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证券法
属类:法学专业-中国法律
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(1). THE SECURITIES LAW OF THE PRC
中华人民共和国证券法
(2). Article I. The formulation of this law aims to regulate stock issuance and transactions, to protect investors’ legitimate rights and interests, to safeguard economic order and public interests of the society, and to enhance the development of the socialist market economy.
第一条为了规范证券发行和交易行为,保护投资者的合法权益,维护社会经济秩序和社会公共利益,促进社会主义市场经济的发展,制定本法。
(3). Article 2. This law will be applicable to the issuance and transactions of shares, company bonds, and other securities designated by the State Council according to law within China ’s territory. Situations that are stipulated in this law will be covered by the provisions of the Company Law, other laws, and administrative rules and regulations.
第二条在中国境内,股票、公司债券和国务院依法认定的其他证券的发行和交易,适用本法。本法未规定的,适用公司法和其他法律、行政法规的规定。
(4). The issuance and transactions of government treasury bonds will be governed separately by the provisions of other laws and administrative rules and regulations.
政府债券的发行和交易,由法律、行政法规另行规定。
(5). Article 3. When issuing and dealing in securities, all concerned must abide by the principles of openness and fairness.
第三条证券的发行、交易活动,必须实行公开、公平、公正的原则。
(6). Article 4. All participants involved in issuing and dealing in securities enjoy equal legal status, and shall abide by the principles that their acts will be voluntary, reimbursable, honest, and trustworthy.
第四条证券发行、交易活动的当事人具有平等的法律地位,应当遵守自愿、有偿、诚实信用的原则。
(7). Article 5. When issuing and dealing in securities, all concerned must abide by laws and administrative rules and regulations. Cheating, insider trading, and manipulation of stock markets are prohibited.
第五条证券发行、交易活动,必须遵守法律、行政法规;禁止欺诈、内幕交易和操纵证券交易市场的行为。
(8). Article 6. Stock firms, banks, trust firms, and insurance agencies shall operate separately and be administered separately. Stock firms, banks, trust firms, and insurance agencies shall be established separately.
第六条证券业和银行业、信托业、保险业分业经营、分业管理。证券公司与银行、信托、保险业务机构分别设立。
(9). Article 7. According to law, the securities regulatory body under the State Council shall centralize and unify the supervision and administration of all stock markets in China .
第七条国务院证券监督管理机构依法对全国证券市场实行集中统一监督管理。
(10). If necessary, the securities regulatory body under the State Council may set up branches that will execute supervisory and administrative functions according to authorization.
国务院证券监督管理机构根据需要可以设立派出机构,按照授权履行监督管理职责。
(11). Article 8. Under the prerequisite that the state shall centralize and unify the supervision and administration of the issuance and transactions of securities, stock brokers shall establish their own associations so as to exercise self‑disciplining administration.
第八条在国家对证券发行、交易活动实行集中统一监督管理的前提下,依法设立证券业协会,实行自律性管理。
(12). Article 9. According to law, the state auditing organ shall supervise by auditing the accounts of stock exchanges, securities companies, securities registration and settlement organizations, and securities supervision and administration organizations.
第九条国家审计机关对证券交易所、证券公司、证券登记结算机构、证券监督管理机构,依法进行审计监督。
(13). Article 10. Before publicly issuing securities, one must fulfill the provisions of laws and administrative rules and regulations; report, according to law, to the securities regulatory body under the State Council, or to a relevant department authorized by the State Council; and attain its prior approval. Without attaining prior approval according to law, no unit or individual is allowed to openly issue securities to the public.
第十条公开发行证券,必须符合法律、行政法规规定的条件,并依法报经国务院证券监督管理机构或者国务院授权的部门核准或者审批;未经依法核准或者审批,任何单位和个人不得向社会公开发行证券。
(14). Article 11. Before publicly issuing shares, one must abide by the provisions of the Company Law, and report to and attain prior approval from the securities regulatory body under the State Council. The applicant‑issuer must submit to the securities regulatory body under the State Council, application documents as required by relevant provisions of the Company Law and other relevant documents as stipulated by the securities regulatory body under the State Council.
