证券发行人

受评级机构或者受评级证券发行人对信用等级有异议的，可以申请复评一次。

The rated entity or rated securities issuer against the credit rating result may apply for a re-rating .

投资银行业务作为证券发行人和投资公众中介的公司活动。

Investment Banking The activities of a firm when serving as intermediary between an issuer of securities and the investing pubic .

上市公司合格证券发行人制度研究

Studying on the System of Eligible Securities Publisher of Listed Companies

信息披露作为缓解信息不对称、约束证券发行人和有关人员的行为、保护投资者合法权益的重要手段，其作用并未得到充分的发挥。

The function of information disclosure has not been given full play .

跨境上市的直接结果是证券发行人及其主要营业地与投资者分处不同的国家或法域。

Cross-border listing makes securities issuers and investors and business in different countries or jurisdictions .

证券发行人和投资者分处不同的国家或者区域，由此也带来比境内上市更加复杂的法律关系和法律问题。

Securities issuers and investor usually come from different countries or regions , which also leads to more relations and legal issues .

直接持有体制下，证券发行人直接发行纸质证券给投资者，发行人和投资者之间不存在任何证券中介机构。

Under direct holding system , security issuer directly issues physical security to investors . There is not any security intermediary exists between the issuer and the investors .

它通过对保荐人的责任追究机制，促使保荐人对证券发行人进行上市前的辅导、推荐，以及上市后的持续督导。

It is the responsibility of the sponsor to promote the listed issuer before the coaching , referral , and continuing supervision after the securities listing through the accountability mechanism .

对证券发行人、上市公司、证券公司、证券投资基金管理公司、证券服务机构、证券交易所、证券登记结算机构进行现场检查；

Carrying an on-the-spot examination of a securities issuer , listing company , securities company , securities investment fund management company , securities trading service company , stock exchange or securities registration and clearing institution ;

第二十二条公开发行证券的发行人有权依法自主选择承销的证券公司。

Article 22 . An issuer who publicly issues securities has the right to select an underwriting securities company .

政府或公司发行的计息证券，要求发行人按照一定的日期向债券持有人支付一定金额。

An interest-bearing government or corporate security that obligates the issuer to make specified payments on a specific schedule to the bondholder .

第三部分讨论了证券化对发行人、投资人及券商等微观主体带来的收益，同时也讲述了它对整个宏观金融市场所产生的影响。

Part three lists benefits contributed by Securitization to originator , investor and Securities Company , also emphasizes the influence to macro-finance market .

证券发行是发行人依照法律规定的程序向投资人就其证券做出的要约邀请、要约或者销售的行为。

The issuer is the issuer in accordance with procedure established by law in respect of its securities to investors to make an offer to the invitation , offer or sale behavior .

有锁定期的零息可赎回可转换债券定价解析式债券政府或公司发行的计息证券，要求发行人按照一定的日期向债券持有人支付一定金额。

Analytic Formula of Zero-coupon Callable Convertible Bonds with Hard Call Period An interest-bearing government or corporate security that obligates the issuer to make specified payments on a specific schedule to the bondholder .

除了投资者希望持有美元计价证券最安全发行人美国财政部的负债以外，很难找到长期美国国债收益率如此之低的原因。

It is hard to see a reason for yields on long-term Treasuries being so low , other than a desire to hold the liabilities of the US Treasury , safest issuer of dollar - denominated securities .

督促证券公司及发行人建立信息披露制度，依法披露企业债券的有关风险、财务状况和重大事项，增强企业债券发行的透明度；

The securities companies and the issuer shall be forwarded to establish information disclosure procedures , to disclose risks , financial conditions and significant matters in relation to the enterprise debentures and to strengthen the transparency of issuing enterprise debentures ;

具体表现为投资者决策标准、证券价格标准和发行人品质不利影响标准，分别见于相关的证券法律法规中。

The specific performances are as follows : " investors decision-making " standard 、" the prices of securities " standard and the adverse effect on the issuer quality are all found in the relevant securities laws and regulations .

证券公司行使对证券发行人的权利，应当事先征求客户的意见，并按照其意见办理。

A securities company shall , when exercising the rights of the securities issuer , ask for the advices from clients in advance and handle the matters in accordance with the advices .

第一百五十一条证券登记结算机构应当向证券发行人提供证券持有人名册及其有关资料。

Article 151 . Securities registration and settlement organizations shall supply the list of securities owners and other relevant information to the securities issuers .

证券代销是指证券公司代发行人发售证券，在承销期结束时，将未售出的证券全部退还给发行人的承销方式。

Commission underwriting refers to the method whereby a securities company undertakes to sell securities on behalf of the issuer and return all unsold securities to the issuer at the end of the underwriting period .

检查证券账户中权证余额、权证发行人行权专用结算备付金账户中资金余额时，证券账户、权证发行人行权专用结算备付金账户涉及司法冻结的，应将冻结数额予以剔除。

When checking the balance of securities warrants in securitiesy accounts and the fund balance in settlement reserve accounts of the warrant-issuer which have been frozen by judicatory , the frozen amount shall be eliminated .

证券投资理论认为证券的市场价格主要取决于证券发行人的未来业绩表现，投资者经常将有关发行人的前景预测作为其投资决策的主要依据。

The theory of securities investment suggests that the market price of the securities depends primarily on the future performance of the securities publisher , investors often use the forecasting information of the prospects of the publisher as the main foundation for investment decisions .

我国证券法应借鉴美国的做法，对诚实、信用的证券发行人发布的盈利信息预测实行负责制度。

China 's securities law should use the practice of America for reference and execute responsible system for the projection of profitable information which honest and credible floaters of securities have issued .

包括相关定义、适用范围和解释，账户持有人的权利，中介证券的转让，中介持有体系的完善，账户持有人与证券发行人之间的关系以及关于担保交易的特殊规定和最终条款。

Including definitions , scope of application and interpretation ; rights of the account holder ; transfer of intermediated securities ; integrity of the intermediated holding system ; relationship between account holder and issuers of securities ; special provisions with respect to collateral transactions and final clauses .

证券仲裁主要是用来解决证券业主体之间、证券业主体与投资者之间、证券业主体与证券发行人之间因证券的发行或交易而引起的契约性与非契约性纠纷的。

Securities arbitration is mainly used to resolve those disputes of contractual or non-contractual nature , which arise out of the issue or transaction of securities among the entities in securities industry , or between those entities and investors or securities publishers .

证券评级机构接受委托开展证券评级业务，在确定信用等级后，应当将信用等级告知受评级机构或者受评级证券发行人。

The securities rating agency shall notify the credit rating to the rated entity or rated securities issuer after accepting the entrusted securities rating businesses and confirming the credit rating .