Administrative Measures for Initial Public Offering and Listing of Stocks

Administrative Measures for Initial Public Offering and Listing of StocksContent created to regulate the initial public offering and listing of stocks. The administrative measures for the initial public offering and listing of stocks are administrative measures to protect the legitimate rights and interests of investors and social and public interests. The free version of the Measures for the Administration of Initial Public Offerings and Listings 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.

Contents of the Measures for the Administration of Initial Public Offerings of Stocks and Listing

Article 1 These Measures shall apply to the initial public offering and listing of stocks within the territory of the People's Republic of China.

​​​​​This method does not apply to domestic company stocks subscribed and traded in foreign currencies.

Article 2 The initial public offering and listing of stocks shall comply with the issuance conditions stipulated in the Securities Law, the Company Law and these Measures.

Article 3 The information disclosed by the issuer in accordance with the law must be true, accurate and complete, and must not contain false records, misleading statements or major omissions.

Article 4 Sponsors and their sponsor representatives shall abide by the principles of diligence, honesty and trustworthiness, conscientiously perform their obligations of prudent verification and guidance, and be responsible for the authenticity, accuracy and completeness of the issuance sponsorship letters issued by them.

Article 5 Securities service agencies and personnel who issue relevant documents for securities issuance shall strictly perform their statutory duties in accordance with the recognized business standards and ethics of the industry, and shall be responsible for the authenticity, accuracy and completeness of the documents they issue.

Article 6 The approval of the issuer's initial public offering by the China Securities Regulatory Commission (hereinafter referred to as the China Securities Regulatory Commission) does not indicate that it has made a substantive judgment or guarantee on the investment value of the stock or the income of investors. After stocks are issued in accordance with the law, investors are solely responsible for investment risks caused by changes in the issuer's operations and earnings.

Things to note in the Administrative Measures for Initial Public Offering and Listing of Stocks

The issuer shall not have the following circumstances:

(1) In the past 36 months, securities have been issued publicly or in disguised form without the approval of statutory authorities; or the relevant illegal acts are still continuing even though they occurred 36 months ago.

(2) Violation of industry and commerce, taxation, land, environmental protection, customs and other laws and administrative regulations within the last 36 months, and subject to administrative penalties, and the circumstances are serious

(3) An issuance application has been submitted to the China Securities Regulatory Commission within the last 36 months, but the submitted issuance application documents contain false records, misleading statements or major omissions; or the issuance conditions are not met and the issuance approval is obtained by deceptive means; or the issuance approval is obtained by illegal means; Interfering with the review work of the China Securities Regulatory Commission and its Issuance Review Committee by legitimate means; or forging or altering the signatures and seals of the issuer or its directors, supervisors, and senior managers

(4) The issuance application documents submitted this time contain false records, misleading statements or major omissions

(5) Suspected crimes have been investigated by judicial authorities, but no clear conclusion has been reached

(6) Other situations that seriously damage the legitimate rights and interests of investors and social and public interests

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