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<div class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">创业板上市公司证券发行管理暂行办æ³?/h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源:本站整ç?/span> <span>发布时间ï¼?015å¹?4æœ?0æ—?/span> <span>点击数: <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=4840"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=4840">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=4840">打印文章</a>ã€?/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=4840" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>进入后台编辑</a>ã€?; } }); } CheckAdminStatus(4840); </script></span> <span> <span id="content_signin"></span><span id="content_SigninAjaxStatus"></span> <script type="text/javascript"> function GetContentSigninStatus(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('GetContentSigninStatus', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "NoSignin": break; case "NoLogin": break; case "AutoSignin": var time = xml.getElementsByTagName("time")[0].firstChild.data; AutoSigninContent(id,time); break; case "NormalSignin": document.getElementById("content_signin").innerHTML = "ã€?span style='cursor: pointer;' onclick=\"SigninContent('"+id+"')\" >点击签收</span>ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; case "Signined": document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; } }); } function AutoSigninContent(id,time) { var secs = time; var wait = secs * 1000; document.getElementById("content_signin").innerHTML = "【自动签收[" + secs +"]秒ã€?; for(i = 1; i <= secs; i++) { window.setTimeout("UpdateAutoSigninTime(" + i + "," + secs + ")", i * 1000); } window.setTimeout("SigninContent('"+id+"')", wait); } function UpdateAutoSigninTime(number,wait) { printnr = wait - number; document.getElementById("content_signin").innerHTML = "【自动签收[" + printnr +"]秒ã€?; } function SigninContent(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('SigninContent', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "Signined": document.getElementById("content_signin").innerHTML = "【已签收ã€?; break; case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已过签收截止时间ã€?; break; } } ); } GetContentSigninStatus('4840'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p align="center" class="MsoNormal" style="text-align:center;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">创业板上市公司证券发行管理暂行办æ³?/span></span></span><span style="font-size: 22pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;text-indent:32.0pt; mso-char-indent-count:2.0;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;text-indent:32.0pt; mso-char-indent-count:2.0;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第一ç«?总 åˆ?/span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第一æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">为了规范创业板上市公司(以下简称上市公司)证券发行行为,保护投资者的合法权益和社会公共利益,根据《证券法》、《公司法》制定本办法ã€?/span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司申请在境内发行证券,适用本办法ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">本办法所称证券,指下列证券品种:</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)股票;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)可转换公司债券ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)中国证券监督管理委员会(以下简称中国证监会)认可的其他品种ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司发行证券,可以向不特定对象公开发行,也可以向特定对象非公开发行ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司发行证券,必须真实、准确、完整、及时、公平地披露或者提供信息,不得有虚假记载、误导性陈述或者重大遗漏ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">上市公司作为信息披露第一责任人,应当及时向保荐人、证券服务机构提供真实、准确、完整的财务会计资料和其他资料,全面配合保荐人、证券服务机构开展尽职调查ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">保荐人应当严格履行法定职责,遵守业务规则和行业规范,对保荐的上市公司的申请文件和证券服务机构出具的专业意见进行审慎核查,督导上市公司规范运作,对上市公司是否具备持续盈利能力、是否符合发行条件作出专业判断,并确保所出具的发行保荐书和上市公司的申请文件真实、准确、完整、及时ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">为证券发行出具文件的证券服务机构和人员,应当严格履行法定职责,遵照本行业的业务标准和执业规范,对上市公司的相关业务资料进行核查和验证,确保所出具的专业文件真实、准确、完整、及时ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第七æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司应当建立投资者保护机制,优化投资回报机制,保障投资者的知情权和参与权等权利,切实保护投资者特别是中小投资者的合法权益ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第八æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">中国证监会对上市公司证券发行的核准,不表明其对该证券的投资价值或者投资者的收益作出实质性判断或者保证。