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text-align: justify; line-height: 125%" class="MsoNormal" align="center"><span style="line-height: 125%; font-family: 华文中宋; color: red; font-size: 40pt"><font style="line-height: 200%">中国银行间市场交易商协会公告</font></span></p> <p style="text-align: center; line-height: 150%; layout-grid-mode: char" class="MsoNormal" align="center"><span style="line-height: 150%; font-family: 仿宋_GB2312; color: black; font-size: 7.5pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="text-align: center; line-height: 150%; layout-grid-mode: char" class="MsoNormal" align="center"><font style="line-height: 200%"><font style="line-height: 200%"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; color: black; font-size: 15pt" lang="EN-US">[2014]</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US">14</span><span style="line-height: 200%; font-family: 仿宋_GB2312; color: black; font-size: 15pt">�?/span></font></font></font></p> <p style="text-align: center; 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font-size: 15pt"> <div class="Section1"><span style="font-family: 仿宋_GB2312; font-size: 15pt"><span style="font-family: 仿宋_GB2312; color: black; font-size: 15pt"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 'Times New Roman','serif'; font-size: 15pt" lang="EN-US"><span style="font-family: 黑体; font-size: 18pt"><font style="line-height: 200%"><span style="font-family: 仿宋_GB2312; font-size: 15pt"> <p style="text-align: center; line-height: 150%; layout-grid-mode: char" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 黑体; font-size: 18pt"><font style="line-height: 200%">关于非金融机构合格投资人债券交易</font></span></b></p> <p style="text-align: center; line-height: 150%; layout-grid-mode: char" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 黑体; font-size: 18pt"><font style="line-height: 200%">有关事项的公�?/font></span></b></p> <p style="text-align: center; line-height: 150%; text-indent: 21.25pt; layout-grid-mode: char" class="MsoNormal" align="center"><span style="line-height: 150%; font-family: 黑体; font-size: 18pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="line-height: 150%; text-indent: 30pt; layout-grid-mode: char" class="MsoNormal"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">为加快推进多层次债券市场建设，规范非金融机构合格投资人交易平台债券交易行为，促进银行间市场健康有序发展�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">根据中国人民银行金融市场司《关于非金融机构合格投资人进入银行间债券市场有关事项的通知》（银市�?span style="line-height: 200%" lang="EN-US">[2014]35</span>号，简称《通知》）</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">经中国银行间市场交易商协会第二届债券市场专业委员会第九次会议和第四届常务理事会第三次会议审议通过，并�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">中国人民银行备案同意，现就债券交易有关事项公告如下�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; layout-grid-mode: char" class="MsoNormal"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">一、符合《通知》标准的非金融机构合格投资人应按照《非金融机构合格投资人交易平台债券交易业务指引（试行）》（见附�?span style="line-height: 200%" lang="EN-US">1</span>）要求参与银行间债券市场债券交易业务�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">保证备案提供材料的真实性和准确性，依法合规、诚信自律开展交易�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; layout-grid-mode: char" class="MsoNormal"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">二、非金融企业债务融资工具主承销商（简称“主承销商”）和银行间债券市场做市商应在开展报价业务前向交易商协会书面报备，并按《非金融企业债务融资工具主承销商报价指引（试行）》（见附�?span style="line-height: 200%" lang="EN-US">2</span>）要求持续开展非金融企业债务融资工具报价，丰富报价券种，不断增强报价能力，提高市场流动性。主承销商报备工作应于本公告发布之日�?span style="line-height: 200%" lang="EN-US">6</span>个月内完成�?/font></span></p> <p style="line-height: 150%; text-indent: 30pt; layout-grid-mode: char" class="MsoNormal"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">三、全国银行间同业拆借中心�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">银行间市场清算所股份有限公司、中央国债登记结算有限责任公司和北京金融资产交易所有限公司应共同做好技术支持，保障系统安全，提升市场服务水平�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; layout-grid-mode: char" class="MsoNormal"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="line-height: 150%; text-indent: 30pt; margin: 0cm 0cm 0pt" class="cjk"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">附件�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US">1</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US">.</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">非金融机构合格投资人交易平台债券交易业务指引（试行）</span></font></p> <p style="line-height: 150%; text-indent: 67.5pt; margin: 0cm 0cm 0pt" class="cjk"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US">2.