Section 1 Concept, Basic Elements and Trading Mechanism of Securities Trading/1

Section 2 Members, Seats and Marketing Units of Stock Exchanges/14

Chapter II Securities Trading Procedures

Section 1 Overview of Securities Trading Procedures /22

Section 2 Securities Account and Securities Custody /25

The third quarter commissioned sales /30

Section 4 Bidding and Closing /40

Section 5 Transaction Settlement /54

Chapter III Special Transactions and Their Supervision

Section 1 Special Terms and Transactions /58

Section 2 Supervision and Management of Trading Information and Trading Behavior /74

Chapter IV Securities Brokerage Business

Section 1 Overview of Securities Brokerage Business /82

Section 2 Management of Securities Brokerage Business /92

Section 3 Marketing Management of Securities Brokerage Business/1 19

Section 4 Internal Control and Risk Prevention of Securities Brokerage Business/136

Chapter V Related Practices of Brokerage Business

Section 1 Online Stock Issuance/150

Section 2 Dividends and dividends, allotment and online voting at the shareholders' meeting/155

Section 3 Related Operations of Funds, Warrants and Convertible Bonds/163

Section 4 Transfer of Shares by Agency/177

Section 5 Intermediate Introduction to Futures Trading/186

Chapter VI Securities Proprietary Business

Section 1 The meaning and characteristics of securities proprietary business/189

Section 2 Management of Securities Proprietary Business of Securities Companies/19 1

Section 3 Prohibition of Securities Proprietary Business/197

Section 4 Supervision and Legal Responsibility of Securities Self-operated Business /200

Chapter VII Asset Management Business

Section 1 Meaning, Types and Business Qualifications of Asset Management Business /205

Section 2 Basic Requirements for Asset Management Business /208

Section 3 Directed Asset Management Business /2 12

Section 4 Collective Asset Management Business /220

Section 5 Prohibited Behavior and Risk Control of Asset Management Business /232

Section VI Supervision and Legal Responsibility of Asset Management Business /235

Chapter VIII Margin Financing and Securities Lending

Section 1 Meaning and Qualification Management of Margin Trading /24 1

Section 2 Management of Margin Trading /244

Section 3 Risks and Control of Margin Trading /264

Section IV Supervision and Legal Responsibility of Margin Trading /268

Chapter IX Bond Repurchase Transactions

Section 1 Pledged repo transactions /272

In the second quarter, bond buyout repo transactions /278

Section 3 Settlement and delivery of bond repurchase transactions /283

Chapter X Securities Registration and Transaction Settlement

Section 1 Securities Registration /293

Section 2 Settlement and delivery of securities transactions /298

Section 3 Settlement Account Management /30 1

Section 4 Securities Trading Settlement Process /304

Section 5 Settlement Risks and Preventive Measures /308

postscript