证券法英文法条

1LawofthePeople’sRepublicofChinaonSecurities(Adoptedatthe6thMeetingoftheStandingCommitteeoftheNinthNationalPeople'sCongressonDecember29,1998;amendedinaccordancewiththeDecisionoftheStandingCommitteeoftheTenthNationalPeople'sCongressonAmendingtheSecuritiesLawofthePeople'sRepublicofChinaadoptedatits11thMeetingonAugust28,2004;andrevisedbytheStandingCommitteeoftheTenthNationalPeople'sCongressatits18thMeetingonOctober27,2005)颁布日期：20051027实施日期：20060101颁布单位：全国人大常委会OrderofthePresidentofthePeople’sRepublicofChinaNo.43TheLawofthePeople’sRepublicofChinaonSecurities,revisedandadoptedatthe18thMeetingoftheStandingCommitteeoftheTenthNationalPeople’sCongressofthePeople’sRepublicofChinaonOctober27,2005,isherebypromulgatedandshallgointoeffectasofJanuary1,2006.HuJintaoPresidentofthePeople’sRepublicofChinaOctober27,2005ContentsChapter1GeneralProvisions.........................................................................................................2Chapter2IssuingofSecurities.......................................................................................................2Chapter3TradingofSecurities......................................................................................................7Section1GeneralRegulations...............................................................................................8Section2ListingofSecurities...............................................................................................9Section3ContinuousDisclosureofInformation.................................................................12Section4ProhibitedTradingActivities...............................................................................14Chapter4AcquisitionofListedCompanies.................................................................................16Chapter5StockExchanges...........................................................................................................18Chapter6SecuritiesCompanies...................................................................................................21Chapter7SecuritiesRegistrarandClearanceInstitutions............................................................26Chapter8SecuritiesServiceInstitutions......................................................................................28Chapter9SecuritiesIndustryAssociation....................................................................................29Chapter10SecuritiesRegulatoryAuthority.................................................................................30Chapter11LegalLiability............................................................................................................32Chapter12SupplementaryProvisions..........................................................................................402Chapter1GeneralProvisionsArticle1ThisLawisenactedforthepurposeofregulatingtheissuingandtradingofsecurities,protectingthelawfulrightsandinterestsofinvestors,safeguardingtheeconomicorderandpublicinterestsofthesociety,andpromotingthesocialistmarketeconomy.Article2WithintheterritoryofthePeople’sRepublicofChina,thisLawisapplicabletotheissuingandtradingofshares,corporatebondsandsuchothersecuritiesasmaybesodescribedbytheStateCouncilpursuanttolaw;wherenotstipulatedhereunder,theprovisionsoftheCompaniesLawofPeople’sRepublicofChinaandotherlawsandadministrativeregulationsshallgovern.ThisLawshallbeapplicabletothelistingandtradingofgovernmentbondsandunitsofsecuritiesinvestmentfunds;whereotherwisestipulatedunderotherlawsoradministrativeregulations,theprovisionsthereofshallbeapplicable.TheregulatorymeasuresfortheissuingandtradingofthederivativevarietiesofsecuritiesshallbeformulatedbytheStateCouncilinadherencetotheprinciplesofthisLaw.Article3Theprinciplesofopenness,fairnessandjusticemustbecarriedoutinissuingandtradingsecurities.Article4Allpartiesinvolvedintheissuingandtradingofsecuritiesshallstandequallyinlawandshallobservetheprinciplesoffreewill,compensationandhonestyandtrustworthiness.Article5Securitiesshallbeissuedandtradedinconformitywithlawsandadministrativeregulations.Fraud,insidertradingandmanipulationofthesecuritiesmarketareprohibited.Article6Theoperationandadministrationofthesecuritiesindustryshallbeseparatedfromtheoperationandadministrationoftheindustriesofbanking,trustandinsuranceandsecuritiescompaniesshallbeestablishedindividuallyandseparatelyfromtheinstitutionsofbanking,trustandinsurancebusinesses,unlessotherwisestipulatedbytheState.Article7ThesecuritiesregulatoryauthorityundertheStateCouncilshallexercisecentralizedandunifiedregulationoverthesecuritiesmarketsnationwidepursuanttolaw.ThesecuritiesregulatoryauthorityundertheStateCouncilmayestablishlocalofficesaccordingtoitsneeds,whichshallperformregulatoryfunctionsasauthorized.Article8SubjecttothecentralizedandunifiedregulationoftheStateovertheissuingandtradingofsecurities,anassociationofthesecuritiesindustryshallbeformedpursuanttolawimplementingself-regulatorygovernance.Article9TheStateauditauthorityshallexerciseauditing