【中英文对照版】深圳证券交易所股票发行上市审核规则(2024年修订).docx

《【中英文对照版】深圳证券交易所股票发行上市审核规则(2024年修订).docx》由会员分享，可在线阅读，更多相关《【中英文对照版】深圳证券交易所股票发行上市审核规则(2024年修订).docx（59页珍藏版）》请在优知文库上搜索。

1、深圳证券交易所关于发布深圳证券交易所股票发行上市审核规则（2024年修订）的通知(深证上(2024)341号)各市场参与人:为深入贯彻落实中央金融工作会议精神和国务院关于加强监管防范风险推动资本市场高质量发展的若干意见，进一步规范股票发行上市审核工作，保护投资者合法权益，本所对深圳证券交易所股票发行上市审核规则进行了修深圳证券交易所股票发行上市审核规则(2024年修订)NoticebytheShenz1.ienStockExchangeofIssuingtheRu1.esGoverningtheExaminationofOfTeringsand1.istingofStocksontheShen

2、zhenStockExchange(2024Revision)制定机关：深圳证券之务所发文字号：深证上(2024)341号公布日期：2024.04.30施行日期：2024.04.30效力0阶：行业规定法规类别：证券史夯所与业务管足股宗IssuingAuthorityShcnzhcnStockExchangeDocumentNumberNo.34)2024OfIheShenzhenStockExchangeDateIssued：(M-30-2024EffectiveDa1.e：04-30-20241.eve1.ofAuthorityIndustryRegu1.ationsAreao11-awSt

3、ockExchangesandBusinessManagementStocksNoticebytheShenzhenStockExchangeofIssuingtheRu1.esGoverningtheExaminationofOfferingsand1.istingofStocksontheShenzhenStockExchange(2024Revision)(No.3412024oftheShenzhenStockExchange)A1.1.marketparticipants:Forthepurposesofthorough1.yimp1.ementingtheguide1.inesof

4、theCentra1.Financia1.WorkConferenceandtheSevera1.OpinionsoftheStateCounci1.onStrengtheningRegu1.ation,PreventingRisks,andPromotingtheHigh-qua1.ityDeve1.opmentoftheCapita1.Market,furtherregu1.atingtheexaminationofofferingsand1.istingofstocks,andprotectinginvestors1.awfu1.rightsandinterests,theShenzhe

5、nStockExchangehasrevisedtheRu1.esGoverningtheExaminationofOfferingsand1.istingofStocksontheShenzhenStockExchange,whichhavebeenapprovedbytheChinaSecuritiesRegu1.atoryCommission,eintoforceonthedateofissuance.订。经中国证监会批准，现予以发布，并自发布之日起施行。TheRu1.esGoverningtheExaminationoftheOfferingsand1.istingofStockson

6、theShenzhenStockExchange(No.942023,SZSE)issuedbytheShenzhenStockExchangeonFebruary17,2023sha1.1.berepea1.edconcurrent1.y.本所于2023年2月17日发布的深圳证券交易所股票发行上市审核规则（深证上（2023）94号）同时废止。Annexes:附件:1.Ru1.esGoverningtheExaminationofOfferingsand1.istingofStocksontheShenzhenStockExchange(2024Revision)1,深圳证券交易所股票发行上市

7、审核规则（2024年修订）2.Exp1.anationofRevisingtheRu1.esGoverningtheExaminationofOfferingsand1.istingofStocksontheShenzhenStockExchange2.深圳证券交易所股票发行上市审核规则修订说明ShenzhenStockExchange深圳证券交易所Apri1.30,20242024年4月30日Annex1附件1Ru1.esGoverningtheExaminationofOfferingsand1.istingofStocksontheShenzhenStockExchange(2024Re

