证券法 英Word文档下载推荐.docx
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Companieslimitedbysharesthatapplyforlistingofsharesshallfulfilthefollowingconditions:
theshareshavebeenissuedtothepublicuponverificationandapprovaloftheStateCouncil'
ssecuritiesregulatoryauthority;
thetotalsharecapitalofthecompanyisnotlessthanRmb30million;
theequityissuedtothepublicaccountsfor25%ormoreofthetotalequityofthecompany;
wherethetotalequityofthecompanyexceedsRmb400million,theratiooftheequityissuedtothepublicshallbe10%ormore;
and
thecompanyhasnotcommittedanymajorillegalactwithinthemostrecentthreeyears,andthereisnofalserecordinthefinancialandaccountingreports.
Stockexchangesmaystipulatelistingconditionshigherthanthosestipulatedintheprecedingparagraph,whichshallbesubmittedtotheStateCouncil'
ssecuritiesregulatoryauthorityforapproval.
Article51:
TheStateencouragescompaniesthatconformtoindustrialpoliciesandmeettheconditionsforlistingtohavetheirshareslisted.
Article52:
Whenapplyingforlistingofsharesfortrading,thefollowingdocumentsshallbesubmittedtothestockexchange:
thelistingreport;
theresolutionpassedattheshareholders'
generalmeetingconcerningthelistingapplication;
thecompany'
sarticlesofassociation;
sbusinesslicence;
thefinancialandaccountingreportsofthecompanyforthemostrecentthreeyearsauditedbyanaccountingfirmaccordingtolaw;
awrittenlegalopinion,andaletterofsponsorforlisting;
themostrecentshareprospectus;
otherdocumentsstipulatedinthelistingrulesofthestockexchange.
Article53:
Afteranapplicationtolistsharesfortradinghasbeenexamined,verifiedandconsentedtobythestockexchange,thecompaniesthatsignthelistingagreementshallpublicizetherelevantdocumentsrelatingtothelistingofshareswithinthestipulatedtimelimitandmakesuchdocumentsavailableforpublicaccessatthedesignatedplaces.
Article54:
Inadditiontopublicizingthedocumentsspecifiedintheprecedingarticle,thecompaniesthatsignthelistingagreementshallalsoannouncethefollowingmatters:
thedateonwhichthesharesareapprovedfortradingonthestockexchange;
alistofthenamesandshareholdingsofthetenshareholderswhoholdthelargestnumbersofsharesinthecompany;
thedefactocontrollingpersonofthecompany;
thenamesofthedirectors,supervisorsandseniormanagementpersonnel,andparticularsoftheirshareholdingsofthecompany'
ssharesand/orbonds.
Article55:
Wherealistedcompanyisinoneofthefollowingcircumstances,thestockexchangeshalldecidetosuspendthelistingandtradingofitsshares:
thereisachangeinthetotalsharecapital,equitydistribution,etc.,ofthecompanyandthelistingconditionsarenolongerfulfilled;
thecompanyfailstodiscloseitsfinancialstatusasrequired,ortherearefalsehoodsinthefinancialandaccountingreportsthatmaymisleadinvestors;
thecompanyhascommittedamajorillegalact;
thecompanyhassufferedcontinuouslossesforthemostrecentthreeyears;
or
othercircumstancesstipulatedinthelistingrulesofthestockexchange.
Article56:
Wherealistedcompanyisinoneofthefollowingcircumstances,thestockexchangeshalldecidetoterminatethelistingandtradingofitsshares:
thereisachangeinthetotalsharecapital,equitydistribution,etc.,ofthecompanyandthelistingconditionsarenolongerfulfilled,andstillfailstoreachthelistingconditionswithinthetimelimitstipulatedbythestockexchange;
thecompanyfailstodiscloseitsfinancialstatusasrequiredortherearefalsehoodsinthefinancialandaccountingreports,andthecompanyfailstomakecorrection;
thecompanyhassufferedcontinuouslossesforthemostrecentthreeyears,andisunabletobecomeprofitablewithinthesubsequentyear;
thecompanyisdissolvedordeclaredbankrupt;
Article57:
Companiesthatapplytolisttheircorporatebondsfortradingmustmeetthefollowingconditions:
thetermofthecorporatebondsisnotlessthanoneyear;
theamountofcorporatebondsactuallyissuedisnotlessthanRmb50million;
thecompanystillmeetsthestatutoryconditionsfortheissuingofcorporatebondsatthetimeofapplicationforthelistingofitsbonds.
