证券发行上市审核工作手册2017.8.2修订.pdf

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1、证券发行上市审核工作手册（2017年8月）高慧律师智库修订出品微信公众号：gaohuilaw目录1.证券发行审核·············································································11.1证券发行审核····························································································11.1.1中华人民共和国公司法（2014）····························

2、·····································11.1.2中华人民共和国证券法（2014）································································341.1.3股票发行与交易管理暂行条例（1993）·······················································681.1.4首次公开发行股票并上市管理办法（2015）·················································831.

3、1.5首次公开发行股票并在创业板上市管理办法（2015）·····································901.1.6关于首发及再融资、重大资产重组摊薄即期回报有关事项的指导意见（2015）····971.1.7上市公司证券发行管理办法（2008）··························································981.1.8上市公司非公开发行股票实施细则（2017）···············································1101.1.9国务院关于开展

4、优先股试点的指导意见（2013）·········································1171.1.10优先股试点管理办法（2014）·····························································1201.1.11首次公开发行股票时公司股东公开发售股份暂行规定（2014）····················1291.1.12发行监管问答——关于引导规范上市公司融资行为的监管要求（2017）········1311.1.13发行监管问答——关于首发、再融资申报文件相关问题与解

5、答（2017）········1321.1.14发行监管问答——关于首发企业中创业投资基金股东的锁定期安排（2017）··1331.1.15发行监管问答——关于相关责任主体承诺事项的问答·······························1341.1.16发行监管问答——募集资金运用信息披露··············································1341.1.17发行监管问答——关于首次公开发行股票中止审查的情形·························1351.1.18发行监管问答——在审首发企业中介机构被行

6、政处罚、更换等的处理···········1371.1.19发行监管问答——首发企业上市地选择和申报时间把握等·························1381.1.20发行监管问答——关于调整首次公开发行股票企业征求国家发改委意见材料的要求1391.1.21发行监管问答——关于首发、再融资申报文件相关问题与解答····················1391.1.22私募基金监管问答——关于首发企业中创业投资基金股东的认定标准（2017）1401.1.23上市公司监管指引第3号—上市公司现金分红（2013）························

7、····1411.1.24上市公司监管指引第4号——上市公司实际控制人、股东、关联方、收购人以及上市公司承诺及履行··························································································1441.1.25关于修改上市公司现金分红若干规定的决定（2008）·······························1461.1.26关于进一步落实上市公司现金分红有关事项的通知··································1501.1.2

8、7《首次公