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LIST OF DEPARTMENTAL RULES ABOLISHED BY THE CHINA SECURITIES REGULATORY COMMISSION (FORTH BATCH) Serial Number1 Name of the Departmental Rules: Notice on Approval of the Experimental Futures Exchanges Number of the Documents: No.150 [1994] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: October 10,1994 Serial Number2 Name of the Departmental Rules: Provisions on Participation in Futures Transactions of State-owned Enterprises or Institutions No.179 [1994] of the China Securities Regulatory Commission Number of the Documents: Department of Promulgation: China Securities Regulatory Commission, State Economic and Trade Commission, and the Ministry of Internal Trade Date of Promulgation: December 5, 1994 Serial Number3 Name of the Departmental Rules: Emergency Notice on Strengthening Risk Control on Treasuries and Futures Transaction Number of the Documents: No. 23 [1995] of the China Securities Regulatory Commission Department of Promulgation: China SecuritiesRegulatory Commission Date of Promulgation: February 26,1995 Serial Number4 Name of the Departmental Rules: Emergency Notice on Putting into Effect the Provisions on Deposit for Treasury Bonds and Futures Dealings Number of the Documents: No. 47 [1995] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: March 30, 1995 Serial Number5 Name of the Departmental Rules: Interim Measures for the Administration of the Qualifications of Securities Practitioners Number of the Documents: No.6 [1995] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission of the State Council Date of Promulgation: April 18, 1995 Serial Number6 Name of the Departmental Rules: Notice on Requiring All the Treasury Bonds and Futures Exchanges to Further Strengthening Risk Control Number of the Documents: No. 60 [1995] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: May 15, 1995 Serial Number7 Name of the Departmental Rules: Notice on Cleaning up B-Share Accounts Number of the Documents: No. 76 [1996] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: June 28, 1996 Serial Number8 Name of the Departmental Rules: Notice on Issues Concerning Strict Administration of the Opening of B-Share Accounts Number of the Documents: No. 2 [1996] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: September 20, 1996 Serial Number9 Name of the Departmental Rules: Notice on Relevant Issues concerning Regulating the Acceptance of Capital Contribution by Futures Brokerage Companies Number of the Documents: No. 16 [1996] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: December 23, 1996 Serial Number10 Name of the Departmental Rules: Notice on Resolutely Putting Down Activities of Illegally Collecting Money in the Name of Futures Transaction Number of the Documents: No.41 [1997] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: November 12, 1997 Serial Number11 Name of the Departmental Rules: Notice on Strengthening Supervision over and Inspection on Issuance of Securities Investment Funds Number of the Documents: No. 10 [1998] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: April 21,1998 Serial Number12 Name of the Departmental Rules: Notice of the China Securities Regulatory Commission on Relevant Issues Concerning the Implementation of the "Accounting System of Joint Stock Companies" Number of the Documents: No. 4 [1998] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: May 20, 1998 Serial Number13 Name of the Departmental Rules: Notice on Further Strengthening Financial Supervision over the Futures Brokerage Institutions Number of the Documents: No. 17 [1998] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: September 2, 1998 Serial Number14 Name of the Departmental Rules: Notice on Doing A Good Job in Canceling the Member Futures Brokerage Business of Non-Futures Brokerage Companies Number of the Documents: No.20 [1998] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: September 18, 1998 Serial Number15 Name of the Departmental Rules: Notice on Doing A Good Job in the Qualifications Administration of B-Shares of Securities Management Institutions Number of the Documents: No. 39 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: June 7, 1999 Serial Number16 Name of the Departmental Rules: Notice on Making Inspection on Capitals Actually Contributed by Substantial Shareholders of Listed Companies Number of the Documents: No. 8 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: June 14, 1999 Serial Number17 Name of the Departmental Rules: Notice on Relevant Issues Concerning the Application for the Qualification of Practitioners Engaging in Securities Investment Consultation Number of the Documents: No. 49[1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: July 1, 1999 Serial Number18 Name of the Departmental Rules: Measures for the Administration of Futures Exchanges Number of the Documents: No. 43 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: August 31, 1999 Serial Number19 Name of the Departmental Rules: Measures for the Administration of Futures Brokerage Companies Number of the Documents: No. 43 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: August 31, 1999 Serial Number20 Name of the Departmental Rules: Measures for the Administration of the Qualifications for Holding Senior Positions in Futures Brokerage Companies Number of the Documents: No. 43 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: August 31, 1999 Serial Number21 Name of the Departmental Rules: Measures for the Administration of Qualifications of Practitioner in Futures Transactions Number of the Documents: No. 43 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: August 31, 1999 Serial Number22 Name of the Departmental Rules: Notice on Relevant Matters Concerning the Implementation of the "Interim Regulations on the Administration of Futures Transaction" and the Supporting Measures Thereof Number of the Documents: No.12 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: October 10, 1999 Serial Number23 Name of the Departmental Rules: Notice on Relevant Issues Concerning Application for Overseas Futures Business Number of the Documents: No.14 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission, State Economic and Trade Commission, State Administration for Industry and Commerce, State Administration of Foreign Exchange Date of Promulgation: October 15, 1999 Serial Number24 Name of the Departmental Rules: Guidelines Regarding the Contents and Format of Yearly Reports of Securities Companies Number of the Documents: