【中英文对照版】北京证券交易所股票做市交易业务指引.docx

北京证券交易所股票做市交易业务指引

AnnouncementoftheBeijingStockExchangeonIssuing

theGuidelinesontheBusinessofMarketMaking

TransactionsinStocksontheBeijingStockExchange

制定机关：北京证券交易所

制定机关：北京证券交易所

发文字号：北证公告〔2023〕3号

公布日期：2023.01.19施行日期：2023.01.19效力位阶：行业规定

法规类别：证券交易所与业务管理股票IssuingAuthority:BeijingStockExchange

DocumentNumber:AnnouncementNo.3[2023]oftheBeijingStockExchange

DateIssued:01-19-2023

EffectiveDate:01-19-2023

LevelofAuthority:IndustryRegulations

AreaofLaw:StockExchangesandBusinessManagementStocks

AnnouncementoftheBeijingStockExchangeonIssuingtheGuidelinesontheBusinessofMarketMakingTransactionsinStocksontheBeijingStockExchange

北京证券交易所关于发布《北京证券交易所股票做市交易业务指引》的公告

(AnnouncementNo.3[2023]oftheBeijingStockExchange)

(北证公告〔2023〕3号)

ForthepurposesofregulatingandguidingmarketmakersconductingthebusinessofmarketmakingtransactionsinstocksontheBeijingStockExchange(hereinafterreferredtoasthe“Exchange”)andspecifyingthebusinessprocessandsupervisionandadministrationrequirements,

为了规范和引导做市商在北京证券交易所(以下简称本所)开展股票做市交易业务，明确业务流程和监督管理要求，本所制定了《北京证券交易所股

2

theExchangehasformulatedtheGuidelinesontheBusinessofMarketMakingTransactionsinStocksontheBeijingStockExchange,whichareherebyissued,andshallcomeintoforceonthedateofissuance.

票做市交易业务指引》。现予以发布，自发布之日起施行。

特此公告。

BeijingStockExchange

北京证券交易所

January19,2023

2023年1月19日

GuidelinesontheBusinessofMarketMakingTransactionsinStocksontheBeijingStockExchange

北京证券交易所股票做市交易业务指引

ChapterIGeneralProvisions

第一章总则

Article1Forthepurposesofspecifyingtheprocessofthebusinessandtherequirementsforthesupervisionandadministrationofmarket

第一条为了明确北京证券交易所(以下简称本所)股

makingtransactionsinstocksoftheBeijingStockExchange(hereinafterreferredtoasthe“Exchange”),thes