By: pxzr rdd
[Recommend this Fotopage] |
[Share this Fotopage]
View complete fotopage
View complete fotopage
|Tuesday, 15-May-2012 15:05
||Email | Share | Bookmark
In December 13, 2007
In December 13, 2007 2007-12-13 22:42chapter sixthsection second notes securities issue securities law provisions ,issue securities to the public ,must conform to laws ,administrative regulations ,and shall be reported to the securities regulatory authority under the State Council or the department authorized by the State Council approved ;without approval ,no unit or individual is allowed to issue securities to the public in any of the following circumstances .
One ,to the public offering of :1,issuing securities to non specific persons .2,to the specific object of securities issued a total of more than 200 people.Securities Law provisions ,to 200 people following thespecific object of the issue securities ,may not be used in advertising ,public solicitation and members of the public in any form ,otherwise it is issued to the public.
provisions of securities law ,the issuer to apply for public issuance of stocks ,corporate bonds convertible into shares ,by means of underwriting according to law ,or separately issued legal ,administrative regulations of the other securities recommendation system ,shall hire an institution with the qualification of recommendation as sponsors.
Sponsor system for listed securities issued Interim Measures provisions ,the recommendation institutions and sponsor representative of the implementation of registration administration system.
Securities operating institution is under any of the following circumstances , it shall not be registered as a recommendation institution multiple-choice) 1,the sponsor representative number less than 2.
2,the corporate governance structure has great defect, in 2009 registered assets appraiser examination materials ,risk control system is not perfect or not effectively carried out. 3,the last 24 months due to illegal by the China Securities Regulatory Commission from the list in 4,China Securities Regulatory Commission to remove .
Other circumstances as stipulated .Sponsor system for listed securities issued Interim Measures provisions ,the issuance and listing of securities ,the IPO ,the period of continuous supervision and guidance for the listing of the rest of the year and after two full fiscal year again ;listed companies publicly issuing securities ,the period of continuous supervision and guidance for listed the rest of the year and a full fiscal year.
The recommendation institution or sponsor representatives shall bear the corresponding responsibility of the sponsor ,in the disclosure of information ,not the existence of false records ,misleading statements or major omissions .
according to the securities law and the way regulation, public issuance of stocks ,corporate bonds convertible into shares ,by means of underwriting according to law ,need to recruit sponsors public issuance of corporate bonds .
Generally ,do not need to hire a sponsor. Public issuance of stocks ,convertible into shares Ticket company bonds in accordance with law ,adopting underwriting ,also do not need to hire a sponsor.
provisions of securities law ,company for public offering of stock to raise funds ,must be in accordance with the use of funds listed in the prospectus .Change the use of funds listed in the prospectus ,must be approved by a resolution of the shareholders general meeting unauthorized change of use .
Are not corrected ,or approved by the shareholders ,and shall not open the issue of new shares. Company public issuance of corporate bonds, it shall meet the following conditions :1,company net assets of not less than RMB 30000000 yuan,net assets of a limited liability company shall be no less than RMB 60000000 yuan.
2,accumulative total bond balance does not exceed the company net asset turnover 40% .3,to raise funds to meet the national industrial policy .Other conditions as textbook P240. Companies publicly issuing bonds to raise funds ,must be used for the purposes approved ,shall not be used for making up losses and unproductive expenditure .
The preceding public issuance of corporate bonds have not been fully subscribed for ,on the publicly issued corporate bonds and other debt default or delay in the payment of principal or interest and still continues to change ,to issue public bonds to raise funds for Road ,not again public issuance of corporate bonds .
Securities Law according to regulations ,the issuance of securities shall take underwriting underwriting .Including consignment and underwriting in two ways. To issue securities to non specific persons total face value of which exceeds RMB 50000000yuan,shall be made by an underwriting syndicate .
Securities dealers ,the underwriting term may not be more than 90.Securities companies in distribution ,the underwriting period, the dealers ,underwriting securities shall guarantee to sell to investors ,the securities company shall not obligate sell securities and purchase in advance and keep underwriting securities.