第十一条公开发行股票,必须依照公司法规定的条件,报经国务院证券监督管理机构核准。发行人必须向国务院证券监督管理机构提交公司法规定的申请文件和国务院证券监督管理机构规定的有关文件。
(15). Before issuing company bonds, one must abide by the provisions of the Company Law, and report to and attain prior approval from a relevant department authorized by the State Council. The applicant‑issuer must submit to the relevant department authorized by the State Council, application documents as required by relevant provisions of the Company Law and other relevant documents as stipulated by the relevant department authorized by the State Council.
发行公司债券,必须依照公司法规定的条件,报经国务院授权的部门审批。发行人必须向国务院授权的部门提交公司法规定的申请文件和国务院授权的部门规定的有关文件。
(16). Article 12. The organ or department legally in charge of examining and approving the application of an applicant‑issuer who applies to publicly issue securities according to law shall decide the formats of application documents and the modes for submitting them,
第十二条发行人依法申请公开发行证券所提交的申请文件的格式、报送方式,由依法负责核准或者审批的机构或者部门规定。
(17). Article 13. When submitting application documents to the securities regulatory body under the State Council or to a relevant department authorized by the State Council for the approval to issue securities, the applicant‑issuer must furnish truthful, accurate, and complete information.
第十三条发行人向国务院证券监督管理机构或者国务院授权的部门提交的证券发行申请文件,必须真实、准确、完整。
(18). The special organizations and personnel in charge of issuing relevant documents for securities issuance must strictly execute their legal duties, and ensure that the documents issued by them are truthful, accurate, and complete.
为证券发行出具有关文件的专业机构和人员,必须严格履行法定职责,保证其所出具文件的真实性、准确性和完整性。
(19). Article 14. The securities regulatory body under the State Council shall establish an issuance examination committee that will examine and approve, according to law, the applications for share issuance.
第十四条国务院证券监督管理机构设发行审核委员会,依法审核股票发行申请。
(20). The issuance examination committee will consist of professionals from the securities regulatory body under the State Council and outside experts hired by the securities regulatory body under the State Council. They will decide by casting their votes on the applications for share issuance, and expressed views on their deliberations.
发行审核委员会由国务院证券监督管理机构的专业人员和所聘请的该机构外的有关专家组成,以投票方式对股票发行申请进行表决,提出审核意见。
(21). The securities regulatory body under the State Council shall formulate the specific provisions for establishing the issuance examination committee, and the appointment periods and work procedures for its personnel, and submit them to the State Council for its approval.
发行审核委员会的具体组成办法、组成人员任期、工作程序由国务院证券监督管理机构制订,报国务院批准。
(22). Article 15. The securities regulatory body under the State Council shall be responsible for approving stock issue applications in accordance with the law. The approval procedure shall be made public and subject to supervision in accordance with the law.
第十五条国务院证券监督管理机构依照法定条件负责核准股票发行申请。核准程序应当公开,依法接受监督。
(23). Personnel who are involved in approving stock issue applications shall not have any interests in units applying for the issue; shall not receive gifts from units applying for the issue; shall not hold stocks of the approve issue; and shall not have private contact with units applying for the stock issue.
参与核准股票发行申请的人员,不得与发行申请单位有利害关系;不得接受发行申请单位的馈赠;不得持有所核准的发行申请的股票;不得私下与发行申请单位进行接触。
(24). The examination and approval of a company’s application for bond issue by State Council‑authorized departments shall be implemented in accordance with the stipulations of the previous two paragraphs.
国务院授权的部门对公司债券发行申请的审批,参照前二款的规定执行。
(25). Article 16. The securities regulatory body under the State Council or State Council‑authorized departments shall make a decision within three months from the date of receipt of stock issue application papers. The organizations or departments shall give an explanation for applications that are not approved or examined.