Article58:
Whenapplyingforlistingofcorporatebondsfortrading,thefollowingdocumentsshallbesubmittedtothestockexchange:
theresolutionoftheboardofdirectorsconcerningtheapplicationforlistingofcorporatebonds;
themethodofofferofthecorporatebonds;
thenumberofcorporatebondsactuallyissued;
Whenapplyingforlistingofcorporatebondsconvertibletosharesfortrading,theletterofsponsorforlistingissuedbythesponsorshallalsobesubmitted.
Article59:
Afteranapplicationtolistcorporatebondsfortradinghasbeenexamined,verifiedandconsentedtobythestockexchange,thecompaniesthatsignthelistingagreementshallpublicizethecorporatebondlistingdocumentsandtherelevantdocumentswithinthestipulatedtimelimit,andmaketheapplicationdocumentsavailableforpublicaccessatthedesignatedplaces.
Article60:
Aftercorporatebondshavebeenlistedfortrading,thestockexchangemaydecidetosuspendtheirlistingandtradingunderthefollowingcircumstances:
thecompanynolongermeetstheconditionsforlistingcorporatebondsduetoamajorchangeinitscircumstances;
theproceedsofthecorporatebondofferarenotusedforthepurposeverifiedandapproved;
thecompanyfailstoperformitsobligationsunderthemethodofofferofthecorporatebonds;
thecompanyhassufferedcontinuouslossesduringtheprecedingtwoyears.
Article61:
IfacompanyisinthesituationdescribedinItem
(1)or(4)oftheprecedingarticleandtheconsequencesareverifiedtobeserious,orifacompanyisinthesituationdescribedinItem
(2),(3)or(5)oftheprecedingarticleandfailstoeliminatethesamewithinaspecifiedtimelimit,thestockexchangeshalldecidetoterminatethelistingandtradingofthecorporatebonds.
Ifacompanyisdissolvedordeclaredbankrupt,thestockexchangeshallterminatethelistingandtradingofthecorporatebonds.
Article62:
Inthecaseofdissatisfactionwiththedecisionofrejection,suspensionorterminationoflistingmadebythestockexchange,anapplicationforreviewmaybemadetothereviewauthorityestablishedbythestockexchange.
SectionThree:
ContinuingInformationDisclosure
Article63:
Theinformationdisclosedbyissuersandlistedcompaniesaccordingtolawmustbetruthful,accurateandcomplete,andmaynotcontainfalsehoods,misleadingstatementsormajoromissions.
Article64:
AshareprospectusorthemethodofofferofcorporatebondsshallbeannouncedwheresharesareissuedtothepublicaccordingtolawuponverificationandapprovalbytheStateCouncil'
ssecuritiesregulatoryauthorityorwherecorporatebondsareissuedtothepublicaccordingtolawuponverificationandapprovalbythedepartmentauthorizedbytheStateCouncil.Whennewsharesorcorporatebondsareissuedtothepublicaccordingtolaw,financialandaccountingreportsshallalsobeannounced.
Article65:
Withintwomonthsofthedateofconclusionofthefirsthalfofeachfiscalyear,listedcompaniesandcompanieswhosebondshavebeenlistedfortradingshallsubmittotheStateCouncil'
ssecuritiesregulatoryauthorityandthestockexchangeaninterimreportwiththefollowingcontents,andannouncethesame:
sfinancialandaccountingreportsandbusinesssituation;
majorlitigationinvolvingthecompany;
theparticularsofanychangeintheshareorcorporatebondsalreadyissued;
anymajormattersubmittedfordeliberationbytheshareholders'
generalmeeting;
othermattersspecifiedbytheStateCouncil'
ssecuritiesregulatoryauthority.
Article66:
Withinfourmonthsoftheendofeachfiscalyear,listedcompaniesandcompanieswhosebondshavebeenlistedfortradingshallsubmittotheStateCouncil'
ssecuritiesregulatoryauthorityandthestockexchangeanannualreportwiththefollowingcontents,andannouncethesame:
sgeneralcircumstances;
thecompany'
theré
sumé
sandthedetailsoftheshareholdingsofthedirectors,supervisorsandseniormanagementpersonnel;
thedetailsofsharesandcorporatebondsalreadyissued,includingthenamelistofthetenshareholderswhoholdthelargestnumb