List of frequently used documents which can be prepared in English for post-registration (including attachments)
登録後に英語での提出を認める主要な書類一覧（添付書類を含む）
【Post-Registration】
The following application, notification and other documents which are required to be submitted to the FSA in connection with the post-registration procedures can be prepared in English.
The examples below are for your reference only. The document should be prepared in accordance with the actual situation of the relevant financial instruments business operator.
For the document that is required to be notarized, the name should be self-signed (in case of a foreign individual, his or her signature).
Please also refer to 
additional information
| 様式名称 （関連法令条文） |
Name of document （Related articles） |
Form | Example | Notes | |
|---|---|---|---|---|---|
| 登録申請書記載事項の変更届出 (金商業府令第20条第１項) |
Notification of change to matters specified in application for registration (Article 20(1) of COOFIBi) |
No specific form | Please see below. | Notes Please submit the notification within two weeks. |
|
| 金融商品取引業者の加入する金融商品取引業協会等の加入・脱退届出書 | Notification of (joining/withdrawal) regarding a financial instruments firms association/ a certified investor protection organization | No specific form | (Example) Notification of (joining/withdrawal) regarding a financial instruments firms association/ a certified investor protection organization |
||
| 金融商品取引業者の商号、名称又は氏名の変更届出 | Notification of change in the trade name or name | No specific form | (Example)Notification of change in the trade name or name |
||
| 金融商品取引業者の資本金の額又は出資の総額の変更届出 | Notification of change in the amount of stated capital or the total amount of contributions | No specific form | (Example)Notification of change in the amount of stated capital or the total amount of contributions |
||
| 金融商品取引業者の役員又は政令で定める使用人の変更届出 | Notification of change of officer or employee specified by a Cabinet Order | No specific form | (Example)Notification of change of officer or employee specified by a Cabinet Order (Example) Pledge statement (for juridical person)(Example) Pledge statement (for individual)(Example) Resumes(Example) Extracts of the certificates of residence |
||
| 金融商品取引業者の本店その他の営業所又は事務所の名称及び所在地の変更届出 | Notification of change to name and location of head office and other business office or office |
No specific form | (Example)Notification of change to name and location of head office and other business office or office |
||
| 金融商品取引業者の他に行っている事業の変更届出 | Notification of change to other businesses conducted by applicant | No specific form | (Example)Notification of change to other businesses conducted by applicant |
||
| 金融商品取引業等に関する内閣府令第７条第３号イ、第３号の２、第３号の３イ、第４号から第９号まで及び第１１号に掲げる事項の変更届出 | Notification of change to particulars as prescribed in Article 7, item (iii), (a), item (iii)-2, item (iii)-3, (a), items (iv) to (ix) and item (xi) | No specific form | (Example)Notification of change to particulars as prescribed in Article 7, item (iii), (a), item (iii)-2, item (iii)-3, (a), items (iv) to (ix) and item (xi) |
||
| 業務の内容又は方法の変更届出 (金商業府令第21条) |
Notification on change of content or method of business (Article 21 of COOFIB) |
No specific form | (Example)Notification on change of content or method of business |
Please submit the notification without delay. | |
| 変更登録申請書 (金商業府令第22条第１項及び第２項) |
Application for a registration of change (Article 22(1) and (2) of COOFIB) |
(Form)Application for a registration of change |
|||
| 営業保証金供託届出書 (金商業府令第25条第１項及び第２項) |
Notification of deposit for operation (Article 25 (1) and (2) of COOFIB) |
(Form)Notification of deposit for operation |
|||
| 営業保証金に代わる契約の締結の届出等 (金商業府令第27条第１項、第２項及び第４項) |
Notification on conclusion of contracts in lieu of deposit for operation (Article 27(1), (2) and (4) of COOFIB) |
Please see below. | Please see below. | ||
| 営業保証金供託保証契約締結届出書 | Notification on conclusion of contracts in lieu of deposit for operation | (Form)Notification on conclusion of contracts in lieu of deposit for operation |
|||
| 営業保証金供託保証契約変更承認申請書 | Application for approval of change in guarantee contract of deposit for operation | (Form)Application for approval of change in guarantee contract of deposit for operation |
