上(shang)證發〔2023〕152號
各市場參與人:
為規范證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)與(yu)承(cheng)(cheng)銷(xiao)(xiao)(xiao)相(xiang)關自(zi)律監管(guan)(guan)(guan)工作,提升監管(guan)(guan)(guan)透明度,維(wei)護(hu)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)承(cheng)(cheng)銷(xiao)(xiao)(xiao)市場(chang)秩(zhi)序,保護(hu)投資者(zhe)合法(fa)權益,根據(ju)《上海(hai)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)交(jiao)易所首次公(gong)開發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)與(yu)承(cheng)(cheng)銷(xiao)(xiao)(xiao)業(ye)(ye)務(wu)實施細(xi)則(ze)(ze)》《上海(hai)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)交(jiao)易所上市公(gong)司證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)與(yu)承(cheng)(cheng)銷(xiao)(xiao)(xiao)業(ye)(ye)務(wu)實施細(xi)則(ze)(ze)》《上海(hai)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)交(jiao)易所紀律處分(fen)和監管(guan)(guan)(guan)措(cuo)施實施辦(ban)法(fa)》等相(xiang)關規則(ze)(ze),上海(hai)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)交(jiao)易所制定了(le)《上海(hai)證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)交(jiao)易所證(zheng)(zheng)(zheng)(zheng)(zheng)券(quan)(quan)發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)與(yu)承(cheng)(cheng)銷(xiao)(xiao)(xiao)規則(ze)(ze)適用指引第2號——發(fa)(fa)(fa)(fa)行(xing)(xing)(xing)承(cheng)(cheng)銷(xiao)(xiao)(xiao)違規行(xing)(xing)(xing)為監管(guan)(guan)(guan)(試(shi)行(xing)(xing)(xing))》(詳見附(fu)件)。現(xian)予以發(fa)(fa)(fa)(fa)布,并自(zi)發(fa)(fa)(fa)(fa)布之(zhi)日起施行(xing)(xing)(xing)。
特此通知。
附件:
1.上海證券交易所證券發行與承銷規則適用指引第2號——發行承銷違規行為監管(試行)
2.《上海證券交易所證券發行與承銷規則適用指引第2號——發行承銷違規行為監管(試行)》起草說明
上海證券交易所
2023年9月28日