投资者应当自主判断上市公司的投资价值并作出投资决策,自行承担因上市公司经营与收益的变化引致的投资风险ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二ç«?发行证券的条ä»?/span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;text-indent:32.0pt; mso-char-indent-count:2.0;line-height:28.0pt;mso-line-height-rule:exactly; text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;text-indent:32.0pt; mso-char-indent-count:2.0;line-height:28.0pt;mso-line-height-rule:exactly; text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 宋体;">第一èŠ?一般规å®?/span></b></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><b><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第九æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司发行证券,应当符合《证券法》规定的条件,并且符合以下规定:</span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)最近二年盈利,净利润以扣除非经常性损益前后孰低者为计算依据ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)会计基础工作规范,经营成果真实。内部控制制度健全且被有效执行,能够合理保证公司财务报告的可靠性、生产经营的合法性,以及营运的效率与效果ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)最近二年按照上市公司章程的规定实施现金分红ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)最近三年及一期财务报表未被注册会计师出具否定意见或者无法表示意见的审计报告;被注册会计师出具保留意见或者带强调事项段的无保留意见审计报告的,所涉及的事项对上市公司无重大不利影响或者在发行前重大不利影响已经消除;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(五)最近一期末资产负债率高于百分之四十五,但上市公司非公开发行股票的除外;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(六)上市公司与控股股东或者实际控制人的人员、资产、财务分开,机构、业务独立,能够自主经营管理。上市公司最近十二个月内不存在违规对外提供担保或者资金被上市公司控股股东、实际控制人及其控制的其他企业以借款、代偿债务、代垫款项或者其他方式占用的情形ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司存在下列情形之一的,不得发行证券ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)本次发行申请文件有虚假记载、误导性陈述或者重大遗漏;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)最近十二个月内未履行向投资者作出的公开承诺ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)最近三十六个月内因违反法律、行政法规、规章受到行政处罚且情节严重,或者受到刑事处罚,或者因违反证券法律、行政法规、规章受到中国证监会的行政处罚;最近十二个月内受到证券交易所的公开谴责;因涉嫌犯罪被司法机关立案侦查或者涉嫌违法违规被中国证监会立案调查;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)上市公司控股股东或者实际控制人最近十二个月内因违反证券法律、行政法规、规章,受到中国证监会的行政处罚,或者受到刑事处罚;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(五)现任董事、监事和高级管理人员存在违反《公司法》第一百四十七条、第一百四十八条规定的行为,或者最近三十六个月内受到中国证监会的行政处罚、最近十二个月内受到证券交易所的公开谴责;因涉嫌犯罪被司法机关立案侦查或者涉嫌违法违规被中国证监会立案调查;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(六)严重损害投资者的合法权益和社会公共利益的其他情形ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十一æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司募集资金使用应当符合下列规定ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)前次募集资金基本使用完毕,且使用进度和效果与披露情况基本一致;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)本次募集资金用途符合国家产业政策和法律、行政法规的规定ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)除金融类企业外,本次募集资金使用不得为持有交易性金融资产和可供出售的金融资产、借予他人、委托理财等财务性投资,不得直接或者间接投资于以买卖有价证券为主要业务的公司;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)本次募集资金投资实施后,不会与控股股东、实际控制人产生同业竞争或者影响公司生产经营的独立性ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体_GB2312;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体_GB2312;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体_GB2312; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 宋体;">第二èŠ?公开发行股票</span></b></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><b><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly; tab-stops:149.0pt;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly; tab-stops:149.0pt;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十二条</span><span style="font-family: 宋体;"> </span><span style="font-family: 宋体;">向原股东配售股份(以下简称配股),除符合本章第一节规定外,还应当符合下列规定ï¼?