第十六条国务院证券监督管理机构或者国务院授权的部门应当自受理证券发行申请文件之日起三个月内作出决定;不予核准或者审批的,应当作出说明。
(26). Article 17. When a stock issue application is examined and approved, the stock issuer shall, in accordance with the stipulations of laws and administrative rules and regulations, issue a public subscription notice before the public issue of the stock, and place the notice in designated places for the public to read.
第十七条证券发行申请经核准或者经审批,发行人应当依照法律、行政法规的规定,在证券公开发行前,公告公开发行募集文件,并将该文件置备于指定场所供公众查阅。
(27). Before making public the information on the stock issue in accordance with the law, any person who has information on the issue shall not disclose such information.
发行证券的信息依法公开前,任何知情人不得公开或者泄露该信息。
(28). The issuer shall not issue stocks before issuing a public subscription notice.
发行人不得在公告公开发行募集文件之前发行证券。
(29). When the securities regulatory body under the State Council or State Council authorized departments discover that the approval or decision to examine and approve a stock issue
第十八条国务院证券监督管理机构或者国务院授权的部门对已作出的核准或者审批证券发行的决定,
(30). is not in compliance with the stipulations of laws and administrative rules and regulations, they shall annul the approval and decision. The stock issue shall be canceled if the issue has not commenced.
发现不符合法律、行政法规规定的,应当予以撤销;尚未发行证券的,停止发行;
(31). For stocks already issued, stockholders shall ask the issuer to reftmd the issue price and the interest calculated on the price, using the bank deposit interest rate for the corresponding period.
已经发行的,证券持有人可以按照发行价并加算银行同期存款利息,要求发行人返还。....(please sign in for more)
(32). Article 19. After the issue of stock in accordance with the laws, the issuer shall be responsible for changes in the operations and profits; and investors shall be responsible for investment risks arising from these changes.
第十九条股票依法发行后,发行人经营与收益的变化,由发行人自行负责;由此变化引致的投资风险,由投资者自行负责。....(please sign in for more)
(33). Article 20. When a listed company issues new stocks, it shall comply with the conditions required by the Company Law on new stock issue. It may sell the new stocks to the public or to existing stockholders.
第二十条上市公司发行新股,应当符合公司法有关发行新股的条件,可以向社会公开募集,也可以向原股东配售。....(please sign in for more)
(34). A listed company shall utilize the capital it procures from stock issue in accordance with the uses explained in the public issue subscription notice. Changes in the listed capital uses in the stock issue explanations shall be approved by the general shareholders’ meeting. A company shall not issue new stocks if it makes unauthorized changes in the use of capital which are not corrected or which are not approved by the shareholders’ meeting.
上市公司对发行股票所募资金,必须按招股说明书所列资金用途使用。改变招股说明书所列资金用途,必须经股东大会批准。擅自改变用途而未作纠正的,或者未经股东大会认可的,不得发行新股。....(please sign in for more)
(35). Article 21. A securities company shall, in accordance with the stipulations of laws and administrative rules and regulations, underwrite to sell the securities an issuer offers for public subscription. The underwriting business is operated on a commission or sole agency basis.
第二十一条证券公司应当依照法律、行政法规的规定承销发行人向社会公开发行的证券。证券承销业务采取代销或者包销方式。....(please sign in for more)
(36). Commission underwriting refers to the method whereby a securities company undertakes to sell securities on behalf of the issuer and return all unsold securities to the issuer at the end of the underwriting period.
证券代销是指证券公司代发行人发售证券,在承销期结束时,将未售出的证券全部退还给发行人的承销方式。....(please sign in for more)
(37). The sole agency method of underwriting refers to the method whereby a securities company acquires all securities of the issuer in accordance with the agreement, or acquires all unsold securities after the publicoffer at the end of the underwriting period.
