為貫(guan)徹落實(shi)黨中(zhong)央、國務(wu)院關于全面(mian)實(shi)行(xing)(xing)股(gu)票發行(xing)(xing)注(zhu)冊制(zhi)的(de)決策部署，在中(zhong)國證(zheng)監(jian)會的(de)統(tong)籌安排下，北(bei)(bei)(bei)京(jing)(jing)證(zheng)券交(jiao)易(yi)所(suo)（以下簡(jian)稱北(bei)(bei)(bei)交(jiao)所(suo)）對《北(bei)(bei)(bei)京(jing)(jing)證(zheng)券交(jiao)易(yi)所(suo)向不特定(ding)合(he)格投資(zi)者(zhe)公開發行(xing)(xing)股(gu)票并上(shang)市(shi)審核(he)規則(ze)（試(shi)行(xing)(xing)）》《北(bei)(bei)(bei)京(jing)(jing)證(zheng)券交(jiao)易(yi)所(suo)上(shang)市(shi)公司證(zheng)券發行(xing)(xing)上(shang)市(shi)審核(he)規則(ze)（試(shi)行(xing)(xing)）》《北(bei)(bei)(bei)京(jing)(jing)證(zheng)券交(jiao)易(yi)所(suo)上(shang)市(shi)公司重(zhong)大資(zi)產(chan)重(zhong)組審核(he)規則(ze)（試(shi)行(xing)(xing)）》三件基本(ben)業務(wu)規則(ze)進行(xing)(xing)了修訂，于2023年2月(yue)1日(ri)起向市(shi)場公開征(zheng)求意見。

　　北交所設(she)立(li)(li)時(shi)同(tong)步(bu)試點(dian)注(zhu)(zhu)冊(ce)制，開市以(yi)來(lai)市場運行(xing)(xing)(xing)整體(ti)平穩，各項(xiang)制度經(jing)受(shou)(shou)住市場檢驗。本次對(dui)審核相(xiang)(xiang)(xiang)關(guan)(guan)的(de)(de)三件(jian)基(ji)本業(ye)務(wu)規(gui)(gui)則(ze)進(jin)(jin)行(xing)(xing)(xing)修訂，主要(yao)是落(luo)實全(quan)面實行(xing)(xing)(xing)注(zhu)(zhu)冊(ce)制要(yao)求(qiu)(qiu)(qiu)，根據上(shang)位規(gui)(gui)章、規(gui)(gui)范性(xing)文(wen)(wen)件(jian)進(jin)(jin)行(xing)(xing)(xing)適(shi)配(pei)調(diao)整。一是優(you)化(hua)(hua)受(shou)(shou)理(li)(li)與(yu)中(zhong)(zhong)止審核要(yao)求(qiu)(qiu)(qiu)。銜接(jie)上(shang)位規(gui)(gui)則(ze)規(gui)(gui)定(ding)，明(ming)確將(jiang)“不(bu)符合(he)國(guo)(guo)家產業(ye)政策(ce)和北交所定(ding)位”作(zuo)(zuo)為(wei)不(bu)予受(shou)(shou)理(li)(li)情形(xing)；將(jiang)相(xiang)(xiang)(xiang)關(guan)(guan)主體(ti)因證券(quan)(quan)(quan)違(wei)(wei)(wei)(wei)法(fa)(fa)違(wei)(wei)(wei)(wei)規(gui)(gui)被證券(quan)(quan)(quan)交易(yi)所或國(guo)(guo)務(wu)院批(pi)準的(de)(de)其他(ta)全(quan)國(guo)(guo)性(xing)證券(quan)(quan)(quan)交易(yi)場所等(deng)(deng)采取一定(ding)期間不(bu)接(jie)受(shou)(shou)文(wen)(wen)件(jian)等(deng)(deng)措(cuo)施的(de)(de)，作(zuo)(zuo)為(wei)不(bu)予受(shou)(shou)理(li)(li)或中(zhong)(zhong)止審核的(de)(de)情形(xing)；將(jiang)保(bao)(bao)薦機(ji)(ji)構(gou)、獨立(li)(li)財務(wu)顧問、證券(quan)(quan)(quan)服(fu)務(wu)機(ji)(ji)構(gou)及(ji)其相(xiang)(xiang)(xiang)關(guan)(guan)人(ren)員因證券(quan)(quan)(quan)發行(xing)(xing)(xing)等(deng)(deng)業(ye)務(wu)涉(she)嫌(xian)違(wei)(wei)(wei)(wei)法(fa)(fa)違(wei)(wei)(wei)(wei)規(gui)(gui)被立(li)(li)案(an)調(diao)查或立(li)(li)案(an)偵查的(de)(de)，不(bu)再作(zuo)(zuo)為(wei)不(bu)予受(shou)(shou)理(li)(li)或中(zhong)(zhong)止審核的(de)(de)情形(xing)。