CAP 571R SECURITIES AND FUTURES (SHORT SELLING AND SECURITIES BORROWING AND LENDING (MISCELLANEOUS))
美股代码的缩写
美股代码的缩写【篇一：美股代码的缩写】美股d就是adfn的缩写，是对所有暗盘通道的缩写表示。
除了ntpm的外，剩下的基本都用d表示了。
主要有以下一些：nasd（t或者q，nasdaq显示q，nyse显示t）arca（p）nyse（n）bats（z）edgx（k）edga（j）nqbx（b）amex（a)byx（y）cboe（w)本回答专业性由经济金融分类达人成微认证【篇二：美股代码的缩写】share, equity, stock、股权bond, debenture, debtsnegotiable share可流通股份convertible bond可转换债券treasury/government bond国库券/政府债券corporate bond企业债券closed-end securities investment fund 封闭式证券投资基金open-end securities investment fund 开放式证券投资基金fund manager基金经理/管理公司fund custodian bank 基金托管银行market capitalization 市值p/e ratio 市盈率(price/earning)mark-to-market逐日盯市payment versus delivery 银券交付clearing and settlement 清算/结算commodity/financial derivatives 商品/金融衍生产品put / call option 看跌/看涨期权margins, collateral 保证金rights issue/offering 配股bonus share 红股p>adr美国存托凭证/存股证(american depository receipt) gdr全球存托凭证/存股证(global depository receipt) retail/private investor 个人投资者/散户institutional investor机构投资者broker/dealer 券商proprietary trading 自营insider trading/dealing 内幕交易market manipulation 市场操纵prospectus招股说明书ipo 新股/初始公开发行(initial public offering)merger and acquisition收购兼并all ordinaries index （澳大利亚）股市指数amex(american stock exchange) 美国股票交易所amortize 摊提，分期偿还债务annuity 年金享受权asking price 卖主的开叫价assess 对（财产等）进行估价，确定（款项）的金额back 拖欠的bad loan 呆账，坏账bailout 帮助……摆脱困境balloon （分期付款中）最后数目特大的一笔barometer 晴雨表，[喻]标记，指标basis point 基点（一个百分点的百分之一）bear markets 熊市blue-chip （股票等）热门的，（在同行中）最赚钱的forex foreign exchangebond 债券，公债bourse 交易所，证券交易所bull marketsbullish 牛市的bunji-change 快速的大幅度变化cac-40 index （法国）股市指数cd(certificate-of-deposit) 大额存款单chicago mercantile exchange 芝加哥商业交易所consumer price index 消费者价格指数contagion 蔓延correction 调整coupon rate 券根利率cta(commodities trading advisor) 农矿产品交易顾问currency board 货币委员会dax index （法兰克福）德国股市指数dead loandelist 从上市证券表中除名derivatives 衍生金融商品（由利率或债券、外汇或汇率以及股票或股价指数等现货市场衍生出来，主要有期货futures、期权option trading与掉期swap三种类型，品种多达100余种。
期货
期货英语口(Lot)计算期货合约的单位。
一口表示一张期货合约。
仓位、部位(Position)留置在市场中尚未结清的期货合约平仓(Offset ;Square ;Liguidate)将尚未结清的仓位反向冲销（轧平）保证金(Margin)保证履行期货交易义务的资金。
期货交易人需在交易前将保证金存入期货公司保证金专户之中。
原始保证金(Initial Margin)欲建立新仓位时所需的资金。
原始保证金的额度由交易所订定。
维持保证金(Maintenance Margin)在建立仓位后所需维持在账户中的最低保证水平。
若保证金总额低于所需的维持保证金，经纪商将向客户发出保证金追缴通知。
保证金追缴(Margin Call)若保证金总额低于维持保证金时，经纪商必须向客户发出追缴通知，客户应缴足保证金至原始保证金的水平。
第一通知日(First Notice Day ;FND)持有期货合约卖方仓位者，可表示将交割实物商品给持有买方仓位者的第一天。
这个日期依照商品的不同而异。
最后交易日(Last Trading Day ;LTD)期货合约可进行交易的最后一天。
若在最后交易日之后仍未平仓，则将被迫进行实物交割。
交割(Delivery)在期货合约到期时，卖方移转现货商品所有权给买方，买方需支付与合约等值的现金。
转仓(Switch)将留仓的期货仓位同时以一买一卖或一卖一买的方式使近月合约为远月合约继续持有。
基差(Basis)现货与期货间的价格差。
现货价格减期货价格即等于基差。
在正常市场情况下，基差为负数。
价差(Spread) 近月期货合约与远月期货合约的价格差。
近月期货价格减远月期货价格即等于价差。
所谓价差交易就是同时买进与卖出某种期货合约的交易方式。
对冲(Hedge)为保护未来在现货市场的交易而预先建立相反的期货仓位，以规避价格波动的风险。
多头市场(Bull Market)对未来价格看涨的市场。
做多即表示买进。
空头市场(Bear Market)对未来价格看跌的市场。
财经英语词汇翻译(M)
财经英语词汇翻译(M)财经英语词汇翻译(M)财经英语词汇翻译(M)m1 m1 〔货币供应量〕m1, hk$ 港元m1m2 m2 〔货币供应量〕m2, hk$ 港元m2m3 m3 〔货币供应量〕m3, hk$ 港元m3maastricht treaty 《马城条约》macao pataca 澳门元machinery and equipment 机器及设备macro analysis section 宏观经济分析组〔财经事务局〕macro assessment 整体评核macro market trend 大市走势macroeconomic adjustment and control measure 宏观经济调控措施macroeconomic implication 对总体经济的影响macroeconomic level 总体经济的层次macroeconomic management 总体经济管理制度；宏观经济管理制度macroeconomic policy 总体经济政策；宏观经济政策macroeconomic variable 总体经济变量；宏观经济变量macroeconomics 宏观经济学；总体经济学madrid stock exchange 马德里证券交易所mail remittance 邮汇mail transfer 信汇mail transfer advice 信汇通知书mail transfer rate 信汇汇率maintenance fee 赡养费；生活费；保养费maintenance grant 生活补助金maintenance margin 最低保证金；保证金下限maintenance of adequate