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class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">全国中小企业股份转让系统有限责任公司管理暂行办法</h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源:本站整?/span> <span>发布时间?015?4?0?/span> <span>点击数: <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=4837"></script> </span> <span>?a href="/User/Content/Favorite.aspx?Action=add&Id=4837">收藏</a>?/span> <span>?a href="/Print.aspx?id=4837">打印文章</a>?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=4837" ; document.getElementById("content_AdminEdit").innerHTML = "?a href='" + managedir + "' target='_blank'>进入后台编辑</a>?; } }); } 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class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"> </span></span></span></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"> </span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正大标宋简?">全国中小企业股份转让系统有限责任公司</span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"> </p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"> </p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:21.0pt;mso-bidi-font-size: 10.0pt;font-family:方正大标宋简?><span lang="EN-US"><o:p></o:p></span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正大标宋简?">管理暂行办法</span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly"><span style="font-size:21.0pt;mso-bidi-font-size: 10.0pt;font-family:方正大标宋简?><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><a name="_Toc6160"></a><a name="_Toc28157"></a><a name="_Toc831"></a><a name="_Toc16410"></a><a name="_Toc17451"></a><a name="_Toc24037"></a><a name="_Toc32416"></a><a name="_Toc20962"></a><a name="_Toc14940"></a><a name="_Toc288146739"><span lang="EN-US"> </span></a></span></span><span style="font-size:16px;"><a name="_Toc288146739"></a></span></p> <h1 style="margin-left:54.0pt;text-indent:-54.0pt;line-height:26.0pt; mso-line-height-rule:exactly;mso-list:l1 level1 lfo1;tab-stops:list 54.0pt"><span style="color:#000;"><span style="font-size:16px;"><a name="_Toc18289"><!--[if !supportLists]--><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';">第一?span style="font-weight: normal; line-height: normal;">      </span></span></span><!--[endif]--><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';"> </span></span></a></span></span><span style="font-size:16px;"><a name="_Toc18289"></a></span><span style="color:#000;"><span style="font-size:16px;"><span class="1Char"><span style="font-family: 方正黑体简?">?/span></span><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';">  </span></span><span class="1Char"><span style="font-family: 方正黑体简?">?/span></span></span></span><span class="1Char"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:"Times New Roman"; mso-fareast-font-family:方正黑体简?><o:p></o:p></span></span></h1> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第一?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">为加强对全国中小企业股份转让系统有限责任公司(以下简称全国股份转让系统公司)的管理,明确其职权与责任,维护股票挂牌转让及相关活动的正常秩序,根据《公司法》、《证券法》等法律、行政法规,制定本办法?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国中小企业股份转让系统(以下简称全国股份转让系统)是经国务院批准设立的全国性证券交易场所?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第三?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">股票在全国股份转让系统挂牌的公司(以下简称挂牌公司)为非上市公众公司,股东人数可以超?/span><span lang="EN-US">200</span><span style="font-family: 方正仿宋简?">人,接受中国证券监督管理委员会(以下简称中国证监会)的统一监督管理?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第四?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司负责组织和监督挂牌公司的股票转让及相关活动,实行自律管理?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第五?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当坚持公益优先的原则,维护公开、公平、公正的市场环境,保证全国股份转让系统的正常运行,为全国股份转让系统各参与人提供优质、高效、低成本的金融服务?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第六?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统的股票挂牌转让及相关活动,必须遵守法律、行政法规和各项规章规定,禁止欺诈、内幕交易、操纵市场等违法违规行为?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第七?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">中国证监会依法对全国股份转让系统公司、全国股份转让系统的各项业务活动及各参与人实行统一监督管理,维护全国股份转让系统运行秩序,依法查处违法违规行为?