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| Order of the China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
(No. 89) | |
（第89号） |
The Interim Measures for the Administration of National Equities Exchange and Quotations Co., Ltd., as adopted at the 27th chairman's executive meeting of the China Securities Regulatory Commission on January 18, 2013, are hereby issued and shall come into force on the date of issuance. | |
《全国中小企业股份转让系统有限责任公司管理暂行办法》已经2013年1月18日中国证券监督管理委员会第27次主席办公会审议通过，现予公布，自公布之日起施行。 |
Chairman of the China Securities Regulatory Commission: Guo Shuqing | |
中国证券监督管理委员会主席：郭树清 |
January 31, 2013 | |
2013年1月31日 |
Interim Measures for the Administration of National Equities Exchange and Quotations Co., Ltd. | |
全国中小企业股份转让系统有限责任公司管理暂行办法 |
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| Chapter I General Provisions | | 第一章 总 则 |
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| Article 1 To strengthen the administration of National Equities Exchange and Quotations Co., Ltd. (hereinafter referred to as “NEEQ Co.”), define the functions and responsibilities of NEEQ Co., and maintain the normal order of stock quotation and transfer and related activities, these Measures are formulated in accordance with the Company Law, the Securities Law, and other laws and administrative regulations. | | 第一条 为加强对全国中小企业股份转让系统有限责任公司（以下简称全国股份转让系统公司）的管理，明确其职权与责任，维护股票挂牌转让及相关活动的正常秩序，根据《公司法》、《证券法》等法律、行政法规，制定本办法。 |
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| Article 2 The National Equities Exchange and Quotations (hereinafter referred to as “NEEQ”) is a national securities trading venue established with the approval of the State Council. | | 第二条 全国中小企业股份转让系统（以下简称全国股份转让系统）是经国务院批准设立的全国性证券交易场所。 |
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| Article 3 A company with its stock quoted on NEEQ (hereinafter referred to as a “quoted company”) shall be a non-listed public company whose number of shareholders may exceed 200, subject to the uniform supervision and administration of the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”). | | 第三条 股票在全国股份转让系统挂牌的公司（以下简称挂牌公司）为非上市公众公司，股东人数可以超过200人，接受中国证券监督管理委员会（以下简称中国证监会）的统一监督管理。 |
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| Article 4 NEEQ Co., which implements self-regulation, shall be responsible for organizing and overseeing the stock transfer and related activities of quoted companies. | | 第四条 全国股份转让系统公司负责组织和监督挂牌公司的股票转让及相关活动，实行自律管理。 |
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| Article 5 NEEQ Co. shall, under the principle of putting public interest first, maintain an open, fair and just market environment, ensure the normal operation of NEEQ, and provide all NEEQ participants with quality and efficient financial services at low cost. | | 第五条 全国股份转让系统公司应当坚持公益优先的原则，维护公开、公平、公正的市场环境，保证全国股份转让系统的正常运行，为全国股份转让系统各参与人提供优质、高效、低成本的金融服务。 |
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| Article 6 The stock quotation and transfer and related activities on NEEQ must comply with laws and administrative regulations and rules, and fraud, insider trading, market manipulation, and other violations of laws and regulations shall be prohibited. | | 第六条 全国股份转让系统的股票挂牌转让及相关活动，必须遵守法律、行政法规和各项规章规定，禁止欺诈、内幕交易、操纵市场等违法违规行为。 |
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| Article 7 The CSRC shall, in accordance with law, implement uniform supervision and administration of NEEQ Co., all business activities of NEEQ and all NEEQ participants, maintain the orderly operation of NEEQ, and investigate and punish violations of laws and regulations. | | 第七条 中国证监会依法对全国股份转让系统公司、全国股份转让系统的各项业务活动及各参与人实行统一监督管理，维护全国股份转让系统运行秩序，依法查处违法违规行为。 |
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| Chapter II Functions of NEEQ Co. | | 第二章 全国股份转让系统公司的职能 |
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| Article 8 The functions of NEEQ Co. include: | | 第八条 全国股份转让系统公司的职能包括： |
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| (1)creating, maintaining and improving the technical systems and facilities related to stock transfer; | | （一）建立、维护和完善股票转让相关技术系统和设施； |
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| (2)developing and amending the business rules of NEEQ; | | （二）制定和修改全国股份转让系统业务规则； |
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| (3)accepting and examining stock quotation and other business applications and arranging stock quotation of qualified companies; | | （三）接受并审查股票挂牌及其他相关业务申请，安排符合条件的公司股票挂牌； |
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| (4)organizing and overseeing stock transfer and related activities; | | （四）组织、监督股票转让及相关活动； |
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| (5)regulating qualified broker-dealers and other NEEQ participants; | | （五）对主办券商等全国股份转让系统参与人进行监管； |
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| (6)regulating quoted companies and other parties with information disclosure obligations; | | （六）对挂牌公司及其他信息披露义务人进行监管； |
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| (7)managing and publishing information on NEEQ; and | | （七）管理和公布全国股份转让系统相关信息； |
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| (8)other functions approved by the CSRC. | | （八）中国证监会批准的其他职能。 |
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| Article 9 NEEQ Co. shall, in accordance with law, develop basic business rules covering stock quotation, stock transfer, management of qualified broker-dealers, management of quoted companies, and investor eligibility management, among others. | | 第九条 全国股份转让系统公司应当就股票挂牌、股票转让、主办券商管理、挂牌公司管理、投资者适当性管理等依法制定基本业务规则。 |
The basic business rules developed and amended by NEEQ Co. shall be subject to the approval of the CSRC. Other business rules developed and amended by NEEQ Co. shall be submitted to the CSRC for recordation. | |
全国股份转让系统公司制定与修改基本业务规则，应当经中国证监会批准。制定与修改其他业务规则，应当报中国证监会备案。 |
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| Article 10 New types of securities quoted or new transfer manners adopted on NEEQ shall be subject to the approval of the CSRC. | | 第十条 全国股份转让系统挂牌新的证券品种或采用新的转让方式，应当报中国证监会批准。 |
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Article 11 NEEQ Co. shall provide safeguards for organizing fair stock transfer and publish real-time stock transfer data. Without the permission of NEEQ Co., no entity or individual may publish, use or disseminate real-time stock transfer data.
．．．．．． | | 第十一条 全国股份转让系统公司应当为组织公平的股票转让提供保障，公布股票转让即时行情。未经全国股份转让系统公司许可，任何单位和个人不得发布、使用或传播股票转让即时行情。
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