Provisions on Issues Relevant to Regulatory Opinions for Initial Public Offerings of Shares and the Listing Thereof by Securities Companies

关于证券公司申请首次公开发行股票并上市监管意见书有关问题的规定

Before a securities company submits an application for an initial public offering of shares and the listing thereof, it shall submit relevant materials to the China Securities Regulatory Commission and apply for the issuance of a regulatory opinion.

(Issued by the China Securities Regulatory Commission on, and effective as of, May 12 2008.)

(中国证券监督管理委员会于二零零八年五月十二日公告，自公告之日起施行。)

Announcement of the CSRC [2008] No.19

证监会公告 [2008] 19号

1. Before a securities company submits an application for an initial public offering of shares (IPO) and the listing thereof, it shall submit relevant materials to the China Securities Regulatory Commission (the CSRC) and apply for the issuance of a regulatory opinion. A regulatory opinion is one of the required documents when a securities company applies for an IPO and listing.

2. A securities company applying for a regulatory opinion

一、证券公司在提交首次公开发行股票（以下简称IPO）并上市申请前，应当向中国证监会提交有关材料，申请出具监管意见书。监管意见书是证券公司申请IPO上市的必备文件之一。