</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">非金融企业债务融资工具主承销商报价指引（试行�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin: 0cm 0cm 0pt" class="cjk"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="line-height: 150%; text-indent: 30pt; margin: 0cm 0cm 0pt" class="cjk"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="text-align: right; line-height: 150%; text-indent: 30pt; layout-grid-mode: char" class="MsoNormal" align="right"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">中国银行间市场交易商协会 </font></span></p> <p style="text-align: right; line-height: 150%; word-break: break-all" class="MsoNormal" align="right"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><font style="line-height: 200%"><span style="line-height: 200%"> </span>2014</font></span><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">�?span style="line-height: 200%" lang="EN-US">11</span>�?span style="line-height: 200%" lang="EN-US">3</span>�?/font><span lang="EN-US"><font style="line-height: 200%"><span style="line-height: 200%"> </span><br style="page-break-before: always; line-height: 200%" clear="all" /> </font></span></span></p> <p style="text-align: left; line-height: 150%; margin-right: 15pt" class="MsoNormal" align="left"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">附件<span style="line-height: 200%" lang="EN-US">1</span>�?/font></span></p> <p style="line-height: 150%" class="MsoNormal"><span style="line-height: 150%; font-family: 黑体; font-size: 18pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="text-align: center; line-height: 150%; layout-grid-mode: char" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 黑体; font-size: 18pt"><font style="line-height: 200%">非金融机构合格投资人交易平台债券交易业务指引</font></span></b></p> <p style="text-align: center; line-height: 150%; layout-grid-mode: char" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 黑体; font-size: 18pt"><font style="line-height: 200%">（试行）</font></span></b></p> <p style="text-align: center; line-height: 150%" class="MsoNormal" align="center"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 宋体; color: #333333">�?/span><span style="line-height: 200%; color: #333333" lang="EN-US">2014</span><span style="line-height: 200%; font-family: 仿宋_GB2312; color: #333333">�?/span><span style="line-height: 200%; color: #333333" lang="EN-US">8</span><span style="line-height: 200%; font-family: 仿宋_GB2312; color: #333333">�?/span><span style="line-height: 200%; color: #333333" lang="EN-US">11</span><span style="line-height: 200%; font-family: 仿宋_GB2312; color: #333333">日第四届常务理事会第三次会议审议通过�?/span></font></p> <p style="text-align: center; line-height: 150%" class="MsoNormal" align="center"><span style="line-height: 150%; font-family: 楷体_GB2312; font-size: 16pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="text-align: center; line-height: 150%; margin: 6pt 0cm" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">第一�?span style="line-height: 200%" lang="EN-US"><span style="line-height: 200%"> </span></span>总则</font></span></b></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第一�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">为进一步推动银行间市场发展，规范市场参与者在非金融机构合格投资人交易平台（简称“交易平台”）的债券交易行为，根据中国人民银行相关规�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">及《中国银行间市场交易商协会章程》，制定本指引�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第二�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">市场参与者包括投资人和报价商。投资人为非金融机构合格投资人，以及</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">经中国人民银行同意的其他机构投资人。报价商�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">非金融企业债务融资工具</span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商和银行间债券市场做市商�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第三�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">交易产品为非金融企业债务融资工具（简称“债务融资工具”）及经中国人民银行同意的其他交易品种，交易方式包括现券交易及经中国人民银行同意的其他交易类型�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第四�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">市场参与者开展债券交易业务，应遵循公平、诚信、自律的原则，严格遵守有关法律法规、中国银行间市场交易商协会（简称“交易商协会”）自律规则和银行间市场中介平台机构发布的相关规则，接受交易商协会自律管理�?/span></font></p> <p style="text-align: center; line-height: 150%; margin: 6pt 0cm" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">第二�?入市及账户管�?/font></span></b></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第五�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">投资人开展相关业务前，应向交易商协会备案。报价商开展面向非金融机构合格投资人报价业务前，应向交易商协会书面报备�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第六�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">备案后，投资人在北京金融资产交易所有限公司（简称“北金所”）开立交易账户，在银行间市场清算所股份有限公司、中央国债登记结算有限责任公司（以下统称“债券登记托管结算机构”）开立债券账户和资金结算专户，并签署相关服务协议，明确双方的权利和义务�?/span></font></p> <p style="text-align: center; line-height: 150%; margin: 6pt 0cm" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">第三�?span style="line-height: 200%" lang="EN-US"><span style="line-height: 200%"> </span></span>交易</font></span></b></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第七�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">北金所交易日为每周一至周五，遇法定节假日调整除外。