Stock using consignment ,consignment deadline expires, investors sold the stock number does not meet the proposed public offering of stock volume 70%,issue defeat. ( Investment Fund :80%)the securities investment fund is a kind of benefit-sharing ,risk-sharing collective securities investment.
In our country, the fund custodian usually with certain conditions of the commercial banks ,trust companies and other professional financial institution. In my country ,fund managers ,fund management company .
The securities investment fund is mainly divided into open-end funds and closed-end funds .according to the law of securities investment funds Regulations ,the establishment of fund management company ,shall meet the following conditions :1,the registered capital of not less than 100000000 yuan ,and shall be paid-in capital .
2,major shareholders have to engage in securities business ,securities investment consulting ,trust assets management or other financial assets management better operating performance and a good social reputation ,in recent 3 yearsno record of violation of law ,the registered capital of not less than 300000000 Yuan ;3,have fund qualification personnel quorum, health examination questions .
Above as the main conditions ,other conditions see textbook P244. Note MCQs .Securities regulatory authority under the State Council shall accept the application for fund raising within 6 months from the date in accordance with the law ,administrative regulations and other relevant provisions, make a decision on approval or disapproval .
The fund raising period since the fund share offering date. The fund raising period expires ,the closed-end fund raise fund share totaled more than 80% approved scale ,open-ended fund fund share totaling more than the approved minimum raise the share of the total ,and the the number of fundfunds unit holders conforms to the securities regulatory authority under the State Council ,the fund manager shall collect Set the date of expiration of the period of 10 daysto employ legal capital verification institution ,after receiving the verification report within 10 days ,to the securities regulatory authority under the State Council shall submit a verification report ,fund registration procedures ,law Master examination books ,and make a public announcement .
Third securities transactions a ,adidas Jeremy Scott Wings,general requirements: according to the Securities Law rules ,securities trading parties according to the trading of securities, must be issued and delivered in accordance with law ,to the securities trading securities .
Two limits :1,limited company held by the initiators of shares of the company ,since the date of the establishment of the company shall not be transferred within 1 years .2,open issue shares already issued share since the company are listed on the stock exchange and the date of the transaction shall not be transferred within 1 years .
3,directors ,supervisors ,senior managers of the company shall declare to hold the shares of the company in its movements, as each year within the transfer of shares shall not exceed the total number of shares of the company held by the 25%,held by the shares of the company, since the company listed the date of the transaction shall not be transferred within 1 years .
After six months shall not be transferable. 4,listed company directors ,supervisors ,http://adidasjeremyscottde.com/,senior managers and holds a listed company 5%On the shareholders ,will hold the stocks of the company in the purchase within 6 months after the sale ,or sold within 6 months after the purchase ,the proceeds to the company.
5,according to the Securities Law regulation, through securities trading at a stock exchange ,investors ,and other arrangements or by agreement others are held together by a listed company issued shares reached 5% ,shall be the date of the occurrence and within 3 days ,make a public announcement.
Within the prescribed time limit, shall not be transferable. Its holdings of the shares of a listed company by proportion increases or decreases by 5% ,it shall report and announcement .In the reporting period and make a report ,within 2 days from the date of the announcement ,he is prohibited from buying or selling the shares of the listed company .
P247. 6 ,Securities Law provisions ,for the issuance of stock issued by the audit report ,asset appraisal report or legal opinions and other documents to the securities service institutions and personnel ,in the stocks within the underwriting period and after the expiry of 6 months,may not purchase or sell the shares of listed companies .
As issued by the audit report ,asset appraisal report or legal opinions and other documents to the securities service institutions and personnel ,since accepting the entrustment of the listed companies from the date of the file open after 5 days ,not to buy Sell the stock .
( multichoice) 7,the China Securities Regulatory Commission issued the issuance of convertible bonds by Listed Companies Implementing Measures provisions ,through securities trading at a stock exchange ,investors hold the issuer has issued convertible corporate bonds reached 20%, in the fact that occurred within 3 days ,to China Securities Regulatory Commission Securities exchange ,make a written report ,notify the issuer and make a public announcement; investors hold the issuer has issued convertible company bond reaches 20%, held by the issuer has issued convertible bonds proportion of each increase or decrease of 10%,according to the provisions of the written report and announcement of the report .