/span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)拟配售股份数量不超过本次配售股份前股本总额的百分之三十ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)控股股东应当在股东大会召开前公开承诺认配股份的数量;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)采用《证券法》规定的代销方式发行ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">控股股东不履行认配股份的承诺,或者代销期限届满,原股东认购股票的数量未达到拟配售数量百分之七十的,上市公司应当按照发行价并加算银行同期存款利息返还已经认购的股东ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十三条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">向不特定对象公开募集股份(以下简称增发),除符合本章第一节规定外,还应当符合下列规定ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)除金融类企业外,最近一期末不存在持有金额较大的交易性金融资产和可供出售的金融资产、借予他人款项、委托理财等财务性投资的情形ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)发行价格不低于公告招股意向书前二十个交易日或者前一个交易日公司股票均价ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体_GB2312;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体_GB2312;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体_GB2312; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 宋体;">第三èŠ?非公开发行股票</span></b></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><b><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly; tab-stops:149.0pt;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly; tab-stops:149.0pt;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十四条</span><span style="font-family: 宋体;"> </span><span style="font-family: 宋体;">上市公司非公开发行股票除符合本章第一节规定外,还应当符合本节的规定ã€?/span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">前款所称非公开发行股票,是指上市公司采用非公开方式,向特定对象发行股票的行为ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十五条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">非公开发行股票的特定对象应当符合下列规定:</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)特定对象符合股东大会决议规定的条件ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)发行对象不超过五名ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">发行对象为境外战略投资者的,应当遵守国家的相关规定ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十六条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司非公开发行股票确定发行价格和持股期限,应当符合下列规定ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)发行价格不低于发行期首日前一个交易日公司股票均价的,本次发行股份自发行结束之日起可上市交易;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)发行价格低于发行期首日前二十个交易日公司股票均价但不低于百分之九十,或者发行价格低于发行期首日前一个交易日公司股票均价但不低于百分之九十的,本次发行股份自发行结束之日起十二个月内不得上市交易ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)上市公司控股股东、实际控制人或者其控制的关联方以及董事会引入的境内外战略投资者,以不低于董事会作出本次非公开发行股票决议公告日前二十个交易日或者前一个交易日公司股票均价的百分之九十认购的,本次发行股份自发行结束之日起三十六个月内不得上市交易ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">上市公司非公开发行股票将导致上市公司控制权发生变化的,还应当符合中国证监会的其他规定ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十七条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司非公开发行股票募集资金用于收购兼并的,免于适用本办法第九条第(一)项的规定ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><b><span style="font-family: 宋体;">第四èŠ?发行可转换公司债券</span></b></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><b><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></b></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly; tab-stops:149.0pt;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="line-height:28.0pt;mso-line-height-rule:exactly; tab-stops:149.0pt;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十八条</span><span style="font-family: 宋体;"> </span><span style="font-family: 宋体;">公开发行可转换公司债券的上市公司,除应当符合《证券法》规定的条件外,还应当符合本章第一节和本节的规定ã€?/span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">前款所称可转换公司债券,是指上市公司依法发行、在一定期间内依据约定的条件可以转换成股份的公司债券ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第十九条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">可转换公司债券的期限最短为一年ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">可转换公司债券每张面值一百元ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">可转换公司债券的利率由上市公司与主承销商协商确定,但必须符合国家的有关规定ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十一æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">公开发行可转换公司债券,应当委托具有资格的资信评级机构进行信用评级和跟踪评级ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">资信评级机构每年至少公告一次跟踪评级报告ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十二æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司应当在可转换公司债券期满后五个工作日内办理完毕偿还债券余额本息的事项ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十三æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">公开发行可转换公司债券,应当约定保护债券持有人权利的办法,以及债券持有人会议的权利、程序和决议生效条件ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">存在下列事项之一的,应当召开债券持有人会议:</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)拟变更募集说明书的约定ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)上市公司不能按期支付本息;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)上市公司减资、合并、分立、解散或者申请破产;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)保证人或者担保物发生重大变化ï¼?