证券包销是指证券公司将发行人的证券按照协议全部购入或者在承销期结束时将售后剩余证券全部自行购入的承销方式。....(please sign in for more)
(38). Article 22. An issuer who publicly issues securities has the right to select an underwriting securities company. Securities companies shall not procure the underwriting business with improper means of competition.
第二十二条公开发行证券的发行人有权依法自主选择承销的证券公司。证券公司不得以不正当竞争手段招揽证券承销业务。....(please sign in for more)
(39). Article 23. The following shall be included in the underwriting or sole agency agreement signed between a securities company and a stock issuer:
第二十三条证券公司承销证券,应当同发行人签订代销或者包销协议,载明下列事项:....(please sign in for more)
(40). (1)Names, addresses, and legal representatives of the parties;
(一)当事人的名称、住所及法定代表人姓名;....(please sign in for more)
(41). (2)Types, quantity, monetary amount, and issue price of the stocks underwritten on the commission and sole agency methods;
(二)代销、包销证券的种类、数量、金额及发行价格;....(please sign in for more)
(42). (3)The duration, including the commencement date and deadline of the securities underwriting on the commission and sole agency methods;
(三)代销、包销的期限及起止日期;....(please sign in for more)
(43). (4)The payment method and payment date for the securities underwriting on the commission and sole agency methods;
(四)代销、包销的付款方式及日期;....(please sign in for more)
(44). (5)The fees and settlement method for the securities underwriting on the commission and sole agency methods;
(五)代销、包销的费用和结算办法;....(please sign in for more)
(45). (6)Liability for breach of contract.
(六)违约责任;....(please sign in for more)
(46). (7)Other matters specified by the securities regulatory body under the State Council.
(七)国务院证券监督管理机构规定的其他事项。....(please sign in for more)
(47). Article 24. A securities company shall verify the authenticity, correctness, and completeness of documents of the public stock issue it underwrites. It shall not proceed with the sale if false records, misrepresentations, or major omissions are discovered in the documents. It shall immediately stop the sale and take remedial measures on stocks it has sold.
第二十四条证券公司承销证券,应当对公开发行募集文件的真实性、准确性、完整性进行核查;发现含有虚假记载、误导性陈述或者重大遗漏的,不得进行销售活动;已经销售的,必须立即停止销售活动,并采取纠正措施。....(please sign in for more)
(48). Article 25. Where the total face value of a public stock issue exceeds 50 million renminbi, the issue shall be underwritten by an underwriting syndicate, which shall include a principal underwriting securities company and other companies who participate as joint underwriters of the share issue.
第二十五条向社会公开发行的证券票面总值超过人民币五千万元的,应当由承销团承销。承销团应当由主承销和参与承销的证券公司组成。....(please sign in for more)
(49). Article 26. The maximum period for underwriting the stock issue on a commission or sole agency basis shall not exceed 90 days.
第二十六条证券的代销、包销期最长不得超过九十日。....(please sign in for more)
(50). Within the period for underwriting the stock issue on a commission or sole agency basis, the securities company shall guarantee to first sell the stocks to subscribers. The securities company shall not reserve the stocks it underwrites to sell or make advance purchases of the stocks it solely underwrites.
证券公司在代销、包销期内,对所代销、包销的证券应当保证先行出售给认购人,证券公司不得为本公司事先预留所代销的证券和预先购入并留存所包销的证券。....(please sign in for more)
(51). Article 27. Where a securities company solely underwrites a stock issue, it shall report the stock sale to the securities supervision and administration organizations for record within 15 days after the expiry of the period of solely underwriting.
第二十七条证券公司包销证券的,应当在包销期满后的十五日内,将包销情况报国务院证券监督管理机构备案。....(please sign in for more)
(52). Where a securities company underwrites stocks on a commission basis, it shall report the stock sale jointly with the issuer to the securities regulatory body under the State Council for record within 15 days after the expiry of the period for underwriting the stock issue on a commission basis.