二是明(ming)確法(fa)(fa)律責任，完善(shan)相(xiang)(xiang)(xiang)關(guan)(guan)罰(fa)則(ze)。配(pei)套中(zhong)(zhong)國(guo)(guo)證監(jian)會相(xiang)(xiang)(xiang)關(guan)(guan)規(gui)(gui)章的(de)(de)修訂，加大對(dui)虛假陳述(shu)(shu)等(deng)(deng)嚴重違(wei)(wei)(wei)(wei)規(gui)(gui)行(xing)(xing)(xing)為(wei)采取不(bu)接(jie)受(shou)(shou)發行(xing)(xing)(xing)上(shang)市申請文(wen)(wen)件(jian)措(cuo)施的(de)(de)處罰(fa)力度，優(you)化(hua)(hua)發行(xing)(xing)(xing)人(ren)與(yu)中(zhong)(zhong)介機(ji)(ji)構(gou)及(ji)相(xiang)(xiang)(xiang)關(guan)(guan)主體(ti)的(de)(de)違(wei)(wei)(wei)(wei)規(gui)(gui)處罰(fa)情形(xing)，優(you)化(hua)(hua)涉(she)及(ji)再融資保(bao)(bao)底條款、募集(ji)資金使(shi)用等(deng)(deng)違(wei)(wei)(wei)(wei)規(gui)(gui)行(xing)(xing)(xing)為(wei)的(de)(de)罰(fa)則(ze)。同(tong)時(shi)，在充(chong)分(fen)考慮北交所申報企業(ye)特點(dian)基(ji)礎上(shang)，與(yu)其他(ta)交易(yi)所監(jian)管標(biao)準總(zong)體(ti)保(bao)(bao)持(chi)統一。三是堅持(chi)以(yi)信息披(pi)露為(wei)核心，強(qiang)化(hua)(hua)市場主體(ti)歸位盡(jin)責相(xiang)(xiang)(xiang)關(guan)(guan)監(jian)管要(yao)求(qiu)(qiu)(qiu)。要(yao)求(qiu)(qiu)(qiu)發行(xing)(xing)(xing)人(ren)充(chong)分(fen)披(pi)露當前及(ji)未來(lai)的(de)(de)風險，保(bao)(bao)薦機(ji)(ji)構(gou)以(yi)提高(gao)上(shang)市公司質量為(wei)導(dao)向保(bao)(bao)薦項(xiang)目。合(he)理(li)(li)區(qu)分(fen)保(bao)(bao)薦機(ji)(ji)構(gou)與(yu)證券(quan)(quan)(quan)服(fu)務(wu)機(ji)(ji)構(gou)在招股說明(ming)書(shu)、募集(ji)說明(ming)書(shu)編制和披(pi)露中(zhong)(zhong)的(de)(de)責任邊界。明(ming)確股東(dong)對(dui)中(zhong)(zhong)介機(ji)(ji)構(gou)盡(jin)職調(diao)查的(de)(de)配(pei)合(he)任務(wu)。四是對(dui)規(gui)(gui)則(ze)中(zhong)(zhong)關(guan)(guan)于(yu)“試行(xing)(xing)(xing)”“試點(dian)注(zhu)(zhu)冊(ce)”等(deng)(deng)文(wen)(wen)字(zi)表述(shu)(shu)同(tong)步(bu)進(jin)(jin)行(xing)(xing)(xing)了調(diao)整。

　　本次公開征(zheng)求意(yi)見(jian)結束后，北交(jiao)所將結合意(yi)見(jian)反饋(kui)情況(kuang)進(jin)一步完(wan)善相關規則，履行相關程序后發布實施(shi)。歡迎社會各界提出寶貴意(yi)見(jian)。