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Announcement of the National Equities Exchange and Quotations Co., Ltd. for Amending the Guidelines of the National Equities Exchange and Quotations for the Determination and Modification of the Stock Transfer Methods [Effective]
全國中小企業股份轉讓系統有限責任公司關于修改《全國中小企業股份轉讓系統股票轉讓方式確定及變更指引》的公告(2020) [現行有效]
【法寶引證碼】
 
  
  
Announcement of the National Equities Exchange and Quotations Co., Ltd. for Amending the Guidelines of the National Equities Exchange and Quotations for the Determination and Modification of the Stock Transfer Methods 

全國中小企業股份轉讓系統有限責任公司關于修改《全國中小企業股份轉讓系統股票轉讓方式確定及變更指引》的公告

(Announcement No. 123 [2020] of the National Equities Exchange and Quotations Co., Ltd.) (股轉系統公告〔2020〕123號)

For the purposes of implementing the Rules of the National Equities Exchange and Quotations for Stock Transaction and specifying the relevant procedures for determining and modifying the stock transaction methods, the National Equities Exchange and Quotations Co., Ltd. has amended the Guidelines of the National Equities Exchange and Quotations for the Determination and Modification of the Stock Transfer Methods, which are renamed Guidelines of the National Equities Exchange and Quotations for the Determination and Modification of the Stock Transaction Methods and hereby issued, and shall come into force on the date of issuance. 為了落實《全國中小企業股份轉讓系統股票交易規則》,明確股票交易方式確定、變更有關程序,全國中小企業股份轉讓系統有限責任公司對《全國中小企業股份轉讓系統股票轉讓方式確定及變更指引》進行了修改,并更名為《全國中小企業股份轉讓系統股票交易方式確定及變更指引》。現予以發布,自發布之日起施行。
 特此公告。
Annex: Guidelines of the National Equities Exchange and Quotations for the Determination and Modification of the Stock Transaction Methods 附件:全國中小企業股份轉讓系統股票交易方式確定及變更指引
National Equities Exchange and Quotations Co., Ltd. 全國中小企業股份轉讓系統有限責任公司
February 21, 2020 2020年2月21日
Annex 附件
Guidelines of the National Equities Exchange and Quotations for the Determination and Modification of the Stock Transaction Methods 全國中小企業股份轉讓系統股票交易方式確定及變更指引
Chapter I General Provisions 

第一章 總則

Article 1 For the purposes of specifying the determination and modification of the transaction methods for stocks of companies applying for quotation on the National Equities Exchange and Quotations (“NEEQ”) and quoted companies (hereinafter referred to as “stocks”), market makers' joining in and exit, and other relevant matters, these Guidelines are developed in accordance with the Rules of the National Equities Exchange and Quotations for Stock Transaction (hereinafter referred to as the “Transaction Rules”) and other relevant regulations.   第一條 為了明確全國中小企業股份轉讓系統(以下簡稱全國股轉系統)申請掛牌公司、掛牌公司股票(以下簡稱股票)交易方式的確定、變更以及做市商加入、退出等相關事宜,根據《全國中小企業股份轉讓系統股票交易規則》(以下簡稱《交易規則》)等有關規定,制定本指引。
Article 2 These Guidelines shall apply to the determination and modification of the market-making transaction method, call auction transaction method, and continuous auction transaction method.   第二條 做市交易方式、集合競價交易方式和連續競價交易方式的確定及變更適用本指引。
Article 3 The continuous auction transaction method is adopted for stocks at the selection layer, and the market-making transaction method or call auction transaction method is adopted for stocks at the basic and innovation layers.   第三條 精選層股票采取連續競價交易方式,基礎層、創新層股票采取做市交易方式或集合競價交易方式之一進行交易。
Article 4 Quoted companies at the basic and innovation layers may, by filing applications and with the consent of the National Equities Exchange and Quotations Co., Ltd. (“NEEQ Co.”), modify the stock transaction methods.   第四條 基礎層、創新層掛牌公司提出申請并經全國中小企業股份轉讓系統有限責任公司(以下簡稱全國股轉公司)同意,可以變更股票交易方式。
Where a quoted company intends to apply for modification of the stock transaction method, its shareholders' meeting shall make a resolution on the modification of the stock transaction method. A quoted company shall, within 2 trading days after the end of a meeting of the shareholders' meeting, announce the resolution on an information disclosure platform in compliance with the provisions of the Securities Law (hereinafter referred to as the “prescribed information disclosure platform”). 掛牌公司擬申請變更股票交易方式的,其股東大會應當就股票交易方式變更事宜作出決議。掛牌公司應當在股東大會會議結束后2個交易日內在符合《證券法》規定的信息披露平臺(以下簡稱規定的信息披露平臺)公告決議內容。
Article 5 A quoted company entering the selection layer shall be forced by NEEQ Co. to change the stock transaction method to the continuous auction transaction method.   第五條 掛牌公司進入精選層的,全國股轉公司強制變更股票交易方式為連續競價交易方式。
Where a quoted company is removed from the selection layer or the basic layer and the innovation layer, and the transaction of stocks for which the market-making transaction method is adopted are suspended for 30 trading days as there are less than 2 market makers, the stock transaction method shall be compulsively changed by NEEQ Co. to the call auction transaction method. 掛牌公司被調出精選層或基礎層、創新層采取做市交易方式的股票因做市商不足2家導致停牌滿30個交易日的,全國股轉公司強制變更股票交易方式為集合競價交易方式。
After the stocks for which the market-making transaction method is adopted are subject to a decision of quotation termination made by NEEQ Co., NEEQ Co. shall compulsively change the stock transaction method to the call auction transaction method from the first day of resumption of stock transaction. 采取做市交易方式的股票被全國股轉公司作出終止掛牌決定后,全國股轉公司自股票恢復交易首日強制變更股票交易方式為集合競價交易方式。
Chapter II Determination of the Stock Transaction Methods of Companies Applying for Quotation 

