第三十七条证券交易所、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和法律、行政法规禁止参与股票交易的其他人员，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。

Article 37 Personnel working at stock exchanges, securities companies, and securities registration and settlement institutions; personnel working at securities supervision and administration organizations; and other personnel prohibited by laws and administrative rules and regulations from participating in stock trading 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.

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。

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.

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。

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。

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.

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。

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.

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。

Article 40. Fees for security exchanges shall be reasonable; fees, fee standards, and fee methods shall be made public.

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。

Fees for securities exchanges, fee standards and management procedures shall be standardized by relevant authorities under the State Council.

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，应当同时向证券交易所报告。

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.

第四十二条前条规定的股东，将其所持有的该公司的股票在买入后六个月内卖出，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。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。

Article 42. Where the stockholder in the preceding article sells the stocks of the company in his possession within six months after he purchases them, 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. 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.

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。

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。

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.

第二节证券上市

Section Il Stock Listing

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。

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.

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。

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.

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。

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：

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:

（一）上市报告书；

(1) The listing report;

（二）申请上市的股东大会决议；

(2) The decision made by the shareholders' meeting to have the company listed;

（三）公司章程；

(3) The company's articles of incorporation;

（四）公司营业执照；

(4) The company's business license;

（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；

(5) Balance sheets for the most recent three years, or since the company's founding, certified by a certifying organization;

（六）法律意见书和证券公司的推荐书；

(6) Legal advice and recommendation of the securities company;

（七）最近一次的招股说明书。

and (7) The latest prospectus.

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。

Article 46. After the application for stock listing is approved by the securities regulatory body under the State Council, the issuer shall s

上一页  [1] [2] [3] [4] [5] [6] [7] [8] [9] [10]  ... 下一页  >>