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <h1 style="line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><a name="_Toc13317"><span class="1Char"><span style="font-family: 方正黑体简?">第二?/span></span></a></span></span><span style="font-size:16px;"><a name="_Toc13317"></a></span><span style="color:#000;"><span style="font-size:16px;"><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';">  </span></span><span class="1Char"><span style="font-family: 方正黑体简?">全国股份转让系统公司的职?/span></span></span></span><span class="1Char"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:"Times New Roman"; mso-fareast-font-family:方正黑体简?><o:p></o:p></span></span></h1> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第八?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司的职能包括:</span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(一)建立、维护和完善股票转让相关技术系统和设施?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(二)制定和修改全国股份转让系统业务规则?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(三)接受并审查股票挂牌及其他相关业务申请,安排符合条件的公司股票挂牌;</span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(四)组织、监督股票转让及相关活动?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(五)对主办券商等全国股份转让系统参与人进行监管?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(六)对挂牌公司及其他信息披露义务人进行监管?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(七)管理和公布全国股份转让系统相关信息?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly; tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US">   </span><span style="font-family: 方正仿宋简?">(八)中国证监会批准的其他职能?/span><span lang="EN-US">    </span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第九?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当就股票挂牌、股票转让、主办券商管理、挂牌公司管理、投资者适当性管理等依法制定基本业务规则?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">全国股份转让系统公司制定与修改基本业务规则,应当经中国证监会批准。制定与修改其他业务规则,应当报中国证监会备案?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统挂牌新的证券品种或采用新的转让方式,应当报中国证监会批准?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十一?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当为组织公平的股票转让提供保障,公布股票转让即时行情。未经全国股份转让系统公司许可,任何单位和个人不得发布、使用或传播股票转让即时行情?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十二条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司收取的资金和费用应当符合有关主管部门的规定,并优先用于维护和完善相关技术系统和设施?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当制定专项财务管理规则,并报中国证监会备案?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十三条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当从其收取的费用中提取一定比例的金额设立风险基金。风险基金提取和使用的具体办法,由中国证监会另行制定?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十四条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统的登记结算业务由中国证券登记结算有限责任公司负责。全国股份转让系统公司应当与其签订业务协议,并报中国证监会备案?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <h1 style="line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><a name="_Toc2574"></a><a name="_Toc18382"></a><a name="_Toc18763"></a><a name="_Toc20144"></a><a name="_Toc2201"></a><a name="_Toc15194"></a><a name="_Toc31365"></a><a name="_Toc358"><span class="1Char"><span style="font-family: 方正黑体简?">第三?/span></span></a></span></span><span style="font-size:16px;"><a name="_Toc358"></a><span style="color:#000;"><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';">  </span></span></span><a name="_Toc1249"></a></span><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">全国股份转让系统公司的组织结?/span></span></span><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt;font-family:"Times New Roman";mso-fareast-font-family: 方正黑体简?><o:p></o:p></span></h1> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十五条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当按照《公司法》等法律、行政法规和中国证监会的规定,制定公司章程,明确股东会、董事会、监事会和经理层之间的职责划分,建立健全内部组织机构,完善公司治理?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">全国股份转让系统公司章程的制定和修改,应当经中国证监会批准?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十六条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司的股东应当具备法律、行政法规和中国证监会规定的资格条件,股东持股比例应当符合中国证监会的有关规定?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">全国股份转让系统公司新增股东或原股东转让所持股份的,应当报中国证监会批准?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十七条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司董事会、监事会的组成及议事规则应当符合有关法律、行政法规和中国证监会的规定,并报中国证监会备案?