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(五)其他影响债券持有人重大权益的事项ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十四æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">可转换公司债券自发行结束之日起六个月后方可转换为公司股票,转股期限由公司根据可转换公司债券的存续期限及公司财务状况确定ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">债券持有人对转换股票或者不转换股票有选择权,并于转股的次日成为上市公司股东ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十五æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">转股价格应当不低于募集说明书公告日前二十个交易日和前一个交易日公司股票均价ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">前款所称转股价格,是指募集说明书事先约定的可转换公司债券转换为每股股份所支付的价格ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十六æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">募集说明书可以约定赎回条款,规定上市公司可以按事先约定的条件和价格赎回尚未转股的可转换公司债券ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十七æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">募集说明书可以约定回售条款,规定债券持有人可以按事先约定的条件和价格将所持债券回售给上市公司ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">募集说明书应当约å®?span lang="EN-US">,</span>上市公司改变公告的募集资金用途的,赋予债券持有人一次回售的权利ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十八æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">募集说明书应当约定转股价格调整的原则及方式。发行可转换公司债券后,因配股、送股、派息、分立及其他原因引起上市公司股份变动的,应当同时调整转股价格ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第二十九æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">募集说明书约定转股价格向下修正条款的,应当同时约定:</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)转股价格修正方案须提交公司股东大会表决,且须经出席会议的股东所持表决权的三分之二以上同意。股东大会进行表决时,持有公司可转换债券的股东应当回避;</span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)修正后的转股价格不低于前项规定的股东大会召开日前二十个交易日和前一个交易日公司股票均价ã€?/span></span></span><span style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 宋体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 宋体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三ç«?发行程序</span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司申请发行证券,董事会应当依法就下列事项作出决议,并提请股东大会批准:</span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)本次证券发行的方案ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)本次发行方案的论证分析报告ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)本次募集资金使用的可行性报告;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)其他必须明确的事项ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">董事会在编制本次发行方案的论证分析报告时,应当结合上市公司所处行业和发展阶段、融资规划、财务状况、资金需求等情况进行论证分析,独立董事应当发表专项意见。论证分析报告至少包括下列内容:</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)本次发行证券及其品种选择的必要性;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)本次发行对象的选择范围、数量和标准的适当性;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)本次发行定价的原则、依据、方法和程序的合理性;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)本次发行方式的可行性;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(五)本次发行方案的公平性、合理性;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(六)本次发行对原股东权益或者即期回报摊薄的影响以及填补的具体措施ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十一æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">股东大会就发行股票作出的决定,应当至少包括下列事项:</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)本次发行证券的种类和数量;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)发行方式、发行对象及向原股东配售的安排;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)定价方式或者价格区间;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)募集资金用途;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(五)决议的有效期;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(六)对董事会办理本次发行具体事宜的授权ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(七)其他必须明确的事项ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十二æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">股东大会就发行可转换公司债券作出的决定,应当至少包括下列事项ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)本办法第三十一条规定的事项ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)债券利率ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)债券期限ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)回售条款;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(五)还本付息的期限和方式;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(六)转股期ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(七)转股价格的确定和修正ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十三æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">股东大会就发行证券事项作出决议,必须经出席会议的股东所持表决权的三分之二以上通过,中小投资者表决情况应当单独计票。