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中英对照 证券法(截取)

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2018年10月13日

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Securities Law of the People's Republic of China (2014 Amendment) [Effective]

中华人民共和国证券法(2014修正) [现行有效]

第十三条 公司公开发行新股,应当符合下列条件:

Article 13 An initial public offer (IPO) of stocks of a company shall meet the following requirements:

(一)具备健全且运行良好的组织机构;

(1) Having a complete and well-operated organization;

(二)具有持续盈利能力,财务状况良好;

(2) Having the capability of making profits continuously and a sound financial status;

(三)最近三年财务会计文件无虚假记载,无其他重大违法行为;

(3) Having no false record in its financial statements over the latest 3 years and having no other major irregularity;

(四)经国务院批准的国务院证券监督管理机构规定的其他条件。

(4) Meeting any other requirements as prescribed by the securities regulatory authority under the State Council which have been approved by the State Council.

上市公司非公开发行新股,应当符合经国务院批准的国务院证券监督管理机构规定的条件,并报国务院证券监督管理机构核准。

A listed company that makes any initial non-public offer of stocks shall meet the requirements as prescribed by the securities regulatory authority under the State Council, which have been approved by the State Council and shall be reported to the securities regulatory authority under the State Council for examination and approval.

第三十八条 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 38 Any stocks, corporate bonds or any other securities that have been legally issued, where there are any restrictive provisions of laws on the term of transfer thereof, shall not be purchased or sold within the restricted term.

第三十九条 依法公开发行的股票、公司债券及其他证券,应当在依法设立的证券交易所上市交易或者在国务院批准的其他证券交易场所转让。

Article 39 Any stocks, corporate bonds or any other securities that have been publicly issued according to law shall be listed in a stock exchange as legally established or in any other places for securities trading as approved by the State Council.

第四十条 证券在证券交易所上市交易,应当采用公开的集中交易方式或者国务院证券监督管理机构批准的其他方式。

Article 40 The means of public and centralized trading or any other means as approval by the securities regulatory authority under the State Council shall be adopted for the listed trading of securities in stock exchanges.

第四十七条 上市公司董事、监事、高级管理人员、持有上市公司股份百分之五以上的股东,将其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其所得收益。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,卖出该股票不受六个月时间限制。

Article 47 Where any director, supervisor and senior manager of a listed company or any shareholder who holds more than 5% of the shares of a listed company, sells the stocks of the company as held within 6 months after purchase, or purchases any stock as sold within 6 months thereafter, the proceeds as generated therefrom shall be incorporated into the profits of the relevant company. The board of directors of the company shall take back the proceeds. However, where a securities company holds more than 5% of the shares of a listed company, which are the residual stocks after sale by proxy as purchased thereby, the sale of the foregoing stocks shall not be limited by the term of 6 months.

公司董事会不按照前款规定执行的,股东有权要求董事会在三十日内执行。公司董事会未在上述期限内执行的,股东有权为了公司的利益以自己的名义直接向人民法院提起诉讼。

Where the board of directors of a company fails to implement the provisions as prescribed in the preceding paragraph herein, the shareholders concerned have the right to require the board of directors to implement them within 30 days. Where the board of directors of a company fails to implement them within the aforesaid term, the shareholders shall have the right to directly file a lawsuit with the people's court in their own names for the interests of the company.

第六十四条 经国务院证券监督管理机构核准依法公开发行股票,或者经国务院授权的部门核准依法公开发行公司债券,应当公告招股说明书、公司债券募集办法。依法公开发行新股或者公司债券的,还应当公告财务会计报告。

Article 64 For the stocks that have been publicly issued upon the verification of the securities regulatory authority under the State Council or for the corporate bonds that have been publicly issued upon the verification of the department as authorized by the State Council according to law, the prospectus or the measures for financing through the issuance of corporate bonds shall be announced. In an IPO of stocks or corporate bonds, the relevant financial statements shall be announced as well.

第六十七条 发生可能对上市公司股票交易价格产生较大影响的重大事件,投资者尚未得知时,上市公司应当立即将有关该重大事件的情况向国务院证券监督管理机构和证券交易所报送临时报告,并予公告,说明事件的起因、目前的状态和可能产生的法律后果。

Article 67 In the case of a major event that may considerably affect the trading price of a listed company's shares and that is not yet known to the investors, the listed company shall immediately submit a temporary report regarding the said major event to the securities regulatory authority under the State Council and the stock exchange, and make an announcement to the general public as well, in which the cause, present situation, and possible legal consequence of the event shall be indicated:

第七十三条 禁止证券交易内幕信息的知情人和非法获取内幕信息的人利用内幕信息从事证券交易活动。

Article 73 Any insider who has access to any insider information of securities trading or who has unlawfully obtained any insider information is prohibited from taking advantage of the insider information he holds to engage in any securities trading.

第七十六条 证券交易内幕信息的知情人和非法获取内幕信息的人,在内幕信息公开前,不得买卖该公司的证券,或者泄露该信息,或者建议他人买卖该证券。

Article 76 Any insider who has access to insider information or has unlawfully obtained any insider information on securities trading may not purchase or sell the securities of the relevant company, or divulge such information, or advise any other person to purchase or sell such securities.

持有或者通过协议、其他安排与他人共同持有公司百分之五以上股份的自然人、法人、其他组织收购上市公司的股份,本法另有规定的,适用其规定。

Where there is any other provision of the present Law on governing the purchase of shares of a listed company by a natural person, legal person or any other organization who individually holds or holds with any other person no less than 5% of the company's shares by means of an agreement or any other arrangement, such provision shall prevail.

内幕交易行为给投资者造成损失的,行为人应当依法承担赔偿责任。

Where any insider trading incurs any loss to investors, the actor shall make compensations according to law.

第七十七条 禁止任何人以下列手段操纵证券市场:

Article 77 Anyone is prohibited from manipulating the securities market by any of the following means:

(一)单独或者通过合谋,集中资金优势、持股优势或者利用信息优势联合或者连续买卖,操纵证券交易价格或者证券交易量;

(1) Whether anyone, independently or in collusion with others, manipulates the trading price of securities or trading quantity of securities by centralizing their advantages in funds, their shareholding advantages or taking their information advantage to trade jointly or continuously;

(二)与他人串通,以事先约定的时间、价格和方式相互进行证券交易,影响证券交易价格或者证券交易量;

(2) Where anyone collaborates with any other person to trade securities pursuant to the time, price and method as agreed upon in advance, thereby affecting the price or quantity of the securities traded;

(三)在自己实际控制的账户之间进行证券交易,影响证券交易价格或者证券交易量;

(3) Where anyone trades securities between the accounts under his own control, thereby affecting the price or quantity of the securities traded; or

(四)以其他手段操纵证券市场。

(4) Where anyone manipulates the securities market by any other means.

操纵证券市场行为给投资者造成损失的,行为人应当依法承担赔偿责任。

Where anyone incurs any loss to investors by manipulating the securities market, the actor shall be subject to the liabilities of compensation according to law.


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