除く。） - 日本法令外国語訳データベースシステム

In the trading order system, a terminal apparatus reads respective log-in screens of the plurality of securities company servers connected via a network, performs log-in, acquires information including summary, portfolio, and order state of the respective securities companies managing the plurality of logged-in securities company servers, and then, displays the information in a list on a prescribed standby screen.例文帳に追加

売買注文システムにおいて、端末装置は、ネットワークを介して接続された複数の証券会社サーバのログイン画面をそれぞれ読み込んでログインし、ログインした複数の証券会社サーバを管理する複数の証券会社のそれぞれについてのサマリー、ポートフォリオ、及び注文状況を含む情報を取得して所定の待機画面に列挙表示させる。 - 特許庁

(x) Over-the-Counter Transactions of Securities-Related Derivatives (limited to those that are settled through giving and receiving the difference in the case where the securities pertaining to that Over-the-Counter Transactions of Securities-Related Derivatives fall under the category of monetary claims that are indicated in the form of certificates as prescribed in item (iv) and are not Short-Term Company Bonds, etc.; the same shall apply in the following item) (except those which are carried out for the investment of assets); and 例文帳に追加

十　有価証券関連店頭デリバティブ取引（当該有価証券関連店頭デリバティブ取引に係る有価証券が第四号に規定する証書をもって表示される金銭債権に該当するもの及び短期社債等以外のものである場合には、差金の授受によって決済されるものに限る。次号において同じ。）（資産の運用のために行うものを除く。） - 日本法令外国語訳データベースシステム

(a) A foreign corporation engaged in the banking business, securities business or insurance business in a foreign state in accordance with the laws and regulations of the said state 例文帳に追加

イ　外国の法令に準拠して当該国において銀行業、証券業又は保険業を営む外国法人 - 日本法令外国語訳データベースシステム

In the past securities market slumps, in the slump in 1965, for example, an organization to absorb unloaded shares was established under a private-sector initiative. 例文帳に追加

過去の証券不況の際に、例えば昭和40年不況の際に民間主導で売られる株式の受け皿を作るという事例もあります。 - 金融庁

We are concerned about the possible rise in issuance costs of government bonds due to decrease in liquidity in the government bond markets other than the U.S. securities market, with the introduction of this regulation. 例文帳に追加

これにより米国債以外の国債市場の流動性が減少し、国債発行のコストが上がることが懸念される。 - 財務省

In this system, a private account is established in securities company in order to make possible the real-time settlement of T+0.例文帳に追加

本システムでは、Ｔ＋０の即時決済を可能とするために、専用の口座を証券会社に開設する。 - 特許庁

(b) that the Solicitation of Offers to Acquire includes, as a condition of the acquisition, the conclusion of a contract on transfer specifying the matters provided in paragraph (1) of the preceding Article between the Issuer of the relevant Securities and the person who wishes to acquire said Securities in response to the Solicitation of Offers to Acquire them (hereinafter referred to as the "Acquirer" in this item), and between the person who is carrying out the Solicitation of Offers to Acquire said Securities and the relevant Acquirer; 例文帳に追加

ロ　当該有価証券の発行者と当該有価証券の取得勧誘に応じて当該有価証券を取得しようとする者（以下この号において「取得者」という。）との間及び当該取得勧誘を行う者と当該取得者との間において、前条第一項に規定する事項を定めた譲渡に係る契約を締結することを取得の条件として、取得勧誘が行われること。 - 日本法令外国語訳データベースシステム

(iii) In cases where the value of the securities with market price provided for under Article 199(1)(iii) with respect to Properties Contributed in Kind does not exceed the value calculated by the method prescribed by the applicable Ordinance of the Ministry of Justice as the market price of such securities: The value of the Properties Contributed in Kind with respect to such securities; 例文帳に追加

三　現物出資財産のうち、市場価格のある有価証券について定められた第百九十九条第一項第三号の価額が当該有価証券の市場価格として法務省令で定める方法により算定されるものを超えない場合　当該有価証券についての現物出資財産の価額 - 日本法令外国語訳データベースシステム

(i) a person who has already submitted an Annual Securities Report which contains descriptions on the matters set forth in the main clause of the preceding paragraph, or a Quarterly Securities Report which contains descriptions on the matters set forth in Article 24-4-7(1) under Article 24-4-7(1) or (2) or a Semiannual Securities Reports which contains descriptions on the matters set forth in Article 24-5(1); and 例文帳に追加

一　既に、前項本文に規定する事項を記載した有価証券報告書又は第二十四条の四の七第一項若しくは第二項の規定による四半期報告書のうち同条第一項に規定する事項を記載したもの若しくは第二十四条の五第一項に規定する事項を記載した半期報告書を提出している者 - 日本法令外国語訳データベースシステム

(a) transactions wherein the parties thereto promise to pay or receive Securities (including standardized instruments listed in Article 2(24)(v) that pertain to Securities but except those specified by a Cabinet Order; hereinafter the same shall apply in this item) or the consideration for them at a fixed time in the future, and, when the resale or repurchase of the underlying Securities are made, settlement thereof may be made by paying or receiving the differences; 例文帳に追加

