上(shang)證發〔2023〕33號(hao)
各市場參與人:
為了落實黨中央、國(guo)務院關(guan)(guan)于(yu)全面(mian)實行(xing)(xing)(xing)股(gu)票發(fa)(fa)行(xing)(xing)(xing)注(zhu)冊制(zhi)的(de)決策部(bu)署,規(gui)范首(shou)次公(gong)(gong)(gong)開(kai)(kai)(kai)發(fa)(fa)行(xing)(xing)(xing)證(zheng)(zheng)(zheng)券(quan)發(fa)(fa)行(xing)(xing)(xing)與(yu)(yu)承(cheng)銷活動,根據《證(zheng)(zheng)(zheng)券(quan)發(fa)(fa)行(xing)(xing)(xing)與(yu)(yu)承(cheng)銷管(guan)理辦(ban)(ban)法》《首(shou)次公(gong)(gong)(gong)開(kai)(kai)(kai)發(fa)(fa)行(xing)(xing)(xing)股(gu)票注(zhu)冊管(guan)理辦(ban)(ban)法》等有關(guan)(guan)規(gui)定,上(shang)(shang)海證(zheng)(zheng)(zheng)券(quan)交(jiao)易(yi)所(以(yi)下簡(jian)稱本所)制(zhi)定了《上(shang)(shang)海證(zheng)(zheng)(zheng)券(quan)交(jiao)易(yi)所首(shou)次公(gong)(gong)(gong)開(kai)(kai)(kai)發(fa)(fa)行(xing)(xing)(xing)證(zheng)(zheng)(zheng)券(quan)發(fa)(fa)行(xing)(xing)(xing)與(yu)(yu)承(cheng)銷業(ye)務實施(shi)細則(ze)》(詳(xiang)見(jian)附(fu)件(jian)),經(jing)中國(guo)證(zheng)(zheng)(zheng)監會(hui)批(pi)準,現(xian)予以(yi)發(fa)(fa)布,并自(zi)發(fa)(fa)布之日(ri)起施(shi)行(xing)(xing)(xing)。本所于(yu)2021年9月(yue)18日(ri)發(fa)(fa)布的(de)《關(guan)(guan)于(yu)發(fa)(fa)布〈上(shang)(shang)海證(zheng)(zheng)(zheng)券(quan)交(jiao)易(yi)所科(ke)創板股(gu)票發(fa)(fa)行(xing)(xing)(xing)與(yu)(yu)承(cheng)銷實施(shi)辦(ban)(ban)法(2021年修(xiu)訂(ding))〉的(de)通(tong)知(zhi)》(上(shang)(shang)證(zheng)(zheng)(zheng)發(fa)(fa)〔2021〕76號)、《關(guan)(guan)于(yu)發(fa)(fa)布〈上(shang)(shang)海證(zheng)(zheng)(zheng)券(quan)交(jiao)易(yi)所科(ke)創板發(fa)(fa)行(xing)(xing)(xing)與(yu)(yu)承(cheng)銷規(gui)則(ze)適用(yong)指引第1號——首(shou)次公(gong)(gong)(gong)開(kai)(kai)(kai)發(fa)(fa)行(xing)(xing)(xing)股(gu)票(2021年修(xiu)訂(ding))〉的(de)通(tong)知(zhi)》(上(shang)(shang)證(zheng)(zheng)(zheng)發(fa)(fa)〔2021〕77號)同(tong)時(shi)廢止。為了做好相關(guan)(guan)工(gong)作銜接,現(xian)就有關(guan)(guan)事項通(tong)知(zhi)如下:
一、首次公開(kai)發行(xing)(xing)證券(quan)并在主板上(shang)市(shi)的(de)企業,取(qu)得(de)核(he)準批(pi)文的(de),按照核(he)準制下發行(xing)(xing)承銷規(gui)定啟動發行(xing)(xing)承銷工(gong)作;取(qu)得(de)注冊批(pi)文的(de),適用本(ben)規(gui)則(ze)。
二、首次公開發(fa)行證券并在科創板上市的(de)(de)企(qi)業,已啟動發(fa)行、尚(shang)未上市的(de)(de),按照已披露的(de)(de)公告繼續開展發(fa)行承銷工作(zuo);尚(shang)未啟動的(de)(de),適用本規則(ze)。
特此通知。
附件:
2.《上海證券交易所首次公開發行證券發行與承銷業務實施細則》起草說明
上海證券交易所
二〇二三年(nian)二月十(shi)七日