第二章 申請掛牌公司股票交易方式的確定

Article 6 Where the market-making transaction method or call auction transaction method intends to be adopted for quotation of stocks, a company applying for quotation shall convene a shareholders' meeting to adopt a resolution and file an application with NEEQ Co.   第六條 股票掛牌時擬采取做市交易方式或集合競價交易方式的,申請掛牌公司應召開股東大會作出決議,并向全國股轉公司提出申請。
Article 7 To adopt the market-making transaction method for quotation of stocks, the following conditions shall be met:   第七條 股票掛牌時擬采取做市交易方式的,應當具備以下條件:
(1) Two or more market makers agree to provide market making quotation services for the stocks of a company applying for quotation, and one of the market makers is the lead broker recommending the quotation of the stocks or the parent company (subsidiary) of the lead broker. (一)2家以上做市商同意為申請掛牌公司股票提供做市報價服務,且其中一家做市商為推薦該股票掛牌的主辦券商或該主辦券商的母(子)公司;
(2) The market maker obtains a total of not less than 5% of the total capital stocks of the company applying for quotation or 1 million shares (whichever is the lower), and each market maker has not less than 100,000 shares of market making treasury stocks. (二)做市商合計取得不低于申請掛牌公司總股本5%或100萬股(以孰低為準),且每家做市商不低于10萬股的做市庫存股票;
(3) Other conditions prescribed by NEEQ Co. (三)全國股轉公司規定的其他條件。
Article 8 When issuing the examination opinions of approving quotation, NEEQ Co. shall confirm the transaction method for the stocks of a company applying for quotation.   第八條 全國股轉公司在出具同意掛牌審查意見時,確認申請掛牌公司股票的交易方式。
Article 9 Where the market-making transaction method intends to be adopted for stocks, a company applying for quotation shall, prior to quotation of stocks, register the market making treasury stocks of the market maker in the special market-making securities account.   第九條 股票擬采取做市交易方式的,申請掛牌公司應當在股票掛牌前將做市商做市庫存股票登記在做市專用證券賬戶。
Article 10 A company applying for quotation shall, in accordance with the requirements of NEEQ Co., disclose its stock transaction method in the public transfer statement and the indicative announcement of quotation.   第十條 申請掛牌公司應當按照全國股轉公司的要求在公開轉讓說明書和掛牌提示性公告中披露其股票交易方式。
Chapter III Modification of the Stock Transaction Methods of Quotation Companies at the Basic and Innovation Layers 

第三章 基礎層、創新層掛牌公司股票交易方式變更

...... ......



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