· Document Number：No. 39 [2018] of the Shanghai Stock Exchange

· Area of Law： Securities

· Level of Authority： Industry Regulations

· Date issued：06-15-2018

· Effective Date：06-15-2018

· Issuing Authority： Shanghai Stock Exchange

· Status： Effective

Notice of the Shanghai Stock Exchange to Amend Articles 1.1 and 1.2 of the Stock Listing Rules of the Shanghai Stock Exchange
(No. 39 [2018] of the Shanghai Stock Exchange)
All market participants:
For the purposes of supporting pilot innovative enterprises' issuance of stocks or depository receipts within China and listing on the Shanghai Stock Exchange (hereinafter referred to as the “SSE”), the SSE has amended Articles 1.1 and 1.2 of the Stock Listing Rules of the Shanghai Stock Exchange (revised in April 2018) and the amended content is as follows:
I. Article 1.1 is amended to read: “For the purposes of regulating the listing of stocks, depository receipts, corporate bonds that may be converted into stocks (hereinafter referred to as “convertible corporate bonds”) and other derivatives (hereinafter referred to as “stocks and their derivatives”) and the information disclosure of listed companies and relevant parties with information disclosure obligations, maintaining the order of the securities market, and protecting the lawful rights and interests of investors, these Rules are developed in accordance with the Company Law of the People's Republic of China (hereinafter referred to as “Company Law”), the Securities Law of the People's Republic of China (hereinafter referred to as the “Securities Law”), the Measures for the Administration of Stock Exchanges and other relevant laws, administrative regulations, departmental rules and the Constitution of the Shanghai Stock Exchange.”
II. Article 1.2 is amended to read: “These Rules shall apply to the listing of stocks, depository receipts and their derivatives listed on the Shanghai Stock Exchange (hereinafter referred to as the “SSE”), information disclosure, suspension of trading, and other matters.
Where the listing, information disclosure, suspension of trading, and other matters of the stocks, depository receipts, warrants and other derivatives of domestic and overseas companies are otherwise prescribed by the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”) and the SSE, such provisions shall apply.”
III. The aforesaid amendments, which have been deliberated and adopted by the board of governors of the SSE and approved by the CSRC, are hereby issued and shall come into force on the date of issuance.
Shanghai Stock Exchange
June 15, 2018