向本公司特定的股东及其关联人发行证券的,股东大会就发行方案进行表决时,关联股东应当回避ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">上市公司就发行证券事项召开股东大会,应当提供网络投票的方式,公司还可以通过其他方式为股东参加股东大会提供便利ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十四æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司年度股东大会可以根据公司章程的规定,授权董事会决定非公开发行融资总额不超过最近一年末净资产百分之十的股票,该项授权在下一年度股东大会召开日失效ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">上市公司年度股东大会给予董事会前款授权的,应当按照本办法第三十一条的规定通过相关决议,作为董事会行使授权的前提条件ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十五æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司申请发行证券,应当由保荐人保荐,但是根据本办法第三十七条规定适用简易程序且根据本办法第四十条规定采取自行销售的除外ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">保荐人或者上市公司应当按照中国证监会的有关规定编制和报送发行申请文件ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十六æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">中国证监会依照下列程序审核发行证券的申请ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)收到申请文件后,五个工作日内决定是否受理;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)中国证监会受理后,对申请文件进行初审;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)创业板发行审核委员会审核申请文件;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:90.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)中国证监会作出核准或者不予核准的决定ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十七æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司申请非公开发行股票融资额不超过人民币五千万元且不超过最近一年末净资产百分之十的,中国证监会适用简易程序,但是最近十二个月内上市公司非公开发行股票的融资总额超过最近一年末净资产百分之十的除外ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.35pt;mso-char-indent-count:1.96; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">前款规定的简易程序,中国证监会自受理之日起十五个工作日内作出核准或者不予核准决定ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十八æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司应当自中国证监会核准之日起六个月内发行证券。超过六个月未发行的,核准文件失效,须重新经中国证监会核准后方可发行ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第三十九æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司发行证券前发生重大事项的,应当暂缓发行,并及时报告中国证监会。该事项对本次发行条件构成重大影响的,发行证券的申请应当重新经中国证监会核准ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司公开发行证券,应当由证券公司承销。非公开发行股票符合以下情形之一的,可以由上市公司自行销售:</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)发行对象为原前十名股东ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)发行对象为上市公司控股股东、实际控制人或者其控制的关联方ï¼?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)发行对象为上市公司董事、监事、高级管理人员或者员工;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(四)董事会审议相关议案时已经确定的境内外战略投资者或者其他发行对象;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(五)中国证监会认定的其他情形ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">上市公司自行销售的,应当在董事会决议中确定发行对象,且不得采用竞价方式确定发行价格ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十一æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">证券发行申请未获核准的上市公司,自中国证监会作出不予核准的决定之日起六个月后,可以再次提出证券发行申请ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四ç«?信息披露</span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十二æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司发行证券,应当以投资者决策需求为导向,按照中国证监会规定的程序、内容和格式,编制公开发行证券募集说明书或者其他信息披露文件,依法履行信息披露义务ã€?/span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十三æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司应当保证投资者及时、充分、公平地获得法定披露的信息,信息披露文件使用的文字应当简洁、平实、浅白、易懂,便于中小投资者阅读ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">中国证监会规定的内容是信息披露的最低要求,凡对投资者投资决策有重大影响的信息,上市公司均应当充分披露ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十四æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">证券发行议案经董事会表决通过后,应当在二个工作日内报告证券交易所,公告召开股东大会的通知ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">使用募集资金收购资产或者股权的,应当在公告召开股东大会通知的同时,披露该资产或者股权的基本情况、交易价格、定价依据以及是否与公司股东或者其他关联人存在利害关系ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十五æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">股东大会通过本次发行议案之日起二个工作日内,上市公司应当披露股东大会决议公告。