证券法 英Word文档下载推荐.docx

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