中英對(duì)照 證券法(截取)

Securities Law of the People's Republic of China (2014 Amendment) [Effective]

中華人民共和國(guó)證券法(2014修正) [現(xiàn)行有效]

第十三條　公司公開(kāi)發(fā)行新股，應(yīng)當(dāng)符合下列條件：

Article 13 An initial public offer (IPO) of stocks of a company shall meet the following requirements:

(一)具備健全且運(yùn)行良好的組織機(jī)構(gòu);

(1) Having a complete and well-operated organization;

(二)具有持續(xù)盈利能力，財(cái)務(wù)狀況良好;

(2) Having the capability of making profits continuously and a sound financial status;

(三)最近三年財(cái)務(wù)會(huì)計(jì)文件無(wú)虛假記載，無(wú)其他重大違法行為;

(3) Having no false record in its financial statements over the latest 3 years and having no other major irregularity;

(四)經(jīng)國(guó)務(wù)院批準(zhǔn)的國(guó)務(wù)院證券監(jiān)督管理機(jī)構(gòu)規(guī)定的其他條件。

(4) Meeting any other requirements as prescribed by the securities regulatory authority under the State Council which have been approved by the State Council.

上市公司非公開(kāi)發(fā)行新股，應(yīng)當(dāng)符合經(jīng)國(guó)務(wù)院批準(zhǔn)的國(guó)務(wù)院證券監(jiān)督管理機(jī)構(gòu)規(guī)定的條件，并報(bào)國(guó)務(wù)院證券監(jiān)督管理機(jī)構(gòu)核準(zhǔn)。

A listed company that makes any initial non-public offer of stocks shall meet the requirements as prescribed by the securities regulatory authority under the State Council, which have been approved by the State Council and shall be reported to the securities regulatory authority under the State Council for examination and approval.

第三十八條　依法發(fā)行的股票、公司債券及其他證券，法律對(duì)其轉(zhuǎn)讓期限有限制性規(guī)定的，在限定的期限內(nèi)不得買賣。

Article 38 Any stocks, corporate bonds or any other securities that have been legally issued, where there are any restrictive provisions of laws on the term of transfer thereof, shall not be purchased or sold within the restricted term.

第三十九條　依法公開(kāi)發(fā)行的股票、公司債券及其他證券，應(yīng)當(dāng)在依法設(shè)立的證券交易所上市交易或者在國(guó)務(wù)院批準(zhǔn)的其他證券交易場(chǎng)所轉(zhuǎn)讓。

Article 39 Any stocks, corporate bonds or any other securities that have been publicly issued according to law shall be listed in a stock exchange as legally established or in any other places for securities trading as approved by the State Council.

第四十條　證券在證券交易所上市交易，應(yīng)當(dāng)采用公開(kāi)的集中交易方式或者國(guó)務(wù)院證券監(jiān)督管理機(jī)構(gòu)批準(zhǔn)的其他方式。

Article 40 The means of public and centralized trading or any other means as approval by the securities regulatory authority under the State Council shall be adopted for the listed trading of securities in stock exchanges.

第四十七條　上市公司董事、監(jiān)事、高級(jí)管理人員、持有上市公司股份百分之五以上的股東，將其持有的該公司的股票在買入后六個(gè)月內(nèi)賣出，或者在賣出后六個(gè)月內(nèi)又買入，由此所得收益歸該公司所有，公司董事會(huì)應(yīng)當(dāng)收回其所得收益。但是，證券公司因包銷購(gòu)入售后剩余股票而持有百分之五以上股份的，賣出該股票不受六個(gè)月時(shí)間限制。

Article 47 Where any director, supervisor and senior manager of a listed company or any shareholder who holds more than 5% of the shares of a listed company, sells the stocks of the company as held within 6 months after purchase, or purchases any stock as sold within 6 months thereafter, the proceeds as generated therefrom shall be incorporated into the profits of the relevant company. The board of directors of the company shall take back the proceeds. However, where a securities company holds more than 5% of the shares of a listed company, which are the residual stocks after sale by proxy as purchased thereby, the sale of the foregoing stocks shall not be limited by the term of 6 months.

公司董事會(huì)不按照前款規(guī)定執(zhí)行的，股東有權(quán)要求董事會(huì)在三十日內(nèi)執(zhí)行。公司董事會(huì)未在上述期限內(nèi)執(zhí)行的，股東有權(quán)為了公司的利益以自己的名義直接向人民法院提起訴訟。

Where the board of directors of a company fails to implement the provisions as prescribed in the preceding paragraph herein, the shareholders concerned have the right to require the board of directors to implement them within 30 days. Where the board of directors of a company fails to implement them within the aforesaid term, the shareholders shall have the right to directly file a lawsuit with the people's court in their own names for the interests of the company.