证券公司代销证券的,应当在代销期满后的十五日内,与发行人共同将证券代销情况报国务院证券监督管理机构备案。....(please sign in for more)
(53). Article 28 Where a stock is issued at a premium, the issue price shall be discussed and determined between the issuer and the underwriting securities company, and report to the securities regulatory body under the State Council for approval.
第二十八条股票发行采取溢价发行的,其发行价格由发行人与承销的证券公司协商确定,报国务院证券监督管理机构核准。....(please sign in for more)
(54). Article 29 Where a domestic enterprise directly or indirectly issues stocks abroad or lists its stocks for trading abroad, the enterprise shall obtain approval from the securities regulatory body under the State Council.
第二十九条境内企业直接或者间接到境外发行证券或者将其证券在境外上市交易,必须经国务院证券监督管理机构批准。....(please sign in for more)
(55). Article 30. Stocks traded by parties to a stock transaction shall be the stocks issued and paid for in accordance with the law.
第三十条证券交易当事人依法买卖的证券,必须是依法发行并交付的证券。....(please sign in for more)
(56). Stocks not issued in accordance with the law shall not be traded.
非依法发行的证券,不得买卖。....(please sign in for more)
(57). Article 31. Stocks, company bonds, and other securities issued in accordance with the law shall be subject to restrictions stipulated by the law on the allotted times for transfer. They shall not be traded within the restricted allotted time periods.
第三十一条依法发行的股票、公司债券及其他证券,法律对其转让期限有限制性规定的,在限定的期限内,不得买卖。....(please sign in for more)
(58). Article 32. Stocks, company bonds, and other securities approved for listing and trading in accordance with the law shall be listed for trading in stock exchanges.
第三十二条经依法核准的上市交易的股票、公司债券及其他证券,应当在证券交易所挂牌交易。....(please sign in for more)
(59). Article 33. The method of open and centralized price bidding shall be adopted for trading of stocks in stock exchanges.
第三十三条证券在证券交易所挂牌交易,应当采用公开的集中竞价交易方式。....(please sign in for more)
(60). The principle of price and time preference shall be practiced in centralized price bidding in stock trading.
证券交易的集中竞价应当实行价格优先、时间优先的原则。....(please sign in for more)
(61). Article 34. Stocks traded by parties to a stock transaction shall be in paper form or other forms specified by the securities regulatory body under the State Council.
第三十四条证券交易当事人买卖的证券可以采用纸面形式或者国务院证券监督管理机构规定的其他形式。....(please sign in for more)
(62). Article 35. The spot transaction method shall be implemented in stock transactions.
第三十五条证券交易以现货进行交易。....(please sign in for more)
(63). Article 36. Securities companies shall not engage in stock trading activities to raise capital or stocks from clients.
第三十六条证券公司不得从事向客户融资或者融券的证券交易活动。....(please sign in for more)
(64). Personnel working at stock exchanges, securities companies, and securities registration and settlement institutions; personnel working at securities supervision and administration organizations;
证券交易所、证券公司、证券登记结算机构从业人员、证券监督管理机构工作人员....(please sign in for more)
(65). and other personnel prohibited by laws and administrative rules and regulations from participating in stock trading
和法律、行政法规禁止参与股票交易的其他人员,....(please sign in for more)
(66). shall not hold stocks, trade in stocks, and receive stocks given by other people, directly under their names or under false names or other people’s names during the term of their office or within the allotted time periods specified by the law.
在任期或者法定限期内,不得直接或者以化名、借他人名义持有、买卖股票,也不得收受他人赠送的股票。....(please sign in for more)
(67). When a person becomes one of the personnel listed in the preceding paragraph, he or she shall transfer his or her stocks in accordance with the law.
任何人在成为前款所列人员时,其原已持有的股票,必须依法转让。....(please sign in for more)
(68). Article 38. Stock exchanges, securities companies, and securities registration and settlement institutions shall keep their client accounts confidential in accordance with the law.
