Measures for the Administration of Securities Issuance and Underwriting

Measures for the Administration of Securities Issuance and UnderwritingIt is content produced to standardize securities issuance and underwriting activities and protect the legitimate rights and interests of investors. The free version of the Securities Issuance and Underwriting Management Measures is provided by Huajun Software Park for free download. The source file is in docx format, which is convenient for users to edit by themselves. For more information on securities issuance and underwriting management methods, please pay attention to Huajun Software Park for free downloads.

Contents of the Measures for the Administration of Securities Issuance and Underwriting

(1) Exaggerated publicity, or using false advertising or other improper means to induce or mislead investors

(2) Soliciting underwriting business through unfair competition means

(3) Engaging in conduct prohibited by Article 16 of these Measures

(4) Allotment of stocks to offline investors who do not comply with the provisions of Article 8 of these Measures, or allotment of stocks to objects prohibited from allotment under Article 15 of these Measures

(5) Failure to disclose relevant documents as required by these Measures

(6) Failure to allocate stocks in accordance with the principles and methods disclosed in advance, or other actions that are not carried out in accordance with the disclosure documents

(7) Provide investors with other information about the issuer other than public information such as prospectus

(8) Failure to retain relevant information in the underwriting process such as promotion, pricing, and placement in accordance with the requirements of these Measures

(9) Other violations of securities underwriting business regulations

Notes on the Measures for the Administration of Securities Issuance and Underwriting

During the issuance process, the issuer and the lead underwriter shall prepare information disclosure documents in accordance with the requirements stipulated by the China Securities Regulatory Commission and fulfill their information disclosure obligations. The information disclosed by the issuer and underwriters during the issuance process must be true, accurate, complete and timely, and shall not contain false records, misleading statements or major omissions.

After the initial public offering application documents are accepted and before the issuer's issuance application is approved by the China Securities Regulatory Commission and the prospectus is published in accordance with the law, the issuer and the parties related to this issuance shall not conduct any public or disguised public methods related to the stock issuance. Promotion activities shall not be carried out through other interested parties or by entrusting others to conduct related activities.

After the initial public offering prospectus is published, the issuer and the lead underwriter can promote and inquire to offline investors, and promote it to public investors through the Internet and other means.

When the issuer and lead underwriter make a promotion to public investors, the content and completeness of the issuer information provided to public investors should be consistent with the information provided to offline investors.

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