Within the time limit ,and make a report within 2 days after the announcement ,he is prohibited from buying or selling the issuers of convertible company bonds ,nor the sale of the issuer .
Securities Law provisions ,the securities on the stock exchange ,should adopt open and centralized transaction mode .In accordance with price priority ,time priority principle transaction .Stock exchanges, securities companies and securities registration and clearing institution personnel ,personnel of the securities regulatory body and legal ,administrative regulations prohibited from engaging in stock trading The other staff, in the office or during the statutory period ,shall not directly or with the alias ,the name of others holding ,trading stocks ,nor accept stocks donated by others .
Anyone in the personnel ,the stocks he has held ,must be transferred according to law .Three ,http://adidasjeremyscottit.com,the listing of securities on the stock ,bond ,fund master listing ,to suspend the listing ,listed on the termination condition ,pay attention to multiple-choice questions.
( a ) listing ,listed 1conditions( multiple-choice) ( 1)the company of not less than RMB 30000000 yuan ;( 2)public offering of the shares of the company shares more than 25% of the total ;the total share capital of the company exceeds RMB 400000000yuan,public offering share ratio of more than 10% ;( 3)the most recent 3 years, no major violations ,no false records in financial accounting report .
2,application for listing of shares through the stock exchange after the approval ,the company shall enter into a listing agreement within the prescribed time limit, announce the relevant documents for stock listing ,and the file is placed at the specified places for the public to read .
A listing agreement the company in addition to notice the stipulated documents ,also should notice the following: ( multiple-choice) ( 1)stock was traded on the securities exchange Date ;( 2)stock holders of the company list and holding amount ;( 3)the company ;( 4)directors ,supervisors ,senior management personnel and name of the stock and bond holdings in the company .
3,to suspend the listing of shares trading and termination of listing :listed companies any of the following circumstances, the stock exchange may decide to suspend the listing of its stocks 1)the total share capital of the company ,distribution of equity changes, no longer have listed conditions ;( 2)the company is not required to disclose its financial position ,or makes false entries in its financial statements ,which may mislead investors ;( 3)the company has major violations of laws ;( 4)the company recent 3 years of consecutive loss;( 5)the Stock Exchange Listing Rules and other circumstances.
A listed company is in any of the following circumstances ,the stock exchange shall decide to terminate the listing of its stocks :pay attention to article (3 ):the company recent 3 years of consecutive loss,followed by a year to return to profitability ;( bonds :two consecutive losses) ( two) for listing of corporate bonds ,listed 1conditions( MC ) ( 1)corporation bond over a period of 1 years ;( 2)the amount of the bonds issued shall be no less than RMB 5000Million yuan of ;( 3)the company applying for the listing of bonds and still meet the statutory requirements for the issuance of corporate bonds ,corporate bonds .
2suspended the listing oftransactions and termination of listing the listing of corporate bonds ,the company is in any of the following circumstances ,the stock exchange may decide to suspend the listing of corporate bonds 1)the company has major violations of laws ;( 2)the company has great changes and do not conform to the conditions for listing of corporate bonds ;( 3)funds raised by the company are not used in accordance with approved purpose ;( 4)not in accordance with the method of offer of the company bonds obligations ;( 5)the company recent 2 years of consecutive loss.
( three) listed 1fund,fund trading conditions ( 1)the fund contract for a period of 5 years;( 2)fund raise the amount of not less than RMB 200000000 yuan ;( 3)fund shall not be less than 1000 people ;2,fund listed on the suspension or termination of the listing.
Such as :the fund contract expires ,the stipulations of the fund contract or trading of fund shares on the market regulations and termination of the listing trade and other circumstances. The open-end fund sales institutions place of business sales and redemption ,not listed transactions.
The fund manager shall in each working day for fund subscription ,redemption .Investors purchase fund, must the full payment of purchase payment. Payment upon delivery of the application for purchase shall be effective .