股东大会决议公告中应当包括中小投资者单独计票结果ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十六æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司提出发行申请后,出现下列情形之一的,应当在次一工作日予以公告:</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(一)收到中国证监会不予受理或者终止审查决定;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(二)收到中国证监会不予核准或者予以核准决定;</span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">(三)上市公司撤回证券发行申请ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十七æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司全体董事、监事、高级管理人员应当在公开发行证券募集说明书等证券发行信息披露文件上签字,保证不存在虚假记载、误导性陈述或者重大遗漏,并声明承担个别和连带的法律责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">保荐人及保荐代表人应当声明对其保荐的上市公司公开发行证券募集说明书等证券发行信息披露文件的真实性、准确性、完整性和及时性承担责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">为证券发行出具文件的证券服务机构和人员应当声明对所出具文件的真实性、准确性、完整性和及时性承担责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十八æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">公开发行证券募集说明书等证券发行信息披露文件所引用的审计报告、盈利预测审核报告、资产评估报告、资信评级报告,应当由有资格的证券服务机构出具,并由至少二名有从业资格的人员签署ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">公开发行证券募集说明书等证券发行信息披露文件所引用的法律意见书,应当由律师事务所出具,并由至少二名经办律师签署ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第四十九æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">公开发行证券募集说明书自最后签署之日起六个月内有效ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">公开发行证券募集说明书等证券发行信息披露文件不得使用超过有效期的资产评估报告或者资信评级报告ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司在公开发行证券前的二至五个工作日内,应当将经中国证监会核准的公司发行证券募集说明书刊登在中国证监会指定的互联网网站,并置备于中国证监会指定的场所,供公众查阅ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十一æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司在非公开发行证券后的二个工作日内,应当将发行情况报告书刊登在中国证监会指定的互联网网站,并置备于中国证监会指定的场所,供公众查阅ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十二æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司可以将公开发行证券募集说明书、发行情况报告书刊登于其他网站,但不得早于按照本办法第五十条、第五十一条规定披露信息的时间ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五ç«?监管和处ç½?/span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 黑体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十三æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司违反本办法规定,中国证监会可以责令改正;对其直接负责的主管人员和其他直接责任人员,可以采取监管谈话、认定为不适当人选等监管措施,记入诚信档案并公布ã€?/span></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十四æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司及其直接负责的主管人员和其他直接责任人员违反法律、行政法规或者本办法规定,依法应当予以行政处罚的,依照有关规定进行处罚;涉嫌犯罪的,依法移送司法机关,追究其刑事责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十五æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">自申请文件受理之日起,上市公司及其控股股东、实际控制人、董事、监事、高级管理人员以及保荐人、证券服务机构及相关人员即对申请文件的真实性、准确性、完整性、及时性承担相应的法律责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;line-height:28.0pt;mso-line-height-rule: exactly;tab-stops:149.0pt;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">上市公司报送的申请文件中记载的信息自相矛盾、或者就同一事实前后存在不同表述且有实质性差异的,中国证监会将中止审查并自确认之日起十二个月内不受理相关保荐代表人推荐的发行申请ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十六æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司报送的申请文件中有虚假记载、误导性陈述或者重大遗漏的,中国证监会将终止审查并自确认之日起三十六个月内不受理该上市公司的发行证券申请,并依照《证券法》的有关规定进行处罚;致使投资者在证券交易中遭受损失的,应当依法承担赔偿责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十七æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司在发行证券决策、申请、发行过程中,非法向他人提供尚未依法公开披露信息的,中国证监会可以对其直接负责的主管人员和其他直接责任人员采取监管谈话、认定为不适当人选等监管措施,并依照《证券法》的有关规定进行处罚或者追究相关责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十八æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司披露盈利预测,利润实现数如未达到盈利预测的百分之八十的,除因不可抗力外,其法定代表人、财务负责人应当在股东大会及中国证监会指定网站、报刊上公开作出解释并道歉;情节严重的,中国证监会给予警告等行政处罚ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">利润实现数未达到盈利预测的百分之五十的,除因不可抗力外,中国证监会还可以自确认之日起三十六个月内不受理该上市公司的发行证券申请ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">注册会计师为上述盈利预测出具审核报告的过程中未勤勉尽责的,中国证监会将视情节轻重,对相关机构和责任人员采取监管谈话等监管措施,记入诚信档案并公布;情节严重的,给予警告等行政处罚ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第五十九æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司违反本办法第十一条第(三)项、第(四)项规定的,中国证监会可以责令改正;情节严重的,自确认之日起三十六个月内不受理该公司的发行证券申请ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十条</span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司及其董事、高级管理人员以及上市公司控股股东、实际控制人及其控制的关联方违反所作出的与上市公司证券发行相关的约定或者承诺的,中国证监会可以对其采取监管谈话、责令公开说明、责令改正、认定为不适当人选等监管措施ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:31.35pt;mso-char-indent-count:1.96; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 