Measures for the Administration of Securities Registration and Clearing (2009 Revision),北大法宝V6

Measures for the Administration of Securities Registration and Clearing (2009 Revision) Revised

[CLI Code] CLI.4.124018(EN) Statement

Document Number：Order No. 65 of the China Securities Regulatory Commission
Area of Law： Securities Regulatory Institutions and Market Supervision and Management Securities Registration and Clearing Institutions and Business Management
Level of Authority： Departmental Rules
Date Issued：11-20-2009
Effective Date：12-21-2009
Issuing Authority： China Securities Regulatory Commission
Status： Revised
Topic： Finance
Revised by：Decision of the China Securities Regulatory Commission to Amend Seven Sets of Rules Including the Measures for the Administration of Securities Registration and Clearing (Issued on 12-07-2017 Effective on 12-07-2017)
Pkulaw Note：Decision of the State Council on Cancelling and Adjusting a Group of Administrative Approval Items and Other Matters (2015) (Issued on 02-24-2015 Effective on 02-24-2015);Notice of the State Council on Cancelling Non-Administrative Licensing Approval Items (Issued on 05-10-2015 Effective on 05-10-2015)

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Revision History

(Promulgated by the Order No. 29 of the China Securities Regulatory Commission on April 7, 2006, and revised for the Decision of the China Securities Regulatory Commission on Amending the Measures for the Administration of Securities Registration and Clearing by the Order No. 65 of the China Securities Regulatory Commission on November 20, 2009)
（2006年4月7日中国证券监督管理委员会令第29号公布，根据2009年11月20日中国证券监督管理委员会《关于修改＜证券登记结算管理办法＞的决定》修订）

Article 1 These Measures are formulated according to the Securities Law, the Company Law and other laws and administrative regulations for the purpose of regulating the securities registration and clearing activities, protecting the lawful rights and interests of investors, maintaining the securities registration and clearing order, guarding against the securities registration and clearing risks and safeguarding the safe and efficient operation of the securities market.
　　第一条　为了规范证券登记结算行为，保护投资者的合法权益，维护证券登记结算秩序，防范证券登记结算风险，保障证券市场安全高效运行，根据《证券法》、《公司法》等法律、行政法规的规定，制定本办法。

Article 2 The registration and clearing of stocks, bonds, shares of securities investment funds, as well as other securities and securities derivatives (hereinafter referred to as the securities) listed in the stock exchanges shall be governed by these Measures.
　　第二条　在证券交易所上市的股票、债券、证券投资基金份额等证券及证券衍生品种（以下统称证券）的登记结算，适用本办法。

The registration and clearing business related to the non-listed securities shall be governed by these Measures by analogy.
非上市证券的登记结算业务，参照本办法执行。