With the exception of force majeure and other special circumstances ,the fund manager shall not be refused to accept the fund investor redemption application. Four ,the disclosure of information ( a ) issue of information disclosure (two ) continuous information disclosure ( three) acquisition of listed company in the process of information publicly disclosed information must be true ,accurate ,complete ,no false records ,misleading statements and major omission .
Information including :regular reports and interim reports. Reports regularly refers to the quarterly ,annual ,semi-annual report interim report in listed company .Major is made incident upon a first information report.
It shall be disclosed : prospectus ,bond issuance plan ,financial and accounting reports. Regular report shall master the disclosure time, can be a single selected topic ;interim report attention to specific situations.
In multiple-choice questions .According to law,China's most charming boy is actually Tibet Buddha, the interim report shall, in the first half of each accounting year ends within 2 months from the date of disclosure .If it is quarterly report ,should be in the end of the fiscal year of 3 months ,9 months after the end ofa month shall be compiled .
Annual report at the end of each fiscal year .Within 4 months of the date of offer .That may be occurring on the listed company stock prices have a greater influence of the investors have no knowledge of the events ,the listed company shall immediately on the incident to the securities regulatory authority under the State Council and the stock exchange its interim report on important matters .
12,more important matters shall include :the company investment and major property purchase decision ;company significant losses or major loss ;the board of directors of the company ,1 /3or more of the supervisors or managerschange ;major litigation involving the company ,the general meeting of shareholders ,board of directors is revoked or declared invalid ;the company directors ,supervisors ,senior management in connection the crime is the national judicial examination teaching material organs to take coercive measures.
The board of directors of listed companies ,senior management personnel shall regularly report to the company sign a written confirmation .Listed company directors, supervisors ,senior managers of a listed company shall guarantee the information disclosed by the true ,accurate ,complete.
The issuer ,listed company ,corporate bonds raising prospectus approach ,Rich treasury will kill climate agreement what,financial and accounting reports ,report on the listing of files ,annual report ,in Period report ,interim report and other information disclosure materials ,have false records ,misleading statements or major omissions ,leaving investors in securities trading losses ,the issuer ,listed company shall bear the responsibility for compensation; the issuer ,Nike Lebron 8 do not obey the thorn,listed company directors ,supervisors ,senior management personnel and other directly responsible personnel as well as sponsors ,underwriting securities companies ,and the issuer shall ,listed companies are jointly and severally liable ,but can prove that he has no fault except ;the issuer ,listed company controlling shareholder ,actual controller fault, and the issuer shall ,listed companies are jointly and severally liable.
Five ,prohibited transactions ( a ) insider trading insider trading is the inside securities trading information and illegally obtaining inside information personnel with inside information for securities trading.
According to the Securities Law regulation, persons possessing inside information include the following 1)the issuer of the directors ,supervisors ,Adidas Wings,senior management personnel ;( 2)more than 5% holding company shares of the company and its directors ,supervisors ,senior management personnel ,the actual controller of a company and its directors ,supervisors ,senior Management personnel ;( 3)the issuer holding company and its directors ,supervisors ,senior management personnel ;( 4)because of their positions in a company can obtain company of the insider information, such as the office of the Secretary, the related research and business personnel ,typist ;( 5)the functionary of the securities regulatory body as well as the statutory on the issuance of securities transaction responsibility ,management and other personnel ;( 6)sponsor ,underwriting securities companies ,securities exchanges ,securities registration and clearing institutions ,securities service institutions concerned.
Insider information mainly includes 1)Securities Law provisions on listed companies stock prices have a greater impact and the investors have no that event (see the interim report part) ;( 2)the company for distribution of dividends or capital increase plan ;( 3)the equity structure of the company significant changes ;( 4)the company debt guarantee significant change ;( 5)the company mortgage ,sold or scrapped over the assets of the 30%,professional agent qualification examination teaching material ;( 6)the company directors ,supervisors ,senior management personnel behavior may undertake great responsibility of compensation for damage ;( 7)the acquisition of a listed company on the side Insider trading case .