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十八条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司董事长、副董事长、监事会主席及高级管理人员由中国证监会提名,任免程序和任期遵守《公司法》和全国股份转让系统公司章程的有关规定?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">前款所述高级管理人员的范围,由全国股份转让系统公司章程规定?/span></span></span><span style="font-size:16px;"><a name="_Toc21529"></a></span><a name="_Toc31123"></a></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><a name="_Toc31123"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></a></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第十九条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当根据需要设立专门委员会。各专门委员会的组成及议事规则报中国证监会备案?/span></span></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="font-size:16px;"><a name="_Toc29944"></a></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family:方正仿宋简?><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"> </p> <h1 style="line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第四?/span><span lang="EN-US" style="font-family: 'Times New Roman';">  </span><span style="font-family: 方正黑体简?">全国股份转让系统公司的自律监?/span></span></span><span lang="EN-US" style="font-size:15.0pt; mso-bidi-font-size:10.0pt;font-family:"Times New Roman";mso-fareast-font-family: 方正黑体简?><o:p></o:p></span></h1> <p class="MsoNormal" style="line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统实行主办券商制度。在全国股份转让系统从事主办券商业务的证券公司称为主办券商?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">主办券商业务包括推荐股份公司股票挂牌,对挂牌公司进行持续督导,代理投资者买卖挂牌公司股票,为股票转让提供做市服务及其他全国股份转让系统公司规定的业务?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十一?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司依法对股份公司股票挂牌、定向发行等申请及主办券商推荐文件进行审查,出具审查意见?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当与符合条件的股份公司签署挂牌协议,确定双方的权利义务关系?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十二?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当督促申请股票挂牌的股份公司、挂牌公司及其他信息披露义务人,依法履行信息披露义务,真实、准确、完整、及时地披露信息,不得有虚假记载、误导性陈述或者重大遗漏?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十三?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">挂牌公司应当符合全国股份转让系统持续挂牌条件,不符合持续挂牌条件的,全国股份转让系统公司应当及时作出股票暂停或终止挂牌的决定,及时公告,并报中国证监会备案?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十四?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">挂牌股票转让可以采取做市方式、协议方式、竞价方式或证监会批准的其他转让方式?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十五?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统实行投资者适当性管理制度。参与股票转让的投资者应当具备一定的证券投资经验和相应的风险识别和承担能力,了解熟悉相关业务规则?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十六?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">因突发性事件而影响股票转让的正常进行时,全国股份转让系统公司可以采取技术性停牌措施;因不可抗力的突发性事件或者为维护股票转让的正常秩序,可以决定临时停市?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">全国股份转让系统公司采取技术性停牌或者决定临时停市,应当及时报告中国证监会?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十七?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当建立市场监控制度及相应技术系统,配备专门市场监察人员,依法对股票转让实行监控,及时发现、及时制止内幕交易、市场操纵等异常转让行为?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">对违反法律法规及业务规则的,全国股份转让系统公司应当及时采取自律监管措施,并视情节轻重或根据监管要求,及时向中国证监会报告?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十八?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当督促主办券商、律师事务所、会计师事务所等为挂牌转让等相关业务提供服务的证券服务机构和人员,诚实守信、勤勉尽责,严格履行法定职责,遵守法律法规和行业规范,并对出具文件的真实性、准确性、完整性负责?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第二十九?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司发现相关当事人违反法律法规及业务规则的,可以依法采取自律监管措施,并报中国证监会备案。依法应当由中国证监会进行查处的,全国股份转让系统公司应当向中国证监会提出查处建议?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <h1 style="margin-top:17.0pt;margin-right:0cm;margin-bottom:16.5pt;margin-left: 54.0pt;text-indent:-54.0pt;line-height:26.0pt;mso-line-height-rule:exactly; mso-pagination:lines-together;mso-list:l0 level1 lfo2;tab-stops:list 54.0pt; layout-grid-mode:both"><span style="color:#000;"><span style="font-size:16px;"><a name="_Toc4304"></a><a name="_Toc1158"></a><a name="_Toc4989"></a><a name="_Toc17501"></a><a name="_Toc21983"></a><a name="_Toc7639"></a><a name="_Toc20291"></a><a name="_Toc29539"></a><a name="_Toc9897"></a><a name="_Toc18784"><!--[if !supportLists]--><span lang="EN-US" style="font-family: 'Times New Roman';">第五?span style="font-weight: normal; line-height: normal;">      </span></span><!