宋体;">上市公司控股股东或者实际控制人最近十二个月内未履行持股意向等公开承诺的,不得参与本上市公司发行证券认购ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十一æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">保荐人出具有虚假记载、误导性陈述或者重大遗漏的发行保荐书的,中国证监会可以责令改正,并依照《证券法》和保荐制度的有关规定进行处理;致使投资者遭受损失的,应当依法承担赔偿责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十二æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">保荐人以不正当手段干扰中国证监会及其创业板发行审核委员会审核工作的,保荐人或其相关签名人员的签名、盖章系伪造或变造的,或者不履行其他法定职责的,依照《证券法》和保荐制度的有关规定处理ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十三æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">为证券发行出具审计报告、法律意见、资产评估报告、资信评级报告及其他专项文件的证券服务机构和人员,在其出具的专项文件中存在虚假记载、误导性陈述或者重大遗漏,中国证监会自确认之日起十二个月内不接受相关机构出具的证券发行专项文件,三十六个月内不接受相关人员出具的证券发行专项文件;致使投资者遭受损失的,应当依法承担赔偿责任ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十四æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">承销机构在承销非公开发行的证券时,将证券配售给不符合本办法第十五条规定的对象的,中国证监会可以责令改正;情节严重的,自确认之日起三十六个月内不接受其参与证券承销ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十五æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司在非公开发行新股时,违反本办法第四十条规定的,中国证监会可以责令改正;情节严重的,自确认之日起三十六个月内不受理该上市公司的发行证券申请ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十六æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">本办法规定的特定对象违反规定,擅自转让限售期限未满的股票的,中国证监会可以责令改正;情节严重的,自确认之日起十二个月内不得作为特定对象认购证券ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体_GB2312;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体_GB2312;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体_GB2312; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六ç«?é™?span lang="EN-US">  </span>åˆ?/span></span></span></p> <p align="center" class="MsoNormal" style="text-align:center;line-height:28.0pt; mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="font-size: 16pt; font-family: 黑体; background-position: initial initial; background-repeat: initial initial;"><span lang="EN-US"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p> </o:p></span></span></span><span style="font-size:16px;"><span lang="EN-US" style="font-family: 楷体;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;text-autospace:ideograph-other"><span style="color:#000;"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></span></p> <p class="MsoNormal" style="margin-left:.1pt;mso-para-margin-left:.01gd; text-indent:32.0pt;mso-char-indent-count:2.0;line-height:28.0pt;mso-line-height-rule: exactly;text-autospace:ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十七æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">上市公司向员工发行证券用于激励的办法、上市公司发行优先股的办法法律法规另有规定的,适用其规定ã€?/span></span></span></p> <p class="MsoNormal" style="margin-left:.1pt;mso-para-margin-left:.01gd; text-indent:32.0pt;mso-char-indent-count:2.0;line-height:28.0pt;mso-line-height-rule: exactly;text-autospace:ideograph-other"><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal" style="text-indent:32.0pt;mso-char-indent-count:2.0; line-height:28.0pt;mso-line-height-rule:exactly;tab-stops:149.0pt;text-autospace: ideograph-other"><span style="color:#000;"><span style="font-size:16px;"><span style="font-family: 黑体;">第六十八æ?/span><span style="font-family: 楷体;"> </span><span style="font-family: 宋体;">本办法自</span><span style="font-family: 宋体;">公布之日</span><span style="font-family: 宋体;">起施行ã€?/span></span></span><span lang="EN-US" style="font-size: 16pt; font-family: 楷体; background-position: initial initial; background-repeat: initial initial;"><o:p></o:p></span></p> <p class="MsoNormal"><span style="color:#000;"><span style="font-size:16px;"><span lang="EN-US"> </span></span></span></p> <p class="MsoNormal"><span style="color:#000;"><span 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