第三十八条证券交易所、证券公司、证券登记结算机构必须依法为客户所开立的帐户保密。....(please sign in for more)
(69). Article 39. Any special organization or its personnel that have prepared an auditing report, assets appraisal report, or legal advice for the issuance of a stock are prohibited from buying or selling the stock in question while the stock is being underwritten and within six month after the period of underwriting.
第三十九条为股票发行出具审计报告、资产评估报告或者法律意见书等文件的专业机构和人员,在该股票承销期内和期满后六个月内,不得买卖该种股票。....(please sign in for more)
(70). In addition to provisions of the preceding paragraph, any special organization or its personnel that prepares an auditing report, assets appraisal report, or legal advice for a listed company is prohibited from buying or selling stocks of the company from the day it accepts the assignment until five days after the aforementioned document is published.
除前款规定外,为上市公司出具审计报告、资产评估报告或者法律意见书等文件的专业机构和人员,自接受上市公司委托之日起至上述文件公开后五日内,不得买卖该种股票。....(please sign in for more)
(71). Article 40. Fees for security exchanges shall be reasonable; fees, fee standards, and fee methods shall be made public.
第四十条证券交易的收费必须合理,并公开收费项目、收费标准和收费办法。....(please sign in for more)
(72). Fees for securities exchanges, fee standards and management procedures shall be standardized by relevant authorities under the State Council.
证券交易的收费项目、收费标准和管理办法由国务院有关管理部门统一规定。....(please sign in for more)
(73). Article 41. A stockholder shall notify the company within three days when the stocks in his possession have reached five percent of the stocks issued by a limited liability company. The company shall report it to the securities regulatory body under the State Council within three days of receipt of the report. Where is the company is listed, it shall also report it to the security exchange.
第四十一条持有一个股份有限公司已发行的股份百分之五的股东,应当在其持股数额达到该比例之日起三日内向该公司报告,公司必须在接到报告之日起三日内向国务院证券监督管理机构报告;属于上市公司的,应当同时向证券....(please sign in for more)
(74). Where the stockholder in the preceding article sells the stocks of the company in his possession within six months after he purchases them,
前条规定的股东,将其所持有的该公司的股票在买入后六个月内卖出,....(please sign in for more)
(75). or where he buys them back within six months after he sells them, profits from the transaction shall belong to the company and the company’s board of directors shall take back the stockholder’s profits.
或者在卖出后六个月内又买入,由此所得收益归该公司所有,公司董事会应当收回该股东所得收益....(please sign in for more)
(76). Where the securities company, as the sole underwriter, purchases all the unsold stocks and therefore exceeds the five;percent possession limit, it is exempt from the six;month restriction when it resells the stocks.
但是,证券公司因包销购入售后剩余股票而持有百分之五以上股份的,卖出该股票时不受六个月时间限制。....(please sign in for more)
(77). Where the board of directors refuses to comply with the provisions of the preceding paragraph, other stockholders have the right to ask the board to comply.
公司董事会不按照前款规定执行的,其他股东有权要求董事会执行。....(please sign in for more)
(78). Where the board of directors’ refusal to comply with the first paragraph of this article has resulted in losses to the company, the responsible directors are liable for the damages in accordance with the law.
公司董事会不按照第一款的规定执行,致使公司遭受损害的,负有责任的董事依法承担连带赔偿责任。....(please sign in for more)
(79). Article 43. When a limited liability company applies to have its stocks listed, it shall submit an application to the securities regulatory body of the State Council for approval.
第四十三条股份有限公司申请其股票上市交易,必须报经国务院证券监督管理机构核准。....(please sign in for more)
(80). The securities regulatory body of the State Council may empower a security exchange to approve stock listings in line with legally prescribed conditions and procedures.
国务院证券监督管理机构可以授权证券交易所依照法定条件和法定程序核准股票上市申请。....(please sign in for more)
(81). Article 44. The state encourages companies that conform with the policy for encouraging industrial development and also meet the conditions for stock listing to have their stocks listed.