--[endif]--><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';"> </span></span></a></span></span><span style="font-size:16px;"><a name="_Toc18784"></a></span><span style="color:#000;"><span style="font-size:16px;"><span class="1Char"><span style="font-family: 方正黑体简?">监督管理</span></span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:"Times New Roman"; mso-fareast-font-family:方正黑体简?><o:p></o:p></span></h1> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第三十条</span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司应当向中国证监会报告股东会、董事会、监事会、总经理办公会议和其他重要会议的会议纪要,全国股份转让系统运行情况,全国股份转让系统公司自律监管职责履行情况、日常工作动态以及中国证监会要求报告的其他信息?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司的其他报告义务,比照执行证券交易所管理有关规定?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第三十一?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">中国证监会有权要求全国股份转让系统公司对其章程和业务规则进行修改?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="margin-left:-1.55pt;mso-para-margin-left:-.14gd; text-indent:30.8pt;mso-char-indent-count:2.0;line-height:26.0pt;mso-line-height-rule: exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第三十二?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">中国证监会依法对全国股份转让系统公司进行监管,开展定期、不定期的现场检查,并对其履职和运营情况进行评估和考核?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:25.9pt;mso-char-indent-count:1.68; line-height:26.0pt;mso-line-height-rule:exactly;tab-stops:-1.5pt"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正仿宋简?">全国股份转让系统公司及相关人员违反本办法规定,在监管工作中不履行职责,或者不履行本办法规定的有关义务,中国证监会比照证券交易所管理有关规定进行查处?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <h1 style="margin-top:17.0pt;margin-right:0cm;margin-bottom:16.5pt;margin-left: 54.0pt;text-indent:-54.0pt;line-height:26.0pt;mso-line-height-rule:exactly; mso-pagination:lines-together;mso-list:l0 level1 lfo2;tab-stops:list 54.0pt; layout-grid-mode:both"><span style="color:#000;"><span style="font-size:16px;"><a name="_Toc14352"><!--[if !supportLists]--><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';">第六?span style="font-weight: normal; line-height: normal;">      </span></span></span><!--[endif]--><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';"> </span></span></a></span></span><span style="font-size:16px;"><a name="_Toc14352"></a></span><span style="color:#000;"><span style="font-size:16px;"><span class="1Char"><span style="font-family: 方正黑体简?">?/span></span><span class="1Char"><span lang="EN-US" style="font-family: 'Times New Roman';">  </span></span><span class="1Char"><span style="font-family: 方正黑体简?">?/span></span></span></span><span class="1Char"><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;font-family:"Times New Roman"; mso-fareast-font-family:方正黑体简?><o:p></o:p></span></span></h1> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第三十三?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">全国股份转让系统公司为其他证券品种提供挂牌转让服务的,比照本办法执行?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第三十四?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">在证券公司代办股份转让系统的?/span><span lang="EN-US">STAQ</span><span style="font-family: 方正仿宋简?">?/span><span lang="EN-US">NET</span><span style="font-family: 方正仿宋简?">系统挂牌公司和退市公司及其股份转让相关活动,由全国股份转让系统公司负责监督管理?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:30.8pt;mso-char-indent-count:2.0; line-height:26.0pt;mso-line-height-rule:exactly"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 方正黑体简?">第三十五?/span><span lang="EN-US">  </span><span style="font-family: 方正仿宋简?">本办法公布之日起施行?/span></span></span><span lang="EN-US" style="font-size:15.0pt;mso-bidi-font-size:10.0pt;mso-fareast-font-family: 方正仿宋简?><o:p></o:p></span></p> <p> </p> <p align="left" class="MsoNormal" style="line-height: 8pt;"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> </div> </div> <div class="contArticle_bot_Artpage"> <span id="pe100_page_contentpage" class="pagecss"></span> </div> <div class="c_contant_end"></div> </div> </div> <!--主体中部结束--> </div> </div> <div class="footer_bg"> <div class="layout"> <!--网站底部--> <div class="footer"> <div class="copyright">甘肃省证券期货业协会/甘肃省上市公司协?主办 《甘肃证券市场》期刊发行部 甘肃证券期货业协会|甘肃上市公司协会网站 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