|||
| 営業保証金供託保証契約解除承認申請書 | Application for approval of cancellation of guarantee contract of deposit for operation | (Form)Application for approval of cancellation of guarantee contract of deposit for operation |
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| 営業保証金供託保証契約変更届出書 | Notification of change in guarantee contract of deposit for operation | (Form)Notification of change in guarantee contract of deposit for operation |
|||
| 営業保証金供託保証契約解除届出書 | Notification of cancellation of guarantee contract of deposit for operation | (Form)Notification of cancellation of guarantee contract of deposit for operation |
|||
| 兼職の届出 (金商業府令第31条) |
Notification of concurrent holding of officers’ positions (Article 31 of COOFIB) |
No specific form | (Example)Notification of concurrent holding of officers’ positions |
Please submit the notification without delay. | |
| 対象議決権保有届出書 (金商業府令第36条) |
Notification of holding subject voting rights (Article 36 of COOFIB) |
(Form)Notification of holding subject voting rights |
It includes the case where it is applied mutatis mutandis pursuant to Article 39 of COOFIB. | ||
| 特定主要株主となった旨の届出書 (金商業府令第38条の２) |
Notification of becoming the specified major shareholder (Article 38-2 of COOFIB) |
(Form)Notification of becoming the specified major shareholder |
|||
| 特定主要株主以外の主要株主となった旨の届出書 (金商業府令第38条の５) |
Notification of becoming a major shareholder other than the specified major shareholder (Article 38-5 of COOFIB) |
(Form)Notification of becoming a major shareholder other than the specified major shareholder |
|||
| その他業務に係る届出 (金商業府令第69条) |
Notification of additional business (Article 69 of COOFIB) |
No specific form | |||
| その他業務の承認申請 (金商業府令第70条第１項及び第２項) |
Application for approval of additional business (Article 70(1) and (2) of COOFIB) |
No specific form | |||
| 事故の確認の申請 (金商業府令第120条) |
Application for confirmation of problematic conduct (Article 120 of COOFIB) |
No specific form | |||
| 事業報告書 (金商業府令第182条第１項) |
Business Report (Article 182(1) of COOFIB) |
Available on FIMOS | Frequently occuring mistakes |
||
| 説明書類 (金商業府令第183条第１項) |
Explanatory Documents (Article 183(1) of COOFIB) |
Provisional English form to be posted | |||
| 説明書類の縦覧期限の承認申請 (金商業府令第190条第１項、第２項及び第４項) |
Application for approval on period before public inspection of explanatory documents (Article 190(1), (2) and (4) of COOFIB) |
No specific form | |||
| 事業報告書の提出期限の承認申請書 (金商業府令第191条第1項、第2項及び第4項) |
Application for approval on due date for submission of Business Report (Article 191(1), (2) and (4) of COOFIB) |
No specific form | |||
| 業務の休止・再開の届出 (金商業府令第201条第１号） |
Notification of (suspension/resumption) of operations (Article 201, item (i) of COOFIB) |
No specific form | (Example)Notification of (suspension/resumption) of operations |
Please submit the notification without delay. | |
| 他の法人と合併する場合の届出 （金商業府令第201条第３号イ） |
Notification of merger with another juridical person (Article 201, item (i), (a) of COOFIB) |
No specific form | (Example)Notification of merger |
Please submit the notification without delay. | |
| 分割により事業の全部・一部を承継したときの届出 （金商業府令第201条第３号ロ） |
Notification of the succession of business (in whole/part) as a result of a company split (Article 201, item (i), (b) of COOFIB) |
No specific form | (Example)Notification of the succession of business (in whole/part) as a result of a company split |
Please submit the notification without delay. | |
| 事業の全部・一部を譲受けたときの届出 （金商業府令第201条第３号ハ） |
Notification of acquisition of (all/part) of business (Article 201, item (i), (c) of COOFIB) |
No specific form | (Example)Notification of acquisition of (all/part) of business |
Please submit the notification without delay. | |
| 破産手続開始等の申立てに関する届出 （金商業府令第201条第７号） |
Notification of petition for bankruptcy, etc. (Article 201, item (xii) of COOFIB) |
No specific form | (Example)Notification of petition for bankruptcy, etc. |
Please submit the notification without delay. | |
| 外国で受けている登録等の取消しに関する届出 （金商業府令第201条第８号イ） |
Notification of revocation of registration, etc. obtained in foreign state (Article 201, item (xiii), (a) of COOFIB) |
No specific form | (Example)Notification of revocation of registration, etc. |
Please submit the notification without delay. | |