Any loss to investors ,the actor shall be liable for compensation according to law .( two) market manipulation behavior of manipulating the market the main characteristics of price manipulation .
The manipulation of the securities market behavior cause a loss to investor ,behavior person shall undertake the liability for compensation. ( three) the production of false information behavior ( four) customer fraud behavior of some important several is :not within the stipulated time provide written confirmation of a transaction ;misappropriating the funds entrusted by clients for securities trading, or the funds in a client ;making use of mass media or by any other means to provide ,the dissemination of false or misleading information to investors .
State functionaries ,media staff making use of mass media or other modes of transmission of the information is misleading to investors ,which belongs to the manufacture of false information ;securities companies and their employees in the securities transaction through media or other modes of transmission of the information to mislead investors ,belongs to the customer fraud .
(five ) other prohibited conduct legal persons are prohibited from using the account of others engaged in illegal securities trading ;legal persons are prohibited from lending themselves or others securities division examination teaching material ledger Households ;to widen funds channels ,but no funds into the stock market regulations ;no one may use public funds for securities trading .
The fourth section of the takeover of listed companies a ,acquisitions outlined under the acquisition management practices of listed companies shall ,under any of the following circumstances ,that has been obtained or with control right of listed companies multiple choice questions 1)investors for listed companies holding more than 50% of the controlling shareholder ;2 investorscan actually control the listed company stock right to vote more than 30% ;3investors through theactual control of listed company voting rights to the board of directors of the company more than half the members elected ;4 investorsaccording to their actual control of listed companies voting to the general meeting of shareholders of the company resolution to produce major effect; one of the following circumstances ,not the acquisition of listed company multiple-choice) note fourth: the acquirer is a natural person, there is public national judicial examination teaching material in 147th under the provisions of the law ,shall not act as directors ,supervisors ,senior management five cases according to the securities law .
and acquisition management practices of listed companies rules of acquisition of a listed company ,mainly includes the following 3 partyType 1)offer (2 )takeover agreement (3 )other lawful means .
Two ,offer through securities trading at a stock exchange ,investors or by agreement ,other arrangements and others are held together by a listed company issued shares reached 30% ,continue to make acquisitions ,it shall apply to the listed all the shareholders of listed company all or part of the shares of the offer.
The offeror in submitting the acquisition reports of the listed company within 15 days from the date of the announcement ,the takeover offer. As stipulated in a tender offer acquisition period shall not be less than 30 days ,and shall not exceed 60 days.
In takeover offer to determine the acceptance within the time limit ,the purchaser shall not be revoked the takeover offer. The purchaser during the acquisition period, shall not sell the acquired company stock .
Also may not be used outside of the formal offer ,beyond the acquired company offer conditions to buy stock .( judge ) three ,takeover agreement by agreement to purchase, the purchase agreement before the announcement ,is unable to perform the acquisition agreement acquisition agreement .
Mode ,buy a person or by agreement ,other arrangements and others to the acquisition of a listed company issued shares reached 30% ,continue to buy ,The listed companies shall apply to all shareholders of listed company all or part of the shares of the listed company acquisition offer.
Four ,the disclosure of interests ( a ) consistent action person investor and concerted parties in a listed company owns the rights and interests should be consolidated. If there is no evidence to the contrary ,the investor has one of the following cases ,for the the concerted action person multiple-choice) 3investordirector ,supervisor or senior management personnel in the main member ,while in another investor as a director, supervisor or senior management personnel ;5banksother than legal person ,other organization and natural person to obtain the relevant shares investors provide financing arrangements ;7hold investorsmore than 30% of the shares natural persons ,and investors hold the shares of a listed company ;8 ininvestors serving directors ,supervisors and senior managers ,and investors hold the shares of a listed company ;12investorshas other relationship.
( two) for disclosure situation 1,investor and concerted parties having an interest in the shares to listed companies issued shares of 5% ,should be in the fact that occurred within 3 days from the date of establishment The equity change report within the prescribed period of time ,and may not purchase or sell shares of the listed company.