8、vision)深圳证券交易所股票发行上市审核规则（2024年修订）ChapterIGenera1.Provisions笫一章总则Artic1.e1TheseRu1.esaredeve1.opedin笫一条为了规范深圳证券交易所（以下简称本所）股票发行上市审核工作，保护投资者合法权益，根据中华人民共和国证券法中华人民共和国公司法国务院办公厅关于贯彻实施修订后的证券法有关工作的通知国务院办公厅转发证监会关于开展创新企业境内发行股票或存托凭证试点若干意见的通知（以下简称若干意见）、首次公开发行股票注册管理办法（以下简称注册办法）等相关法律、行政法规、部门规章和规范性文件（以下统称法律法规），制定本规

9、则。笫二条发行人申请首次公开发行股票并在本所上市（以下简称股票首次发行上市）的审核，适用本规则。符合若干意见及中国证券监督管理委员会（以下简称中国证监会）和本所相关规定的红筹企业，申请发行股票或者存托凭证并在本所上市的审核，适用本规则。笫三条发行人申请首次公开发行股票并上市，应当符合相关板块定位。主板突出“大盘蓝筹”特色，重点支持业务模式成熟、经营accordancewiththeSecurities1.awofthePeop1.esRepub1.icofChina,theCompany1.awofthePeop1.esRepub1.icofChina,theNoticebytheGenera

10、1.OfficeoftheStateCounci1.oftheWorkconcerningtheImp1.ementationoftheRevisedSecurities1.aw,theNoticebytheGenera1.OfficeoftheStateCounci1.ofForwardingSevera1.OpinionsoftheChinaSecuritiesRegu1.atoryCommissionon1.aunchingthePi1.otProgramforInnovativeEnterprisestoOfferStocksorDepositaryReceiptswithinChin

11、a(Severa1.Opinions),theMeasuresfortheAdministrationoftheRegistrationofInitia1.Pub1.icOfferingsofStocks(RegistrationMeasures),andotherre1.evant1.aws,administrativeregu1.ations,departmenta1.ru1.es,andregu1.atorydocuments(hereinafterco1.1.ective1.yreferredtoas1.awsandregu1.ations)forthepurposesofregu1.

12、atingtheexaminationofofferingsand1.istingofstocksontheShenzhenStockExchange(uSZSE)andprotectinginvestors1.awfu1.rightsandinterests.Artic1.e2TheseRu1.essha1.1.app1.ytotheexaminationofissuersapp1.icationsfortheinitia1.pub1.icofferingsand1.istingofstocksontheSZSE(IPOand1.istingofstocks).TheseRu1.essha1

13、.1.app1.ytotheexaminationofapp1.icationsforofferingstocksordepositaryreceiptsand1.istingthemontheSZSEfi1.edbyredchipenterprisesthatcomp1.ywiththeSevera1.Opinionsandthere1.evantru1.esoftheChinaSecuritiesRegu1.atoryCommission(CSRCb)andtheSZSE.Artic1.e3Anissuersapp1.icationfortheIPOand1.istingofitsstoc

14、ksha1.1.bein1.inewiththepositioningofthere1.evantboard.Themainboardisrepresentedby1.arge-capb1.uechipsandprioritizes1.arge-sca1.eandindustria1.1.yrepresentativehigh-qua1.ityenterpriseswithmaturebusinessmode1.sandstab1.eperformance.业绩稳定、规模较大、具有行业代表性的优质企业。ChiNextsha1.1.furtherimp1.ementtheinnovation-d

15、rivendeve1.opmentstrategyandadapttothegenera1.trendofdeve1.opmentre1.yingmoreoninnovation,creation,andcreativity,main1.yservegrowinginnovativeandentrepreneurshipenterprises,andsupportthein-depthintegrationoftraditiona1.industrieswithnewtechno1.ogies,newindustries,newbusinesstypes,andnewmode1.s.创业板深入宽彻创新驱动发展战略，适应发展更多依靠创新、创造、创意的大趋势，主要服务成长型创新创业企业，支持传统产业与新技术、新产业、新业态、新模式深度融合。Artic1.e4Anissuerthatapp1.iesfortheIPOand1.istingofitsstocksha1.1.submitofferingand1.istingapp1.icationdocumentstotheSZSE.笫四条发行人申请股票首次发行上市，应当向本所提交发行