No. 61 [1999] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: November 19, 1999 Serial Number25 Name of the Departmental Rules: Notice on Relevant Issues Concerning the Increase of Registered Capital of Futures Brokerage Companies Number of the Documents: No.3 [2003] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission, State Administration for Industry and Commerce Date of Promulgation: January 24, 2000 Serial Number26 Name of the Departmental Rules: Notice on Relevant Issues Concerning the Report of Schemes for Cleaning up and Regulating Long-Distance Securities Transaction Network Offices Number of the Documents: No. 32 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: February 24, 2000 Serial Number27 Name of the Departmental Rules: System of Statistical Report Form for Securities Companies (for Trial Implementation) Number of the Documents: No.3 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: February 28, 2000 Serial Number28 Name of the Departmental Rules: Notice on the Work for the Preliminary Examination on Scheme for Returning the Embezzled Customers' Transaction Settlement Capital Number of the Documents: No.44 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: March 10, 2000 Serial Number29 Name of the Departmental Rules: Notice on Relevant Issues Concerning Reporting and Sending Business Documents of Securities Companies Number of the Documents: No.47 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: March 14, 2000 Serial Number30 Name of the Departmental Rules: Notice on Relevant Issues Concerning the Overseas Stock Issuance and Listing of Overseas Company with Rights and Interests within China Number of the Documents: No.72 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: June 9, 2000 Serial Number31 Name of the Departmental Rules: Rule No.3 Regarding the Contents and Format of Information Disclosure in Public Issuance of Securities by Companies: Contents and Format of the Mid-term Report (Revised in 2000) Number of the Documents: No.68 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: June 15, 2000 Serial Number32 Name of the Departmental Rules: Notice on Relevant Issues concerning Alteration of Classes of Non-circulating Shares of Listed Companies Number of the Documents: No.14 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: August 16, 2000 Serial Number33 Name of the Departmental Rules: Rule No.1 for the Compiling of Information Disclosure in Public Issuance of Securities by Companies: Special Provisions on Contents and Format of Prospectus of Commercial Banks Number of the Documents: No.76 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: November 2, 2000 Serial Number34 Name of the Departmental Rules: Rule No. 2 for the Compiling of Information Disclosure in Public Issuance of Securities by Companies: Special Provisions on Remarks of Financial Statement of Commercial Banks Number of the Documents: No.76 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: November 2, 2000 Serial Number35 Name of the Departmental Rules: Notice on the 2000 Annual Inspection on Securities Investment and Consultation Institutions and Their Practitioners Number of the Documents: No. 291[2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: December 18, 2000 Serial Number36 Name of the Departmental Rules: Rule No. 7 for the Compiling of Information Disclosure in Public Issuance of Securities by Companies: Special Provisions on the Contents and Format of Annual Report of Commercial Banks Number of the Documents: No.80 [2000] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: December 21, 2000 Serial Number37 Name of the Departmental Rules: Notice on Furthering the Work of Opening the B-Share Market to Domestic Residents Number of the Documents: No.32 [2001] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: March 2, 2001 Serial Number38 Name of the Departmental Rules: Rule No. 1 Regarding Contents and Format of Information Disclosure in Public Issuance of Securities by Companies: Prospectus Number of the Documents: No.41 [2001] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: March 15, 2001 Serial Number39 Name of the Departmental Rules: Rule No. 11 Regarding the Contents and Format of Information Disclosure in Public Issuance of Securities by Companies: Prospectus for Issuance of New Shares by Listed Companies Number of the Documents: No.56 [2001] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: April 10, 2001 Serial Number40 Name of the Departmental Rules: Rule No. 13 Regarding the Contents and Format of Information Disclosure in Public Issuance of Securities by Companies: Prospectus of Convertible Bonds Number of the Documents: No.65 [2001] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: April 26, 2001 Serial Number41 Name of the Departmental Rules: Notice on Relevant Issues concerning Disclosure of the Mid-term Report of Listed Companies in 2001 Number of the Documents: No.58 [2001] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: June 28, 2001 Serial Number42 Name of the Departmental Rules: Rule No. 2 Regarding the Contents and Format of Information Disclosure in Public Issuance of Securities by Companies: Contents and Format of Annual Report (Revised in 2001) Number of the Documents: No.153 [2001] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: December 10, 2001 Serial Number43 Name of the Departmental Rules: Notice on Annual Inspection of 2001 on Securities Investment Consultation Institutions and Their Practitioners Number of the Documents: No.18 [2002] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: January 17, 2002 Serial Number44 Name of the Departmental Rules: Rules Regarding the Contents and Format of Annual Report of Securities Companies Number of the Documents: No.2 [2002] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: February 4, 2002 Serial Number45 Name of the Departmental Rules: Notice on Issues concerning the Assets-Liabilities Ratio of Stock Issuers in Special Industries Number of the Documents: No.53 [2002] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: May 17, 2002 Serial Number46 Name of the Departmental Rules: Rule No. 3 Regarding the Contents and Format of Information Disclosure in Public Issuance of Securities by Companies: Semi-annual Report (Revised in 2002) Number of the Documents: No.44 [2002] of the China Securities Regulatory Commission Department of Promulgation: China Securities Regulatory Commission Date of Promulgation: June 22, 2002 |
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