The investor and concerted parties having an interest in the shares of a listed company issued shares of 5% ,through securities trading at a stock broker materials trading ,adidas Jeremy Scott Wings 2,the shares owned accounted for the proportion of the issued shares of the listed company each increase or decrease of 5%,should be in accordance with the provisions of the preceding paragraph, make report and announcement .
In the reporting period and make a report ,within 2 days after the announcement ,he is prohibited from buying or selling shares of the listed company. 2,investors and the concerted action person by administration transfer or alteration ,Executive Court ,inheritance ,gift ,owned the rights changes of the shares to the shares issued by a listed company shall, in accordance with the same 5%,the first case of corresponding regulations in their reporting ,announcement obligation .
( three) the equity change report preparation 1 ,investor and concerted parties not listed company or actual controller ,which owned or more of the shares of the of the issued shares of the company in 5% ,but did not achieve 20% ,shall prepare the simple equity change report .
2,investors and The concerted action person having an interest in the shares of a listed company reaches or exceeds 20% of the issued sharesbut not more than 30% ,it shall prepare the detailed equity change report .
The purchaser after completion of the acquisition of 12 months,may not be transferred. After the purchase is made ,the purchaser merges with the target company ,and will the dissolution of the company ,the original shares of the company were dissolved by the purchaser shall be replaced.
After the completion of the acquisition ,the purchaser shall within 15 days to report the acquisition to securities regulatory authority under the State Council and the stock exchange ,and make a public announcement .
The fifth section of the stock exchange and securities trading institutions ,securities exchange of stock exchanges in China current organization form for membership .Securities brokers examination teaching material exchange establishment and dissolution ,is decided by the State Council .
Any of the following circumstances ,or the national judicial examination appointment teaching material provisions may not serve as the company directors ,supervisors ,senior management circumstances ,shall not hold the responsible people of a stock exchange ,city planners registration exam teaching material .
( P266-267) Stock Exchange main responsibilities include: 1 ,handling the stock ,corporate bonds listed on the suspension, resumption of the listing And termination of the listing transaction 2,take the technical suspension ,to temporarily halt trading measures 3 ,on the stock exchange for securities trading and the listed companies to disclose information monitoring and supervision two ,securities company securities company ,it shall meet the following conditions :1,net assets of not less than RMB 200000000 yuan .
2,the minimum amount of registered capital Renminbi 50000000 ,100000000,500000000.The main difference between securities company type: brokerage and integrated .Without obtaining a permit to operate securities business ,securities brokers examination teaching material the company shall not engage in securities business .
The establishment of securities companies ,acquired or revocation of branches ,change its business scope or registered capital ,change of shareholder ,holding 5% or more the actual controller ,change the key terms in company regulation ,merger ,division ,change of the company form ,dissolution ,bankruptcy ,business ,or established outside ,acquisition of shares or securities institutions ,must be approved by the securities regulatory authority under the State Council for approval.
( multiple-choice) securities companies shall not for its shareholders or any related provide financing and a securities company shall guarantee .The securities brokerage business ,securities underwriting ,securities business And the securities assets management business shall not be separated from the handle ,the mixing operation.
Securities brokerage business, shall not accept the entrustment of its client securities trading ,securities selection decision ,decided to trading volume or price .A securities company shall properly keep the account opening information ,entrustment records ,transaction records and internal management ,business related data ,no one may conceal ,forge ,alter or damage .
The data retention period of not less than 20 years. The board of directors ,supervisors ,senior management personnel of securities companies fail to perform their duties ,resulting in gross violation of laws or rules or significant risk ,securities regulatory authority under the State Council may revoke the qualifications ,and ordered the company replace it.
Three ,the securities registration and clearing institutions of securities holder of securities ,in the listed transactions ,shall all be deposited in a securities registration and clearing institution .
A securities registration and clearing institution shall not misappropriate the securities of its clients .The securities registration and clearing institution shall establish a settlement risk fund to pay in advance or make up for breach of contract ,delivery ,technical failures ,operational errors due to force majeure ,securities registration and settlement Organ loss .
