中华人民共和国证券法(2014修正)英汉对照

SecuritiesLawofthePeople'sRepublicofChina(2014Amendment)[Effective]中华人民共和国证券法(2014修正)[现行有效]Issuingauthority：StandingCommitteeoftheNationalPeople'sCongressDocumentNumber：OrderNo.14ofthePresidentofthePeople'sRepublicofChinaDateissued：08-31-2014LevelofAuthority：LawsAreaoflaw：Securities,SecuritiesComments：DecisionoftheStateCouncilonCancelingorAdjustingaGroupofAdministrativeApprovalItemsandOtherMatters(No.50[2014]oftheStateCouncil)SecuritiesLawofthePeople'sRepublicofChina中华人民共和国证券法(AdoptedattheSixthSessionoftheStandingCommitteeoftheNinthNationalPeople'sCongressonDecember29,1998;amendedforthefirsttimeaccordingtotheDecisiononAmendingtheSecuritiesLawofthePeople'sRepublicofChinaasadoptedatthe11thSessionoftheStandingCommitteeoftheTenthPeople'sCongressonAugust28,2004;revisedatthe18thSessionoftheStandingCommitteeoftheTenthNationalPeople'sCongressofthePeople'sRepublicofChinaonOctober27,2005;amendedforthesecondtimeinaccordancewiththeDecisionoftheStandingCommitteeoftheNationalPeople'sCongressonAmendingtheCulturalRelicsProtectionLawofthePeople'sRepublicofChinaandOtherElevenLawsasadoptedattheThirdSessionoftheStandingCommitteeoftheTwelfthNationalPeople'sCongressonJune29,2013;andamendedforthethirdtimeinaccordancewiththeDecisionoftheStandingCommitteeoftheNationalPeople'sCongressonAmendingFiveLawsIncludingtheInsuranceLawofthePeople'sRepublicofChinaasadoptedattheTenthSessionoftheStandingCommitteeoftheTwelfthNationalPeople'sCongressonAugust31,2014)（1998年12月29日第九届全国人民代表大会常务委员会第六次会议通过根据2004年8月28日第十届全国人民代表大会常务委员会第十一次会议《关于修改〈中华人民共和国证券法〉的决定》第一次修正2005年10月27日第十届全国人民代表大会常务委员会第十八次会议修订根据2013年6月29日第十二届全国人民代表大会常务委员会第三次会议《关于修改〈中华人民共和国文物保护法〉等十二部法律的决定》第二次修正根据2014年8月31日第十二届全国人民代表大会常务委员会第十次会议《关于修改〈中华人民共和国保险法〉等五部法律的决定》第三次修正）TableofContents目录ChapterIGeneralProvisions第一章总则ChapterIIIssuanceofSecurities第二章证券发行ChapterIIITradingofSecurities第三章证券交易SectionIGeneralProvisions第一节一般规定SectionIIListingofSecurities第二节证券上市SectionIIIOn-goingDisclosureofInformation第三节持续信息公开SectionIVProhibitedTradingActs第四节禁止的交易行为ChapterIVAcquisitionofListedCompanies第四章上市公司的收购ChapterVStockExchanges第五章证券交易所ChapterVISecuritiesCompanies第六章证券公司ChapterVIISecuritiesRegistrationandClearingInstitutions第七章证券登记结算机构ChapterVIIISecuritiesTradingServiceInstitutions第八章证券服务机构ChapterIXSecuritiesIndustrialAssociations第九章证券业协会ChapterXSecurityRegulatoryBodies第十章证券监督管理机构ChapterXILegalLiabilities第十一章法律责任ChapterXIISupplementaryProvisions第十二章附则ChapterIGeneralProvisions第一章总则Article1ThepresentLawisformulatedinordertostandardizetheissuanceandtradingofsecurities,protectthelegitimaterightsandinterestsofinvestors,safeguardtheeconomicorderandpublicinterestsofthesocietyandpromotethedevelopmentofthesocialistmarketeconomy.第一条为了规范证券发行和交易行为，保护投资者的合法权益，维护社会经济秩序和社会公共利益，促进社会主义市场经济的发展，制定本法。Article2ThepresentLawshallapplytotheissuanceandtradingofstocks,corporatebondsaswellasanyothersecuritiesaslawfullyrecognizedbytheStateCouncilwithintheterritoryofthePeople'sRepublicofChina.WherethereisnosuchprovisioninthepresentLaw,theprovisionsoftheCorporationLawofthePeople'sRepublicofChinaandotherrelevantlawsandadministrativeregulationsshallapply.第二条在中华人民共和国境内，股票、公司债券和国务院依法认定的其他证券的发行和交易，适用本法；本法未规定的，适用《中华人民共和国公司法》和其他法律、行政法规的规定。AnylistedtradingofgovernmentbondsandshareofsecuritiesinvestmentfundsshallbegovernedbythepresentLaw.IncasethereisanyspecialprovisioninanyotherlaworadministrativeRegulation,suchspecialprovisionshallprevail.政府债券、证券投资基金份额的上市交易，适用本法；其他法律、行政法规另有规定的，适用其规定。ThemeasuresfortheadministrationofissuanceandtradingofsecuritiesderivativesshallbeprescribedbytheStateCouncilaccordingtotheprinciplesofthePresentLaw.证券衍生品种发行、交易的管理办法，由国务院依照本法的原则规定。Article3Theissuanceandtradingofsecuritiesshallbecarriedoutaccordingtotheprinciplesofopenness,fairnessandimpartiality.第三条证券的发行、交易活动，必须实行公开、公平、公正的原则。Article4Thepartiesinvolvedinanyissuanceortransactionofsecuritiesshallhaveequallegalstatusandshallupholdtheprinciplesoffreewill,compensation,anduprightnessandcreditworthiness.第四条证券发行、交易活动的当事人具有平等的法律地位，应当遵守自愿、有偿、诚实信用的原则。Article5Theissuanceandtradingofsecuritiesshallabidebylawsandadministrativeregulations.Anyfraud,insidertradingormanipulationofthesecuritiesmarketshallbeprohibited.第五条证券的发行、交易活动，必须遵守法律、行政法规；禁止欺诈、内幕交易和操纵证券市场的行为。Article6Thedividedoperationandmanagementshallbeappliedtotheindustriesofsecurities,banking,trustandinsurance.Thesecuritiescompaniesandthebusinessorgansofbanks,trust,andinsuranceshallbeseparatelyestablished,unlessitisotherwiseprovidedforbythestate.第六条证券业和银行业、信托业、保险业实行分业经营、分业管理，证券公司与银行、信托、保险业务机构分别设立。国家另有规定的除外。Article7ThesecuritiesregulatoryauthorityundertheStateCouncilshallcarryoutcentralizedandunifiedsupervisionandadministrationofthenationalsecuritiesmarket.第七条国务院证券监督管理机构依法对全国证券市场实行集中统一监督管理。ThesecuritiesregulatoryauthorityundertheStateCouncilmay,accordingtotherelevantrequirements,establishdispatchedoffices,whichshallperformtheirdutiesandfunctionsofsupervisionandadministrationaccordingtotheirauthorization.国务院证券监督管理机构根据需要可以设立派出机构，按照授权履行监督管理职责。Article8Underthecentralizedandunifiedsupervisionandadministrationofthestateregardingtheissuancea