第三章 证券交易 Chapter III. Stock Transactions 第一节 一般规定 Section I. General Rules 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。 Article 30. Stocks traded by parties to a stock transaction shall be the stocks issued and paid for in accordance with the law. 非依法发行的证券，不得买卖。 Stocks not issued in accordance with the law shall not be traded.
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。 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。 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。 Article 33. The method of open and centralized price bidding shall be adopted for trading of stocks in stock exchanges. 证券交易的集中竞价应当实行价格优先、时间优先的原则。 The principle of price and time preference shall be practiced in centralized price bidding in stock trading. 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。 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.
第三十五条 证券交易以现货进行交易。 Article 35. The spot transaction method shall be implemented in stock transactions. 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。 Article 36. Securities companies shall not engage in stock trading activities to raise capital or stocks from clients.
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账户保密。 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 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.
京公网安备 11010802044457号
[分享]
谷歌浏览器
360浏览器
搜狗浏览器
QQ浏览器
暂时还没有人评论哟！
评论