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Where a securities company underwrites stocks on a commission basis, it shall report the stock sale jointly with the issuer to the securities regulatory body under the State Council for record within 15 days after the expiry of the period for underwriting the stock issue on a commission basis.

证券公司代销证券的,应当在代销期满后的十五日内,与发行人共同将证券代销情况报国务院证券监督管理机构备案。

According to an authoritative source, has been submitted to the Supreme People's Court "Securities Act" proposed draft judicial interpretation "on hearing the Securities infringement dispute case provides a number of", proposed the abolition of the Chief of the Securities infringement litigation Pre-procedure, and insider trading, market manipulation and other violations of securities are included in the scope of the lawsuit can be filed Dec.

据权威人士透露,已经提交给最高人民法院&证券法&提出了关于审理证券侵权纠纷案件的司法解释&,提供了&的号码,建议取消对证券侵权诉讼前行政,程序,内幕交易,操纵市场和其他违反证券是在诉讼的范围包括可申请(12月9日,根据&中国证券报&)。

Authoritative sources yesterday disclosed that have been submitted to the Supreme People's Court "Securities Act" proposed draft judicial interpretation "on hearing the Securities infringement dispute case provides a number of", proposed the abolition of securities infringement litigation front administrative procedures and insider trading , To manipulate the market and other securities violations are brought into the can.

证券取消原先民事诉讼据报道,最高法院的建议权威昨日透露,已经提交给最高人民法院&证券法源&提出的审理证券侵权纠纷案件的司法解释草案&提供了&的号码,提出了证券侵权诉讼前和行政程序取消内幕交易,操纵市场,和侵犯其他证券被带入可以。

Chapter three:"The development and present situation of delisting system in our country's securities bussiness'Un this section, the necessity of establishing and consummating the delisting system is discussed and refer to some regulations of Company Law, Securities Law and the rivision process of "Measures for listing suspension and prohibition of loss-making listed company", the text analyses the changing characters of the stock market and the necessity of revision of the "Listing regulations of the stock"which is used in the Shenzheng and Shanghai securities exchange concourses and devides the development process of our delisting system into several sections with pointing out the influence to the stock market which is produced by relative regulations."

第三章为&我国证券市场退市制度的发展历程及现状&,本部分首先论述了我国建立和完善证券市场退市制度的必要性,并从我国《公司法》及《证券法》中有关退市的规定入手,通过对《亏损上市公司暂停上市和终止上市实施办法》前后几次的修订过程,分析了我国实施&退市令&前后证券市场的变化特征以及深沪两个交易所修订《股票上市规则》的必要性,将我国退市制度的发展过程分为几个阶段,列示了制度中的有关规定及对证券市场的影响。

Our country need build up national power through the advanced financing fashion to stride rapidly towards sreat power of the world which is in dire need of develoupentThis article start from securities business , research constantly and liscuss from the international course, the ventures prevention and the egal supervise of the securities business , advance the assumption of de-eloping the intematonal securities business of our country.

而作为我国这样一个急需发展的国家更需要通过这种先进的融资方式增强国力,迅速走入世界强国之列。本文从证券市场发展入手,对证券市场国际化进程,证券市场法律监管进行对比研究、探讨,提出了发展和促进我国证券市场国际化设想。

Appreciation of the securities market is concerned, there are three main implications: the first is the impact on the performance of listed companies, the RMB appreciation will change the import and export of China's current situation, thereby affecting import and export of listed companies with high dependence on the basic face and performance, particularly in the U.S. dollar clearing of goods even more pronounced effect; second is the appreciation of the RMB exchange rate policy decisions affecting the securities market behavior, indirect effects of stock market prices; third is the impact on money supply and the stock market, appreciation could lead to speculative capital inflows or outflows.

升值对证券市场而言,主要有三个方面的影响:第一是对上市公司的业绩造成影响,人民币升值必将改变我国现有进出口状况,进而影响对进出口依存度高的上市企业的基本面及效绩,尤其是以美元结算的商品影响更为突出;第二是人民币汇率升值影响证券市场决策行为,间接影响证券市场价格;第三是对证券市场的资金供求造成影响,升值可能导致投机性资金的流入或流出。

The person in charge said that the China Securities Regulatory Commission recently issued securities companies Margin business-related issues to inform the pilot to further clear the pilot securities companies and the quality standards and in accordance with the requirements of the Administrative Licensing Law , Publicity Securities Margin pilot business, approval of content, format, standards and procedures for the establishment of an open and transparent to receive, review and expert evaluation system.

负责人表示,中国证券监督管理委员会近日下发证券公司的保证金与业务有关问题的通知飞行员进一步明确试点证券公司的质量标准,并与行政的要求,按照行政许可法,宣传证券保证金试点业务,内容,格式审批,标准和程序,建立公开,透明,接受,审查和专家评价制度。

However, most of all, the difference in character lies in two different courses: the passive supervision is the course of the judicial authorities or the quasi-judicial authorities performing the judicial authority; while the positive supervision is the course of the supervision agency performing the administrative authority.

本文通过对英、美、德等国的证券市场监管方式的考察,发现其历史发展的规律类似,即都是随着证券市场的发展,被动式监管的形式暴露出越来越多的局限性,对证券市场不足以有效地进行监管,从而导致主动监管方式的产生,也就是说,主动监管方式的产生是证券市场进一步发展的内在需求。

In the early period of China's securities market, margin trading and securities lending business already exists, but because of securities companies at the time of self-binding serious shortage of financial supervision and management abilities, margin trading and securities lending business has not carried out to achieve perfect price formation mechanism of the active market The purpose, it led to the stock market bubble, increased the financial system as a whole systemic risks.

在中国证券市场,保证金交易和证券借贷业务已经存在初期,但由于证券公司在时间自我约束力的金融监管和管理能力,保证金交易和证券借贷业务严重不足,没有进行到实现完美的价格形成机制,活跃市场的目的,这导致了股市泡沫,增加整体系统性风险的金融体系。

These departments include but are not limited to: retail, institutional, trading, research and analysis, investment banking, and compliance.

在美国,证券经纪公司的业务活动要遵循证券交易委员会,全美证券交易商协会和证券交易所的规定。

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