· Document Number：No. 138 [2016] of the Shenzhen Stock Exchange

· Area of Law： Securities

· Level of Authority： Industry Regulations

· Date issued：04-28-2016

· Effective Date：05-09-2016

· Status： Effective

· Issuing Authority： Shenzhen Stock Exchange

Notice of the Shenzhen Stock Exchange on Amending the Trading Rules of the Shenzhen Stock Exchange
(No. 138 [2016] of the Shenzhen Stock Exchange)
All market participants:
With the approval of the China Securities Regulatory Commission, the Shenzhen Stock Exchange (“SZSE”) hereby decides to amend the Trading Rules of the Shenzhen Stock Exchange (2015 Revision) as follows:
I. The trading mainframe will no longer accept auction orders from 9:25 to 09:30 on each trading day. Article 3.3.1 is amended to read: “The SZSE accepts auction orders routed by members from 9:15 to 9:25, 9:30 to 11:30, and 13:00 to 15:00 on each trading day.
From 9:20 to 9:25 and 14:57 to 15:00 on each trading day, the trading mainframe of the SZSE will not accept cancellation of auction orders; and during other time frames when orders are accepted, unexecuted orders may be cancelled.
The SZSE may adjust the time frames of accepting orders routed by members.”
II. The conditions for trading in securities in the form of block trading are adjusted. Items (5), (6), (7), and (8) of Article 3.6.1 are deleted.
III. Real-time transaction confirmation and quotation display will be applied to the block trading in bonds by agreement. Article 3.6.7 is amended to read: “The time of confirmation of transactions in equity securities in the form of block trading by agreement shall be from 15:00 to 15:30 on each trading day; the time of confirmation of transactions in bonds in the form of block trading by agreement shall be from 9:15 to 11:30 and 13:00 to 15:30 on each trading day.”
Item (1) of Article 3.6.9 is amended to read: “The quotation information on the block trading in bonds by agreement, including but not limited to: securities codes, abbreviations of securities, types of declaration, buy or sell, quantities, and prices; the information on transactions in bonds in the form of block trading by agreement, including but not limited to: securities codes, abbreviations of securities, the latest price, highest price, and lowest price on the day, total transaction volume, total transaction amount, and total number of transactions.”
IV. The SZSE will no longer accept block trading orders for securities during temporary trading suspension or securities with trading suspension until the close of the market. Paragraph 3 of Article 3.6.3 is amended to read: “The SZSE shall not accept orders in block trading by agreement for securities during all-day trading suspension or temporary trading suspension or securities with trading suspension until the close of the market on the day.”
One paragraph is added as paragraph 4 in Article 3.6.3: “The SZSE shall not accept block trading orders with after-hours pricing for securities during all-day trading suspension or with trading suspension until the close of the market on the day.”
This Notice shall come into force on May 9, 2016. The Trading Rules of the Shenzhen Stock Exchange (2015 Revision) as amended according to this Notice shall be reissued.
All member entities, fund manager institutions, and others shall effectively make relevant business and technical preparations.
Annex: Trading Rules of the Shenzhen Stock Exchange (2016 Revision)
Shenzhen Stock Exchange
April 28, 2016