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2000年6月,宁波波导股份有限公司新股发行时,法人投资者“宁夏煤炭进出口销售公司”获配10万法人股后,又参加上网申购,中签1000股,此举违反了我会发布的《关于进一步完善股票发行方式的通知》(证监发行字[1999]94号)中“法人不得同时参加配售和上网申购”的规定,属于无效申购。为规范法人配售行为,严格对新股发行过程的监管,经我会研究决定,由上海证券交易所责成宁夏煤炭进出口销售公司出售宁波波导股份有限公司的1000股A股,盈利收入予以没收,上交国库。同时,我会对宁夏煤炭进出口销售公司违规申购新股问题提出警告:该公司在今后的新股申购中再出现类似违规行为,我会将禁止其参与新股申购。
June 2000, Ningbo Bird Co., Ltd. IPO, corporate investors “Ningxia coal import and export sales company ” was allocated 100,000 legal person shares, but also to participate in the Internet subscription, winning 1,000 shares, in violation of this I will release The “Notice on Further Improving the Method of Stock Issuance” (CSRC [1999] No.94) that “the legal person may not participate in the allotment and online purchase at the same time” is an invalid subscription. In order to regulate the placing behavior of legal persons and to strictly regulate the IPO process, as I will study and decide, the Shanghai Stock Exchange shall order Ningxia Coal Import and Export Sales Company to sell 1000 A shares of Ningbo Bird Co., Ltd., and confiscate its earnings. Pay the treasury. At the same time, I would warn Ningxia coal import and export sales company illegal subscription of new shares issue: the company in the future purchase of new shares in the recurrence of similar violations, I will ban their participation in new shares subscription.