开市时间为<span style="line-height: 200%" lang="EN-US">8</span>�?span style="line-height: 200%" lang="EN-US">30</span>，闭市时间为<span style="line-height: 200%" lang="EN-US">16:00</span>。交易时间为<span style="line-height: 200%" lang="EN-US">9:00</span>�?span style="line-height: 200%" lang="EN-US">12:00</span>�?span style="line-height: 200%" lang="EN-US">13:30</span>�?span style="line-height: 200%" lang="EN-US">16:00</span>；如遇变更，北金所应提前向市场公告�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 70.9pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第八�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">报价商在全国银行间同业拆借中�?span style="line-height: 200%" lang="EN-US">(</span>简称“同业中心”）交易系统报价、成交�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 70.9pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第九�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">投资人在非金融机构合格投资人交易系统与报价商进行债券交易。债券交易按照价格优先、时间优先的原则点击成交。投资人不得在交易平台外进行交易，投资人之间也不得进行交易�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">投资人点击交易前应确保资金足额、债券足量�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十一�?span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">最小交易数量为债券面值人民币<span style="line-height: 200%" lang="EN-US">100</span>万元，交易数量应为最小交易数量或其整数倍�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十二条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">债券计价单位为每百元面值债券或每百元面值债券剩余本金对应的价格�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十三条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">投资人提交的点击交易量可全部成交或者部分成交；未成交部分自动失效，纳入当日可用额度�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十四条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">同业中心交易系统生成的成交单为交易双方达成的交易合同，约定交易双方、交易日期、债券品种、债券数量、交易价格或利率、结算方式、结算金额等交易要素。投资人可通过非金融机构合格投资人交易系统打印成交单�?/span></font></p> <p style="text-align: center; line-height: 150%; margin: 6pt 0cm" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">第四�?span style="line-height: 200%" lang="EN-US"><span style="line-height: 200%"> </span></span>托管结算</font></span></b></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十五条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">债券交易结算方式为券款对付。投资人资金结算专户孳息归投资人所有。托管结算等事项按照债券登记托管结算机构要求办理�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十六条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">交易达成后，报价商应在结算日备足券款确保按期结算。若因报价商头寸不足无法结算的，交易双方应根据相关法律法规及交易商协会自律规则自主协商解决。报价商应就无法结算及处理情况于结算日次日向债券登记托管结算机构提交加盖机构公章的书面说明，并抄送交易商协会、同业中心和北金所�?/span></font></p> <p style="text-align: center; line-height: 150%; margin: 6pt 0cm" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">第五�?span style="line-height: 200%" lang="EN-US"><span style="line-height: 200%"> </span></span>附则</font></span></b></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十七条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">投资人在一级市场认购债务融资工具的，须通过债务融资工具集中簿记建档系统与当期债务融资工具主承销商签署相关协议。双方应在签署协议后向银行间市场清算所股份有限公司办理分销结算。投资人所认购的当期债务融资工具不得在交易流通之前转售�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十八条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">若投资人退出银行间债券市场，则投资人仅可将债券账户中的债券卖出或持有到期，不得买入其他债券，直至债券账户余额为零�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十九条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">北金所、同业中心和债券登记托管结算机构应及时披露交易平台债券业务的有关信息，包括但不限于债券相关信息、市场报价信息、市场成交和行情信息、统计信息等�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第二十条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">北金所、同业中心和债券登记托管结算机构应做好一线监测工作，发现异常情况应及时处理并告知交易商协会，并定期书�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">告知交易商协�?/span><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">市场运行情况�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第二十一�?span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">本指引由交易商协会秘书处负责解释�?/span></font></p> <p style="text-align: left; line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph" align="left"><b><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span><font style="line-height: 200%">第二十二�?span style="font: 7pt/200% "Times New Roman""> </span></font></span></span></b><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">本指引自发布之日起施行�?/font><span lang="EN-US"><br style="page-break-before: always" clear="all" /> </span></span></p> <p style="line-height: 150%; tab-stops: 14.2pt" class="MsoNormal"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">附件<span style="line-height: 200%" lang="EN-US">2</span>�?/font></span></p> <p style="line-height: 150%; margin-right: 15.75pt" class="MsoNormal"><span style="line-height: 150%; font-family: 黑体; font-size: 18pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="text-align: center; line-height: 150%; tab-stops: 3.0cm" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 黑体; font-size: 18pt"><font style="line-height: 200%">非金融企业债务融资工具主承销商报价指�?