| 金融商品取引業者の法令違反に関する届出 （金商業府令第201条第８号ロ） |
Notification of a violation of laws and regulations by a financial instruments business operator (Article 201, item (xiii), (b) of COOFIB) |
No specific form | (Example)Notification of a violation of laws and regulations by a financial instruments business operator |
Please submit the notification without delay. | |
| 個人等の法令違反等に関する届出 （金商業府令第201条第８号ハ） |
Notification of a violation of laws and regulations, etc. by an individual, etc. (Article 201, item (xiii), (c) of COOFIB) |
No specific form | (Example)Notification of a violation of laws and regulations, etc. by an individual, etc. |
Please submit the notification without delay. | |
| 資本金が政令に定める金額に満たない場合に関する届出 （金商業府令第201条第８号ニ） |
Notification of the case in which the capital is less than the amount stipulated in the Cabinet Order (Article 201, item (xiii), (d) of COOFIB) |
No specific form | (Example)Notification of the case in which the capital is less than the amount stipulated in the Cabinet Order |
Please submit the notification without delay. | |
| 金融商品取引業に係る業務の継続が著しく困難となった場合に関する届出 （金商業府令第201条第９号） |
Notification of the case in which it has become extremely difficult to continue business operations related to financial instruments business (Article 201, item (ix) of COOFIB) |
No specific form | (Example)Notification of the case in which it has become extremely difficult to continue business operations related to financial instruments business |
Please submit the notification without delay. | |
| 役員又は重要な使用人が業務の継続が著しく困難となった場合に関する届出 （金商業府令第201条第９号） |
Notification of the case in which it has become extremely difficult for an officer or important employee to continue his or her duties (Article 201, item (ix) of COOFIB) |
No specific form | (Example)Notification of the case in which it has become extremely difficult for an officer or important employee to continue his or her duties |
Please submit the notification without delay. | |
| 役員又は重要な使用人等の法令違反等に関する届出 （金商業府令第201条第９号） |
Notification of a violation of laws and regulations, etc. by an officer or important employee (Article 201, item (ix) of COOFIB) |
No specific form | (Example)Notification of a violation of laws and regulations, etc. by an officer or important employee |
Please submit the notification without delay. | |
| 親法人等又は子法人等に関する届出 （金商業府令第201条第10号） |
Notification of a parent corporation, etc. or subsidiary corporation, etc. (Article 201, item (x) of COOFIB) |
No specific form | (Example)Notification of a parent corporation, etc. or subsidiary corporation, etc. |
Please submit the notification without delay. | |
| 持株会社に関する届出 （金商業府令第201条第11号） |
Notification of a holding company (Article 201, item (xi) of COOFIB) |
No specific form | (Example)Notification of a holding company |
Please submit the notification without delay. | |
| 破産等の申立ての事実を知った場合の届出 （金商業府令第201条第12号） |
Notification in the event of having become aware of the fact of a petition for bankruptcy, etc. (Article 201, item (xii) of COOFIB) |
No specific form | (Example)Notification in the event of having become aware of the fact of a petition for bankruptcy, etc. |
Please submit the notification without delay. | |
| 定款を変更した場合の届出 （金商業府令第201条第13号） |
Notification of amendments to the Articles of Incorporation (Article 201, item (xiii) of COOFIB) |
No specific form | (Example)Notification of amendments to the Articles of Incorporation |
Please submit the notification without delay. | |
| 役職員に法令等に反する行為（事故等）があったことを知った場合・詳細が判明した場合の届出 （金商業府令第201条第14号及び第15号） |
Notification in cases where it becomes known that an officer or employee has committed an act (accident, etc.) in violation of laws and regulations, etc., or where details are found out (Article 201, item (xiv) and (xv) of COOFIB) |
No specific form | (Example)Notification of problematic conduct, etc. |
Please submit the notification without delay. | |
| 訴訟又は調停の当事者に関する届出 （金商業府令第201条第16号イ） |
Notification of the parties to a lawsuit or conciliation (Article 201, item (xvi), (a) of COOFIB) |
No specific form | (Example)Notification of the parties to a lawsuit or conciliation |
Please submit the notification without delay. | |
| 訴訟又は調停の終結に関する届出 （金商業府令第201条第16号ロ） |