第六十四條　經(jīng)國(guó)務(wù)院證券監(jiān)督管理機(jī)構(gòu)核準(zhǔn)依法公開(kāi)發(fā)行股票，或者經(jīng)國(guó)務(wù)院授權(quán)的部門核準(zhǔn)依法公開(kāi)發(fā)行公司債券，應(yīng)當(dāng)公告招股說(shuō)明書、公司債券募集辦法。依法公開(kāi)發(fā)行新股或者公司債券的，還應(yīng)當(dāng)公告財(cái)務(wù)會(huì)計(jì)報(bào)告。

Article 64 For the stocks that have been publicly issued upon the verification of the securities regulatory authority under the State Council or for the corporate bonds that have been publicly issued upon the verification of the department as authorized by the State Council according to law, the prospectus or the measures for financing through the issuance of corporate bonds shall be announced. In an IPO of stocks or corporate bonds, the relevant financial statements shall be announced as well.

第六十七條　發(fā)生可能對(duì)上市公司股票交易價(jià)格產(chǎn)生較大影響的重大事件，投資者尚未得知時(shí)，上市公司應(yīng)當(dāng)立即將有關(guān)該重大事件的情況向國(guó)務(wù)院證券監(jiān)督管理機(jī)構(gòu)和證券交易所報(bào)送臨時(shí)報(bào)告，并予公告，說(shuō)明事件的起因、目前的狀態(tài)和可能產(chǎn)生的法律后果。

Article 67 In the case of a major event that may considerably affect the trading price of a listed company's shares and that is not yet known to the investors, the listed company shall immediately submit a temporary report regarding the said major event to the securities regulatory authority under the State Council and the stock exchange, and make an announcement to the general public as well, in which the cause, present situation, and possible legal consequence of the event shall be indicated:

第七十三條　禁止證券交易內(nèi)幕信息的知情人和非法獲取內(nèi)幕信息的人利用內(nèi)幕信息從事證券交易活動(dòng)。

Article 73 Any insider who has access to any insider information of securities trading or who has unlawfully obtained any insider information is prohibited from taking advantage of the insider information he holds to engage in any securities trading.

第七十六條　證券交易內(nèi)幕信息的知情人和非法獲取內(nèi)幕信息的人，在內(nèi)幕信息公開(kāi)前，不得買賣該公司的證券，或者泄露該信息，或者建議他人買賣該證券。

Article 76 Any insider who has access to insider information or has unlawfully obtained any insider information on securities trading may not purchase or sell the securities of the relevant company, or divulge such information, or advise any other person to purchase or sell such securities.

持有或者通過(guò)協(xié)議、其他安排與他人共同持有公司百分之五以上股份的自然人、法人、其他組織收購(gòu)上市公司的股份，本法另有規(guī)定的，適用其規(guī)定。

Where there is any other provision of the present Law on governing the purchase of shares of a listed company by a natural person, legal person or any other organization who individually holds or holds with any other person no less than 5% of the company's shares by means of an agreement or any other arrangement, such provision shall prevail.

內(nèi)幕交易行為給投資者造成損失的，行為人應(yīng)當(dāng)依法承擔(dān)賠償責(zé)任。

Where any insider trading incurs any loss to investors, the actor shall make compensations according to law.

第七十七條　禁止任何人以下列手段操縱證券市場(chǎng)：

Article 77 Anyone is prohibited from manipulating the securities market by any of the following means:

(一)單獨(dú)或者通過(guò)合謀，集中資金優(yōu)勢(shì)、持股優(yōu)勢(shì)或者利用信息優(yōu)勢(shì)聯(lián)合或者連續(xù)買賣，操縱證券交易價(jià)格或者證券交易量;

(1) Whether anyone, independently or in collusion with others, manipulates the trading price of securities or trading quantity of securities by centralizing their advantages in funds, their shareholding advantages or taking their information advantage to trade jointly or continuously;

(二)與他人串通，以事先約定的時(shí)間、價(jià)格和方式相互進(jìn)行證券交易，影響證券交易價(jià)格或者證券交易量;

(2) Where anyone collaborates with any other person to trade securities pursuant to the time, price and method as agreed upon in advance, thereby affecting the price or quantity of the securities traded;

(三)在自己實(shí)際控制的賬戶之間進(jìn)行證券交易，影響證券交易價(jià)格或者證券交易量;

(3) Where anyone trades securities between the accounts under his own control, thereby affecting the price or quantity of the securities traded; or

(四)以其他手段操縱證券市場(chǎng)。

(4) Where anyone manipulates the securities market by any other means.

操縱證券市場(chǎng)行為給投資者造成損失的，行為人應(yīng)當(dāng)依法承擔(dān)賠償責(zé)任。

Where anyone incurs any loss to investors by manipulating the securities market, the actor shall be subject to the liabilities of compensation according to law.