证券管理机构

以国际证券管理机构发布的两次建议报告为重点，阐述了当前为有效规制网上证券欺诈所作的国际努力。

This part , based on the two advice report published by the international securities regulatory organ , has introduced the international effort of regulating effectively on-line securities fraud .

我国证券管理机构在上市公司中推行独立董事制度的意向，忽略了不同国家的法律文化、法律传统等方面的制度差异，也缺乏相应的配套制度。

During the process of the introduction of independent director into the listed companies , Securities Regulatory Authority of China neglected the difference on legal culture and tradition and overlooked the corresponding necessary institution .

（四）经国务院证券监督管理机构核定的其他证券业务。

Other securities businesses approved by the State Council securities regulatory body .

第十章证券监督管理机构

Chapter X. The Securities Regulatory Body

（五）国务院证券监督管理机构规定的其他事项。

And ( 5 ) Other matters stipulated by the securities regulatory body under the State Council .

未经国务院证券监督管理机构批准，不得经营证券业务。

Without the approval of this institution , no one is allowed to engage in securities business .

证券监督管理机构工作人员进行内幕交易的，从重处罚。

Workers of securities regulatory bodies who engage in inside trading are to be given heavy punishment .

情节严重的，由证券监督管理机构撤销原核定的证券业务。

If the case is serious , a security regulatory body shall retract the licensing of its business .

（五）证券监督管理机构工作人员以及由于法定的职责对证券交易进行管理的其他人员；

Personnel working for securities regulatory organs , and other personnel who , because of their official responsibilities , supervise securities exchanges ;

第一百七十四条国务院证券监督管理机构的工作人员不得在被监管的机构中兼任职务。

Article 174 Personnel of the securities regulatory body under the State Council shall not concurrently occupy posts in organizations under their supervision and administration .

第十五条国务院证券监督管理机构依照法定条件负责核准股票发行申请。

Article 15 . The securities regulatory body under the State Council shall be responsible for approving stock issue applications in accordance with the law .

依法维护会员的合法权益，向证券监督管理机构反映会员的建议和要求；

Protect the members'legal rights and interests according to law and provide feedback to the securities supervision and administration organization on the members'suggestions and requests ;

国务院授权的部门或者国务院证券监督管理机构规定的其他文件。

Any other document as prescribed by the department as authorized by the State Council or by the securities regulatory authority under the State Council .

第五十条公司申请其发行的公司债券上市交易，必须报经国务院证券监督管理机构核准。

Article 50 . The application filed by a company for listing its bonds must be approved by the securities regulatory body under the State Council .

（八）国务院证券监督管理机构认定的对证券交易价格有显著影响的其他重要信息。

And ( 8 ) Other information which the securities regulatory body of the State Council identifies as having conspicuous effects on the prices of securities trading .

审核中发现问题的，国务院证券监督管理机构应当及时采取相应措施。

If issues are found in the examination and verification , the securities regulatory agency under the State Council shall take corresponding measures in a timely manner .

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。

The securities regulatory authorities under the State Council shall , in accordance with law , implement centralized and unified regulation and supervision of the securities market nationwide .

上市公司发行可转换为股票的公司债券，应当报国务院证券监督管理机构核准。

To issue corporate bonds that may be converted into stocks , the listed company shall file an application with the securities regulatory institution for examination and approval .

股东有过错的，在按照要求改正前，国务院证券监督管理机构可以限制其股东权利；

Where a shareholder has any fault , the securities regulatory authority under the State Council may restrict his shareholders'right before he makes correction according to the relevant requirements .

法律、行政法规规定的和经国务院批准的国务院证券监督管理机构规定的其他条件。

Such other conditions as may be so stipulated by laws or administrative regulations or by the securities regulatory authority under the State Council and so approved by the State Council .

第一百七十二条国务院证券监督管理机构依法制定的规章、规则和监督管理工作制度应当公开。

Article 172 . ' The securities regulatory body under the State Council shall publish its rules and regulations , and its supervision and administration work system formulated according to law .

国务院证券监督管理机构可以授权证券交易所依照法定条件和法定程序核准公司债券上市申请。

The securities regulatory body under the State Council can authorize the stock exchanges to approve a company 's application for listing its bonds in accordance with legal conditions and legal procedures .

第十四条国务院证券监督管理机构设发行审核委员会，依法审核股票发行申请。

Article 14 . The securities regulatory body under the State Council shall establish an issuance examination committee that will examine and approve , according to law , the applications for share issuance .

发现异常情况的，应当及时按照交易规则和会员管理规则处理，并向国务院证券监督管理机构报告。

It shall make disposals according to trading rules and member management rules in a timely manner when it finds any abnormality , and report to the securities regulatory agency under the state council .

第五十七条国务院证券监督管理机构可以授权证券交易所依法暂停或者终止股票或者公司债券上市。

Article 57 . The securities regulatory body under the State Council can authorize the stock exchanges to suspend or terminate the listing of a company 's stocks or bonds in accordance with the law .

第十一条公开发行股票，必须依照公司法规定的条件，报经国务院证券监督管理机构核准。

Article 11 . Before publicly issuing shares , one must abide by the provisions of the Company Law , and report to and attain prior approval from the securities regulatory body under the State Council .

第一百六十六条国务院证券监督管理机构依法对证券市场实行监督管理，维护证券市场秩序，保障其合法运行。

Article 166 . The State Council 's securities regulatory body shall supervise and administer the securities market according to law , maintain order in the market , and ensure the market operates in a lawful manner .

第九十三条收购上市公司的行为结束后，收购人应当在十五日内将收购情况报告国务院证券监督管理机构和证券交易所，并予公告。

Article 93 . After purchase of the listed company has been completed , the purchaser shall report the purchase to the securities regulatory body of the State Council and the stock exchange , and make a public announcement .

证券监督管理机构、证券交易所、承销的证券公司及有关人员，对公司依照法律、行政法规规定必须作出的公告，在公告前不得泄露其内容。

Securities regulatory bodies , securities exchanges , and underwriting securities companies and their personnel shall not prematurely leak out the contents of the public announcements which these companies are required to announce by the law and administrative regulations .

发行人必须向国务院证券监督管理机构提交公司法规定的申请文件和国务院证券监督管理机构规定的有关文件。

Issuer must submit to the securities regulatory body under the State Council , application documents as required by relevant provisions of the Company Law and other relevant documents as stipulated by the securities regulatory body under the State Council .