/font></span></b></p> <p style="text-align: center; line-height: 150%; tab-stops: 3.0cm" class="MsoNormal" align="center"><b><span style="line-height: 150%; font-family: 黑体; font-size: 18pt"><font style="line-height: 200%">（试行）</font></span></b></p> <p style="text-align: center; line-height: 150%; layout-grid-mode: char; tab-stops: 3.0cm" class="MsoNormal" align="center"><font style="line-height: 200%"><span style="line-height: 200%; font-family: 宋体; color: #333333">�?/span><span style="line-height: 200%; color: #333333" lang="EN-US">2014</span><span style="line-height: 200%; font-family: 仿宋_GB2312; color: #333333">�?/span><span style="line-height: 200%; color: #333333" lang="EN-US">8</span><span style="line-height: 200%; font-family: 仿宋_GB2312; color: #333333">�?/span><span style="line-height: 200%; color: #333333" lang="EN-US">11</span><span style="line-height: 200%; font-family: 仿宋_GB2312; color: #333333">日第四届常务理事会第三次会议审议通过�?/span></font></p> <p style="line-height: 150%" class="MsoNormal"><span style="line-height: 150%; font-family: 楷体_GB2312; font-size: 16pt" lang="EN-US"><font style="line-height: 200%"> </font></span></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第一�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">为进一步推动银行间市场发展，规范非金融企业债务融资工具（简称债务融资工具）主承销商的报价行为，提高市场流动性，根据《银行间债券市场非金融企业债务融资工具管理办法》（中国人民银行�?span style="line-height: 200%" lang="EN-US">[2008]</span>�?span style="line-height: 200%" lang="EN-US">1</span>号）和《中国银行间市场交易商协会章程》，制定本指引�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt 3.0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第二�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商应自主选择债务融资工具在全国银行间同业拆借中心交易系统向非金融机构合格投资人交易平台投资人（简称“投资人”）持续报价。报价类型包括双边报价和单边买入报价�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第三�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商应对不少于其担任簿记管理人的存续期内债务融资工具只数�?span style="line-height: 200%" lang="EN-US">3%</span>进行双边报价，且双边报价总只数不得少�?span style="line-height: 200%" lang="EN-US">3</span>只�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第四�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商应积极增加双边报价债务融资工具只数，双边报价尽可能涵盖各信用等级和待偿期限�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第五�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商应通过非金融企业债务融资工具集中簿记建档系统满足投资人对其集中簿记的当期债务融资工具一级市场认购需求，且应在该债务融资工具交易流通首日起对其持续报价，若为双边报价适用本指引第三条�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第六�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商变更双边报价债务融资工具时，仍需对变更前的债务融资工具持续报出买入价格，直至满足以下两个条件之一可不再对变更前的债务融资工具报价�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt" class="MsoNormal"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">（一）投资人持有的该债务融资工具的头寸为零；</font></span></p> <p style="line-height: 150%; text-indent: 30pt" class="MsoNormal"><span style="line-height: 150%; font-family: 仿宋_GB2312; font-size: 15pt"><font style="line-height: 200%">（二）主承销商对该债务融资工具的净买入量（即买入量<span style="line-height: 200%" lang="EN-US">-</span>卖出量）大于或等于零�?/font></span></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第七�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商应在开�?span style="line-height: 200%" lang="EN-US">30</span>分钟内对选定的债务融资工具进行报价，报价空白时间不得超�?span style="line-height: 200%" lang="EN-US">1</span>小时，且累计报价时间不得少于<span style="line-height: 200%" lang="EN-US">1</span>小时。交易日间需由双边报价变更为单边报价的，所换入、换出的债券可不受累计报价时间的限制�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第八�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">债务融资工具单笔最小报价数量为面�?span style="line-height: 200%" lang="EN-US">100</span>万元人民币。交易券面总额为最小报价数量或其整数倍。主承销商的报价应按照最小报价数量为变动单位进行拆分成交�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第九�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">主承销商应定期向中国银行间市场交易商协会（简称交易商协会）提交债务融资工具报价情况的书面报告。交易商协会将主承销商报价情况、结算情况等纳入协会相关会员市场评价，并根据有关规定开展自律管理。报价表现优秀的主承销商可获得债务融资工具市场业务创新的相关支持�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十�?nbsp;</span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">非主承销商的银行间债券市场做市商向投资人报价，适用本指引第二、六、八、九条�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十一�?span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt">本指引由交易商协会秘书处负责解释�?/span></font></p> <p style="line-height: 150%; text-indent: 30pt; margin-left: 0cm; tab-stops: 14.2pt" class="MsoListParagraph"><font style="line-height: 200%"><b style="line-height: 200%"><span style="line-height: 200%; font-family: 仿宋_GB2312; font-size: 15pt" lang="EN-US"><span style="line-height: 200%">第十二条<span style="font: 7pt/200% "Times New Roman""> </span></span></span></b><span style="line-height: 200%; 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