第四十四条国家鼓励符合产业政策同时又符合上市条件的公司股票上市交易。....(please sign in for more)
(82). Article 45. The following documents shall be submitted together with an application to the securities regulatory body of the State Council to have one’s stock listed and traded at the exchange:
第四十五条向国务院证券监督管理机构提出股票上市交易申请时,应当提交下列文件:....(please sign in for more)
(83). (2)The decision made by the shareholders’ meeting to have the company listed;
(二)申请上市的股东大会决议;....(please sign in for more)
(84). (3)The company’s articles of incorporation;
(三)公司章程;....(please sign in for more)
(85). (4)The company’s business license;
(四)公司营业执照;....(please sign in for more)
(86). (5)Balance sheets for the most recent three years, or since the company’s founding, certified by a certifying organization;
(五)经法定验证机构验证的公司最近三年的或者公司成立以来的财务会计报告;....(please sign in for more)
(87). (6)Legal advice and recommendation of the securities company;
(六)法律意见书和证券公司的推荐书;....(please sign in for more)
(88). and (7)The latest prospectus.
(七)最近一次的招股说明书。....(please sign in for more)
(89). Article 46. After the application for stock listing is approved by the securities regulatory body under the State Council, the issuer shall submit to the stock exchange the approved document and relevant documents listed in the preceding article.
第四十六条股票上市交易申请经国务院证券监督管理机构核准后,其发行人应当向证券交易所提交核准文件和前条规定的有关文件。....(please sign in for more)
(90). The stock exchange shall arrange the listing of the said stock within six months after receipt from the issuer of the documents listed in the preceding paragraph.
证券交易所应当自接到该股票发行人提交的前款规定的文件之日起六个月内,安排该股票上市交易。....(please sign in for more)
(91). Article 47 After the application for listing its stocks is approved by the stock exchanges, a listed company shall publish relevant documents concerning the approved listed stocks five days before trade of listed stocks begins. The said documents shall also be placed at appointed places for the public to read.
第四十七条股票上市交易申请经证券交易所同意后,上市公司应当在上市交易的五日前公告经核准的股票上市的有关文件,并将该文件置备于指定场所供公众查阅。....(please sign in for more)
(92). Article 48 In addition to the documents concerning the listing application stipulated by the preceding article, a listed company shall also publish the following:
第四十八条上市公司除公告前条规定的上市申请文件外,还应当公告下列事项:....(please sign in for more)
(93). (1)The date from which trade of stocks is approved to begin in the stock exchanges;
(一)股票获准在证券交易所交易的日期;....(please sign in for more)
(94). (2)The name list of the top 10 stock holders of the company and the numbers of their stocks;
(二)持有公司股份最多的前十名股东的名单和持股数额;....(please sign in for more)
(95). and (3)The names of directors, supervisors, managers, and high‑ranking administrators as well as information on their stock and bond holdings in the company.
(三)董事、监事、经理及有关高级管理人员的姓名及其持有本公司股票和债券的情况。....(please sign in for more)
(96). Article 49. When a listing company loses its listing conditions stipulated by the regulations of the company law, the listing of its stocks shall be suspended or terminated.
第四十九条上市公司丧失公司法规定的上市条件的,其股票依法暂停上市或者终止上市。....(please sign in for more)
(97). Article 50. The application filed by a company for listing its bonds must be approved by the securities regulatory body under the State Council.
第五十条公司申请其发行的公司债券上市交易,必须报经国务院证券监督管理机构核准。....(please sign in for more)
(98). The securities regulatory body under the State Council can authorize the stock exchanges to approve a company’s application for listing its bonds in accordance with legal conditions and legal procedures.
国务院证券监督管理机构可以授权证券交易所依照法定条件和法定程序核准公司债券上市申请。....(please sign in for more)
(99). Article 51. In applying for listing its bonds, a company must meet the following conditions:
第五十一条公司申请其公司债券上市交易必须符合下列条件:....(please sign in for more)
(100). (1)The term of the company’s bonds must be about one year;
(一)公司债券的期限为一年以上;....(please sign in for more)
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