イ　売買の当事者が将来の一定の時期において有価証券（有価証券に係る第二条第二十四項第五号に掲げる標準物を含み、政令で定めるものを除く。以下この号において同じ。）及びその対価の授受を約する売買であつて、当該売買の目的となつている有価証券の転売又は買戻しをしたときは差金の授受によつて決済することができる取引 - 日本法令外国語訳データベースシステム

Article 58-2 A Foreign Securities Broker shall not conduct any acts listed in the items of Article 28(8) to a person in Japan as the counterparty; provided, however, that this shall not apply to cases where a Foreign Securities Broker conducts said acts to a Financial Instruments Business Operator engaged in Securities-Related Business as the counterparty, or to any other cases specified by a Cabinet Order. 例文帳に追加

第五十八条の二　外国証券業者は、国内にある者を相手方として第二十八条第八項各号に掲げる行為を行つてはならない。ただし、金融商品取引業者のうち、有価証券関連業を行う者を相手方とする場合その他政令で定める場合は、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

(3) No person shall conduct a series of Sales and Purchase of Securities, etc. or make offer, Entrustment, etc. or Accepting an Entrustment, etc. therefor in violation of a Cabinet Order for the purpose of pegging, fixing or stabilizing prices of Listed Financial Instruments, etc. in a Financial Instruments Exchange Market or prices of Over-the-Counter Traded Securities in an Over-the-Counter Securities Market. 例文帳に追加

３　何人も、政令で定めるところに違反して、取引所金融商品市場における上場金融商品等又は店頭売買有価証券市場における店頭売買有価証券の相場をくぎ付けし、固定し、又は安定させる目的をもつて、一連の有価証券売買等又はその申込み、委託等若しくは受託等をしてはならない。 - 日本法令外国語訳データベースシステム

(ii) when a person has caused a fall or decline in market prices of Securities, etc. by an Act of Violation, and has conducted Purchase, etc. of Securities pertaining to said Securities, etc. (limited to those conducted within one month from the date of the Act of Violation; hereinafter the same shall apply in this item) based on the market price so fallen or declined: the amount obtained by deducting the amount listed in the following sub-item (b) from the following sub-item (a). 例文帳に追加

二　違反行為により有価証券等の相場を下落させ、又は低下させ、当該下落させ、又は低下させた相場により当該有価証券等に係る有価証券の買付け等（当該違反行為が行われた日から一月以内に行われたものに限る。以下この号において同じ。）をした場合　次のイに掲げる額から次のロに掲げる額を控除した額 - 日本法令外国語訳データベースシステム

(2) The term "Sales, etc. of Securities" as used in the preceding paragraph means issuance of Securities, sales of Securities, the transaction set forth in Article 2(21)(ii) (limited to the transaction under which the person becomes a party paying money when the Actual Figure exceeds the Agreed Figure), the transaction set forth in Article 2(21)(iii) (limited to the transaction under which the person becomes a party granting Options) and other transactions specified by a Cabinet Order, which are conducted on the person's own account. 例文帳に追加

２　前項の「有価証券の売付け等」とは、自己の計算において行う有価証券の発行、有価証券の売付け、第二条第二十一項第二号に掲げる取引（現実数値が約定数値を上回つた場合に金銭を支払う立場の当事者となるものに限る。）、同項第三号に掲げる取引（オプションを付与する立場の当事者となるものに限る。）その他の政令で定める取引をいう。 - 日本法令外国語訳データベースシステム

If a financial institution engages in different types of businesses-including those of a securities company, investment trust management company and securities investment advisory service-and comprises a financial conglomerate, etc., necessary collaboration with the Securities and Exchange Surveillance Commission (SESC) shall be performed, including conducting simultaneous inspections, in order to verify (Note) the consolidated risk management status of the group as a whole in an accurate and efficient manner. 例文帳に追加

証券会社、投資信託委託業者又は証券投資顧問業者を含む異なる業態の金融機関が、金融コングロマリットを形成している場合等においては、これらグループ全体の統合的なリスク管理の状況を的確かつ効率的に検証（注）する観点等から、証券取引等監視委員会との間で、同時検査の実施も含め必要な連携を行う。 - 金融庁

Whether the securities company, etc., in accordance with “Regarding Treatment of Changes in Assessment Rates for Cash Margin Deposit Substitute Securities Related to Margin Trading,” a resolution adopted by the Japan Securities Dealers Association’s Board of Governors, implements appropriate measures such as the provision of prior explanations regarding incidents which may lead to changes in the assessment rates, so as to ensure that all customers are aware of the changes, the notification of changes, the setting of the notification periods and the establishment of relevant internal rules. 例文帳に追加

証券会社等においては、日本証券業協会理事会決議「信用取引に係る委託保証金代用有価証券の掛目の変更等の取扱いについて」を踏まえ、掛目の変更等を行う事象の顧客への事前説明・周知、掛目変更に当たっての顧客への通知、変更に当たっての周知期間の設定、社内規則の制定等が適切に図られているか。 - 金融庁