【中英文对照版】上海市场首次公开发行股票网下发行实施细则(2024年修订).docx
上海证券交易,所、中国证券登记结算有限责任公司关于发布上海市场首次公开发行股票网下发行实施细则(2024年修订)的通知上证发(2024)112号各市场参与人:为了落实中国证监会关于深化科创板改革服务科技创新和新质生产力发展的八条措施的有关意见，完善科创板新股市值配售安排，根据证券发上海市场首次公开发行股票网下发行实施细则(2024年修订)Detai1.edIiiip1.eiiientatioiiRu1.esfortheOfferingofIPOSharesundertheP1.acingTrancheontheShanghaiStockMarket(2024Revision)发文字号：上证发(2024)112号公布日期：2024.08.16施行日期：2024.10.01效力酶:行Wg；辆类别：股票公开发行DocumentNumber:No.1122024of(heShanghaiStockExchangeDateIssued:08-16-2024EffectiveDate：1001.20241.eveIofAuthorityIndustryRegu1.ationsAreaof1.aw：SkxrksPub1.icOfferingNoticebytheShanghaiStockExchangeandChinaSecuritiesDepositoryandC1.earingCorporation1.imitedRegardingIssuingtheDetai1.edImp1.ementationRu1.esfortheOfferingofIPOSharesundertheP1.acingTrancheontheShanghaiStockMarket(2024Revision)(No.1122024oftheShanghaiStockExchange)Marketparticipants:Forthepurposesofimp1.ementingthere1.evantopinionsintheEightMeasuresoftheChinaSecuritiesRegu1.atoryCommissiontoFurthertheReformoftheSTARMarketandServeScientificandTechno1.ogica1.InnovationandtheDeve1.opmentofNew-qua1.ityProductivityand行与承销管理办法上海证券交易所首次公开发行证券发行与承销业务实施细则等有关规定，上海证券交易所、中国证券登记结算有限责任公司修订形成了上海市场首次公开发行股票网下发行实施细则（2024年修订）（详见附件），现予以发布，并自2024年10月1日起施行。2023年2月17日发布的上海市场首次公开发行股票网下发行实施细则（2023年修订）（上证发（2023）36号）同时废止。improvingthearrangementsforthea1.1.otmentofnewsharesbasedonmarketva1.ueontheSTARMarket,inaccordancewiththeMeasuresfortheAdministrationoftheOfferingandUnderwritingofSecurities,theDetai1.edImp1.ementationRu1.esforOfferingandUnderwritingintheInitia1.Pub1.icOfferingsofSecuritiesontheShanghaiStockExchange,andotherre1.evantprovisions,theShanghaiStockExchangeandChinaSecuritiesDepositoryandC1.earingCorporation1.imitedhavemaderevisionsanddeve1.opedtheDetai1.edImp1.ementationRu1.esfortheOfferingofIPOSharesundertheP1.acingTrancheontheShanghaiStockMarket(2024Revision)(seeAnnexes),eintoforceonOctober112024,uponwhichtheDetai1.edImp1.ementationRu1.esfortheOfferingofIPOSharesundertheP1.acingTrancheontheShanghaiStockMarket(2023Revision)(No.362023,SSE),issuedonFebruary17,2023,sha1.1.berepea1.ed.Annexes:1. Detai1.edImp1.ementationRu1.esfortheOfferingofIPOSharesundertheP1.acingTrancheontheShanghaiStockMarket(2024Revision)2. Exp1.anatoryNotesonRevisionsintheDetai1.edImp1.ementationRu1.esfortheOfferingofIPOSharesundertheP1.acingTrancheontheShanghaiStockMarket(2024Revision)ShanghaiStockExchange,ChinaSecuritiesDepositoryandC1.earingCorporation1.imited特此通知。附件:1.上海市场首次公开发行股票网下发行实施细则（2024年修订）2.上海市场首次公开发行股票网下发行实施细则（2024年修订）修订说明上海证券交易所中国证券登记结算有限责任公司2024年8月16日附件1上海市场首次公开发行股票网下发行实施细则（2024年修订）第一章总则笫一条为了规范拟在上海证券交易所（以下简称上交所）上市的公司首次公开发行股票网下发行业务，提高首次公开发行股票网下申购及资金结算效率，根据证券发行与承销管理办法首次公开发行股票注册管理办法上海证券交易所首次公开发行证券发行与承销业务实施细则（以下简称首发承销实施细则）及相关规定，制定本细则。第二条通过上交所业务管理系统平台（发行承销业务）（以下简称业管平台）、互联网交易平台（IPo网下询价申购）（以下简称申购平台）及中国证券登记结算有限责任公司（以下简称中国结算）上August16,2024Annex1Detai1.edImp1.ementationRu1.esfortheOfferingofIPOSharesundertheP1.acingTrancheontheShanghaiStockMarket(2024Revision)Chapter I Genera1.ProvisionsArtic1.e1TheseRu1.esareformu1.atedinaccordancewiththeMeasuresfortheAdministrationoftheOfferingandUnderwritingofSecurities,theMeasuresfortheAdministrationofRegistrationofInitia1.Pub1.icOfferingsofStocks,theDetai1.edImp1.ementationRu1.esforOfferingandUnderwritingintheInitia1.Pub1.icOfferingsofSecuritiesontheShanghaiStockExchange("IPOUnderwritingRu1.es"),andotherre1.evantprovisions,forthepurposesofregu1.atingtheofferingofIPOsharesunderthep1.acingtranchebycompaniesthatseeka1.istingontheShanghaiStockExchange("SSE")andimprovingtheefficiencyofsubscriptionandfundsett1.ementfortheofferingofIPOsharesunderthep1.acingtranche.Artic1.e2TheseRu1.essha1.1.app1.ytotheinquiry,subscription,fundco1.1.ectionandpaymentonbeha1.fofprincipa1.,andinitia1.securitiesregistrationininitia1.pub1.icofferingsofstocksanddepositaryreceiptscomp1.etedthroughtheSSEBusinessManagementSystemP1.atform(OfferingandUndenvritingBusiness)("BusinessManagementP1.atform"),theInternetTrading海分公司登记结算平台（以下简称登记结算平台）完成首次公开发行股票和存托凭证的询价、申购、资金代收付及证券初始登记，适用本细则。第三条参与首次公开发行股票网下发行业务的网下投资者及其管理的证券投资产品（以下简称配售对象），应当符合证券发行与承销管理办法等有关规定。P1.atform(InquiryandSubscriptionfortheP1.acingTrancheofanIPO)("SubscriptionP1.atform"),andtheDepositoryandC1.earingP1.atformoftheShanghaiBranchofChinaSecuritiesDepositoryandC1.earingCorporation1.imited(,'CSDC")("DepositoryandC1.earingP1.atform").Artic1.e3Aninvestorunderthep1.acingtrancheparticipatinginthebusinessoftheofferingofIPOsharesandthesecuritiesinvestmentproductsunderitsmanagement("a1.1.ottees")p1.ywiththere1.evantprovisionsoftheMeasuresfortheAdministrationoftheOfferingandUnderwritingofSecurities.第四条证券资金结算银行经向中国结算上海分公司书面申请并获准，可成为本细则所称网下发行结算银行（以下简称结算银行）。第二章基本规定Artic1.e4Asecuritiesfundsett1.ementbankmaybecomeasett1.ementbankforanofferingunderthep1.acingtrancheasreferredtointheseRu1.es("sett1.ementbank")onwrittenapp1.icationtoandwiththeapprova1.oftheCSDCShanghaiBranch
