【中英文对照版】上海证券交易所股票发行上市审核规则(2024年4月修订).docx
上海证券交易所关于发布上海证券交易所股票发行上市审核规则（2024年4月修订）的通知（上证发（2024）49号）各市场参与人:为了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，规范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首次公开发行股票注册管理办法上海证券交易所股票发行上市审核规则(2024年4月修订)Ru1.es(JoverningtheExaminationoftheOfferingand1.istingofStocksontheShanghaiStockExchange(RevisedinApri1.2024)制定机关：上海证养父弗所发文字号：上证发(202449号公布日期：2024.04.30施行日期：2024.04.30效力位阶：行业规定法规美别：成票IssuingAuthority：ShanghaiStockExchangeDocumentNumberNo.492024oftheShanghaiStockExchangeDateIssued：04-30-2024EffectiveDa1.e：04-30-20241.eve1.ofAuthorityIndustryRegu1.ationsAreaof1.aw：StocksNoticebytheShanghaiStockExchangeofIssuingtheRu1.esGoverningtheExaminationoftheOfferingand1.istingofStocksontheShanghaiStockExchange(RevisedinApri1.2024)(No.492024oftheShanghaiStockExchange)A1.1.marketparticipants:Forthepurposesoffu1.1.yimp1.ementingtheguidingprincip1.esoftheCentra1.Financia1.WorkConferenceandtheSevera1.OpinionsoftheStateCounci1.onStrengtheningRegu1.ation,PreventingRisksandPromotingtheHigh-Qua1.ityDeve1.opmentoftheCapita1.Market,regu1.atingtheexaminationoftheofferingand1.istingofstocks,andprotectingthe1.awfu1.rightsandinterestsofinvestors,inaccordancewiththetheSecurities等有关规定，上海证券交易所（以下简称本所）修订了上海证券交易所股票发行上市审核规则（详见附件），经中国证监会批准，现予以发布，并自发布之日起施行。本所于2023年2月17日发布的上海证券交易所股票发行上市审核规则（上证发（2023）28号）同时废止。1.awofthePeop1.e'sRepub1.icofChina,theMeasuresfortheAdministrationofRegistrationofInitia1.Pub1.icOfferingsofStocks,andotherre1.evantprovisions,theShanghaiStockExchange("SSE")hasdeve1.opedtheRu1.esGoverningtheExaminationoftheOfferingand1.istingofStocksontheShanghaiStockExchange(SeeAnnex),which,asapprovedbytheChinaSecuritiesRegu1.atoryCommission,isherebyissued,eintoforceonthedateofissuance.TheRu1.esGoverningtheExaminationoftheOfferingand1.istingofStocksontheShanghaiStockExchange(No.282023,SSE),asissuedonFebruary17,2023,sha1.1.beconcurrent1.yrepea1.ed.Annexes:1.Ru1.esGoverningtheExaminationoftheOfferingand1.istingofStocksontheShanghaiStockExchange(RevisedinApri1.2024)2.Exp1.anationsfortheDraftingoftheRu1.esGoverningtheExaminationoftheOfferingand1.istingofStocksontheShanghaiStockExchange(Omitted)ShanghaiStockExchangeApri1.30,2024Annex1Ru1.esGoverningtheExaminationoftheOffering特此通知。附件:1.上海证券交易所股票发行上市审核规则（2024年4月修订）2.上海证券交易所股票发行上市审核规则（2024年4月修订）超草说明上海证券交易所2024年4月30日附件1上海证券交易所股票发行上市审核规则（2024年4月修订）笫一章总则笫一条为了规范上海证券交易所（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关于在上海证券交易所设立科创板并试点注册制的实施意见首次公开发行股票注册管理办法（以下简称首发注册办法）等相关法律、行政法规、部门规章和规范性文件，制定本规则。第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（国办发（2018）21号）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and1.istingofStocksontheShanghaiStockExchange(RevisedinApri1.2024)ChapterIGenera1.ProvisionsArtic1.e1InaccordancewiththeSecurities1.awofthePeop1.e'sRepub1.icofChina,theCompany1.awofthePeop1.e'sRepub1.icofChina,theNoticebytheGenera1.OfficeoftheStateCounci1.oftheWorkconcerningtheImp1.ementationoftheRevisedSecurities1.aw,theImp1.ementationOpinionsonSettinguptheSTARMarketand1.aunchingthePi1.otProgramoftheRegistrationSystemontheShanghaiStockExchange,theMeasuresfortheAdministrationofRegistrationofInitia1.Pub1.icOfferingsofStocks(thetiIPOMeasures"),andotherre1.evant1.aws,administrativeregu1.ations,departmenta1.ru1.es,andnormativedocuments,theseRu1.esaredeve1.opedforpurposesofregu1.atingtheexaminationoftheofferingand1.istingofstocksontheShanghaiStockExchange("SSE")andprotectinginvestors'1.awfu1.rightsandinterests.Article 2 TheseRu1.esapp1.ytotheexaminationofissuers'app1.icationfortheinitia1.pub1.icofferingand1.istingofstocksontheSSE("IPOand1.isting").TheseRu1.esapp1.ytotheexaminationofapp1.icationsforofferingstocksordepositaryreceiptsand1.istingthemontheSSEmadebyred-chipenterprisesthatcomp1.ywiththeNoticebytheGenera1.OfficeoftheStateCounci1.ofForwardingtheSevera1.OpinionsoftheChinaSecuritiesRegu1.atoryCommissionon1.aunchingthePi1.otProgramofInnovativeEnterprisesDomestica1.1.yIssuingStocksorDepositoryReceipts(No.212018,Genera1.OfficeoftheStateCounci1.)andthere1.evantru1.esoftheChinaSecuritiesRegu1.atory则。Commission(uCSRCn)andtheSSE.第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。Article 3 Anissuer'sapp1.icationforanIPOand1.istingsha1.1.conformtothepositioningofthere1.evantboard.主板突出“大盘蓝筹”特色，重点支持业务模式成熟、经营业绩稳定、规模较大、具有行业代表性的优质企业。Themainboard,representedby1.arge-capb1.uechips,prioritizes1.arge-sca1.eandindustria1.1.yrepresentativehigh-qua1.ityenterpriseswithmaturebusinessmode1.sandstab1.eperformance.科创板面向世界科技前沿、面向经济主战场、面向国家重大需求，主要服务于符合国家战略，拥有关键核心技术，科技创新能力突出，主要依靠核心技术开展生产经营，具有稳定的商业模式，市场认可度高，社会形象良好，具有较强成长性的企业。TheSTARMarket,whichistargetedatthewor1.d'sscientificandtechno1.ogica1.frontiersandmajoreconomicbatt1.efie1.dsandmeetsmajornationa1.needs,main1.yservesenterpriseswithstab1.ebusinessmode1.s,highmarketrecognition,goodsocia1.image,andgreatgrowthpotentia1.t
