为进一步规范证券公司从事股票发行主承销业务活动,中国证监会今天正式对外发布《证券公司从事股票发行主承销业务有关问题的指导意见》,将首次公开发行股票与上市公司再融资的规范监管结合起来,从而为证券公司统一首次发行和再融资业务提供了基本指引。《指导意见》明确指出,证券公司从事股票发行主承销业务包括主承销首次公开发行股票、上市公司向原股东配售股票和向全体社会公众发售股票。《指导意见》明确了发行主承销的责任,要求担任股票发行主承销商的证券公司,应当遵循勤勉尽责、诚实信 To further regulate securities companies engaging in principal underwriting activities in stock issuance, the CSRC today formally released the Guiding Opinions on Issues Relating to the Main Underwriting of Stock Issuance by Securities Companies, combining the normative supervision of initial public offering with the refinancing of listed companies It provides the basic guidelines for the unified initial public offering and refinancing of securities companies. The Guiding Opinion clearly states that the principal underwriting business of securities companies in issuing stocks includes the underwriting of the initial public offering of stocks, the placing of shares by the listed company to the former shareholders and the sale of shares to the general public. The Guiding Opinions clarify the responsibility of issuing lead underwritings and require securities companies that act as lead underwriters for stock issuance to follow diligence and honesty