Notification of the conclusion of a lawsuit or conciliation (Article 201, item (xvi), (b) of COOFIB) |
No specific form | (Example)Notification of the conclusion of a lawsuit or conciliation |
Please submit the notification without delay. | |
| 外国の法令に基づく不利益処分に関する届出 （金商業府令第201条第17号） |
Notification of an adverse disposition under foreign laws and regulations (Article 201, item (xvii) of COOFIB) |
No specific form | (Example)Notification of an adverse disposition under foreign laws and regulations |
Please submit the notification without delay. | |
| 廃業等の届出 (金商業府令第204条第１項及び第２項) |
Notification of discontinuation of financial instruments business, etc. (Article 204(1) and (2) of COOFIB) |
No specific form | (Example)Notification of discontinuation of financial instruments business, etc. |
Please submit the notification within 30 days. | |
| 合併による消滅の届出 (金商業府令第204条第１項及び第２項) |
Notification of extinction by merger (Article 204(1) and (2) of COOFIB) |
No specific form | (Example)Notification of extinction by merger |
Please submit the notification within 30 days. | |
| 破産手続開始の決定による解散の届出 (金商業府令第204条第１項及び第２項) |
Notification of dissolution due to a decision to commence bankruptcy proceedings (Article 204(1) and (2) of COOFIB) |
No specific form | (Example)Notification of dissolution due to a decision to commence bankruptcy proceedings |
Please submit the notification within 30 days. | |
| 合併及び破産手続開始の決定以外の理由による解散の届出 (金商業府令第204条第１項及び第２項) |
Notification of dissolution for reasons other than merger or order of commencement of bankruptcy proceedings (Article 204(1) and (2) of COOFIB) |
No specific form | (Example)Notification of dissolution |
Please submit the notification within 30 days. | |
| 分割により事業の一部・ 全部を承継させたときの届出 (金商業府令第204条第１項及び第２項) |
Notification of the succession of business (part/in whole) to successor as a result of company split (Article 204(1) and (2) of COOFIB) |
No specific form | (Example)Notification of the succession of business (part/in whole) as a result of company split |
Please submit the notification within 30 days. | |
| 事業の一部・全部を譲渡したときの届出 (金商業府令第204条第１項及び第２項) |
Notification of transfer of (all/part) of business to transferee (Article 204(1) and (2) of COOFIB) |
No specific form | (Example)Notification of transfer of (all/part) of business |
Please submit the notification within 30 days. | |
| 金融商品取引業等の廃業等の公告をした旨の届出 (金商業府令第205条第３項及び第４項) |
Notification of public notice on discontinuance of business (Article 205(3) and (4) of COOFIB) |
No specific form | (Example)Notification of a public notice |
Please submit the notification immediately. | |
| 金融商品取引業者等が行う適格機関投資家等特例業務に関する届出書 (金商業府令第244条第１項及び第３項) |
Notification on specially permitted business for qualified institutional investors (Article 244(1) and (3) of COOFIB) |
(Form)Notification on specially permitted business for qualified institutional investors |
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| 金融商品取引業者等による適格機関投資家等特例業務に係る届出事項の変更届出 (金商業府令第244条の２) |
Notification of change to notified matters pertaining to specially permitted business for qualified institutional investors (Article 244-2 of COOFIB) |
Provisional English form to be posted | |||
| 金融商品取引業者等による適格機関投資家等特例業務に該当しなくなった場合の届出 (金商業府令第245条) |
Notification where the business is no longer specially permitted business for qualified institutional investors (Article 245 of COOFIB) |
No specific form | |||
| 金融商品取引業者等による適格機関投資家等特例業務の廃止等の届出 (金商業府令第246条) |
Notification on discontinuance of specially permitted business for qualified institutional investors (Article 246 of COOFIB) |
No specific form | |||
| 営業保証金取戻承認申請書 (営業保証金規則ii第14条第１項) |
Application for approval of reclaiming of deposit for operation (Article 14(1) of ODOFIBOii) |
(Form)Application for approval of reclaiming of deposit for operation |
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| 営業保証金の保管替えに係る届出書 (営業保証金規則第16条第４項) |
Notification of change in the place of retention of deposit for operation (Article 16(4) of ODOFIBO) |
(Form) Notification of change in the place of retention of deposit for operation |
|||
(ii) Ordinance on Deposit for Operation of Financial Instruments Business Operators（金融商品取引業者営業保証金規則）
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