The securities clearing risk fund shall be deposited into a special account of a designated bank ,shall be subject to special management. Securities Law regulation, investment consultancy ,financial consultancy institution, credit rating institution engaged in securities trading service personnel ,must have the professional knowledge of securities and securities business or securities trading service for more than 2 years of experience .
Investment consulting institutions and practitioners that engage in securities trading services may not have any of the following acts 1)commissioned by the agent in securities investment ;( 2)with the entrusting parties share the gains of securities investment or bearing the loss of securities investment ;( 3)the sale of the advisory body to provide service of the shares of listed companies ;( 4)via the media or the other way is provided ,the dissemination of false or misleading information to investors ;has committed any of the acts mentioned above ,any loss to investors ,shall be liable for compensation.
In section sixth violates the securities law legal liability Securities Law shall bear the legal liability form mainly has: ordered to stop ;it shall be ordered to correct; ordered in accordance with the law ;it is ordered to close down ;return of capital ;in accordance with the law of compensation ;clamp ;cancel qualification ;to stop its business ;revoke the qualification certificate ;revoke public Business license ;to permit removal ;suspended approved securities business qualifications ;warning ;fine ;confiscation of illegal income ;administrative punishment; criminal punishment in violation of securities law .
provisions, shall bear civil liability for compensation and pay fines and penalties, the property is not sufficient for the payment at the same time ,to undertake the civil compensation responsibility of .
The issuance of securities trading violations ,illegal income confiscated and fined ,totally turned over to the state treasury .If the parties to the securities supervision and administration institution or the department authorized by the State Council of penalties against ,may apply for reconsideration according to law ,or shall directly to the people This chapter in a variety of conditions require candidates to grasp .
Previous years examination questions ( one) single choice 1 alimited liability company non-public issuance of company bonds ,the following information about the company assets statement, with the Securities Law provisions of public issuance of corporate bonds condition is ( ) .
A (2007 ).The company amounted to RMB 30000000 yuan B. The company net assets is RMB 30000000 elementC. The company amounted to RMB 60000000 yuan D. The amount of its net assets of 60000000 yuan reference answer :answer :the D analytic assessment limited liability company The issuing company bond condition .
According to the regulations ,limited liability company public issuance of corporate bonds ,the net assets shall not be less than 60000000 yuan.2 according to theSecurities Law regulation, the company applying for listing of corporate bonds must meet the statutory conditions ,in which the amount of the bonds issued shall be not less than 10000yuan( ) .
A.1000 (2004)B.3000 C.5000D.6000reference answer:answer :the C analysis assessment of corporate bonds listing conditions ,the company applying for listing of corporate bonds ,which the amount of the bonds issued shall be no less than 50000000 yuan.
3 according tothe legal system of the securities regulation, securities regulatory authority under the State Council may suspend the listing of corporate bonds of listed trading situation is ( ) ( 2005)A.
Company because economic dispute being sued B. Company year loss of C company fails to perform the obligation of corporate bond issuance plan D. The company composed of significant change in reference answer :answer :C analysis on the listing of corporate bonds ,the company is in any of the following circumstances ,the securities regulatory authority under the State Council the decision to suspend the listing of corporate bonds 1)the company has major violations of laws ;( 2)the company has great changes that do not accord with company bonds Listing conditions ;( 3)the corporate bonds to raise funds in accordance with the purposes approved by the approval authority to use ;( 4)not in accordance with the method of offer of the company bonds obligations ;( 5)the company recent 2 years of consecutive loss.
( two) multiple choice questions 1 according to theSecurities Law regulation, a company of the following ,not their holdings of the company within 6 months after the sale ,or sold within 6 months after the purchase has again ( ) .
A (2007 ).The Secretary of the board of Directors Board of supervisors chairman B C. The person in charge of finance D. Deputy general manager reference answer :answer :ABCD analysis the evaluation of the general provisions of securities trading .
According to the regulations ,listed company directors ,supervisors ,senior management personnel ,holding the shares of a listed company shall not be more than 5% of the shareholders ,their holdings of the company buying the stock within 6 months after the sale ,or sold within 6 months after the purchase ,otherwise the proceeds to the company all of the options .