capital 维持足够资本major client 主要客户；大户major hang seng index constituent stock 恒生指数主要成分股major shareholder 大股东；主要股东major trading partner 主要贸易伙伴major transaction 重大交易majority shareholder controller 大股东控权人makati stock exchange 马卡地证券交易所malayan banking berhad 马来亚银行management accounting section 管理会计组〔香港金融管理局〕management bank 管理银行management bank of the clearing house of hong kong association of banks 香港银行公会结算所管理银行management buy-out 管理收购management contract 管理合约management fee 管理费management information system 管理信息系统management of public finance 公共财政管理management of public utility-type undertakings 公用事业式企业的管理management overhead 间接管理费用management reporting system 管理汇报系统management share 董事股份；管理层的股份manager of property 财产管理人managing director 常务董事；执行董事；董事长managing partner 主理合伙人mandatory bid 强制性收购建议mandatory general offer 强制性公开要约mandatory offer 强制要约；强制性要约mandatory provident fund 强制性公积金mandatory provident fund authority 强制性公积金管理局mandatory provident fund office 强制性公积金办事处mandatory provident fund scheme 强制性公积金计划manila stock exchange 马尼拉证券交易所manual of the hong kong securities industry 《香港证券业参考手册》manufacturing and services-based economy 以制造业及服务业为主的经济manufacturing sector 制造业marche a terme international de france 法国期货市场marche a terme international de france matif s.a. 法国结算公司marche des options negociables de la bourse de paris 巴黎证券交易所期权市场marche des options negociables de paris 巴黎期权市场margin 保证金；“孖展”；毛利；差价margin account 保证金账户；“孖展”户口margin call 追缴保证金通知；追补按金通知margin client 保证金客户；“孖展”客户margin deposit 保证金；按金；“孖展”margin loan 保证金贷款；“孖展”贷款margin of solvency 偿付准备金margin requirement 应付保证金margin trading 以股票按贷财务方式买卖；以“孖展”方式买卖；保证金交易；按金交易marginal cost 边际成本marginal effect 轻微影响marginal relief 边际宽免；所得税减免marginal tax band 边际税阶marginal tax rate 边际税率marine insurance 海上保险marine insurance business 海上保险业务marine risk 水险；海险marker rate of allowance 指标津贴额market 市场；股市market access 开放市场；进入市场market and product development division 市场及产品发展科〔香港联合交易所有限公司〕market anomaly 市场反常现象market body 市场团体market breadth 市场宽度market capitalization 资本市值；市价总值market charge 市场抵押market closure 停市market collateral 市场抵押品market development divisionmarket discipline 市场规律market disruption 市场干扰market economy 市场经济market efficiency 市场效率market fluctuation 市场波动；市情升降market forces 市场力量market information 市场资料；市场信息；行情market infrastructure 市场基础设施market intermediary 市场中介者market leader 市场主要股份；市场领导者market maker 市场作价者；市场“庄家”market malpractice 市场不当行为market manipulation 操纵市场；“造市”market mechanism 市场机制；市场调节机能market median 市场中位数market member 市场会员market on close 按收市盘market order 市价盘；市价订单market participant 市场人士market practitioner 市场从业员market price 市价；市场价格market price development 市场价格变动market rate 市价；市场利率；市场汇率market rate of discount 市场贴现率market rate of interest 市场利率market rent 市值租金；市面租金market rigging 操纵市场market risk 市场风险market risk regime 市场风险制度market sentiment 市场情绪市场发展处〔香港金融管理局〕market services group 市场服务处〔香港联合交易所有限公司〕market share 市场占有率market statistics 市场统计；行情market surveillance policy 市场监察政策market systems division 市场系统处〔香港金融管理局〕market trend 市场趋势market value 市值market value adjustment 市值调整marketability 适销性；流通性；销售能力marketable debt securities 有价债务证券marketable government debt 有价公债marketable securities 有价证券market-determined price 由市场决定的价格market-disciplined economy 由市场力量支配的经济market-disciplined free-enterprise economy 由市场因素决定的自由企业经济体系market-friendly 有利市场运作marketing organization facility 统营设施market-making system 市场作价制度；市场“庄家”制度market-orientation 以市场为主导market-oriented economy 市场主导的经济体系market-sensitive information 市场敏感资料；影响市场的数据mark-to-market 按市价计值；按市价计算差额marriage settlement 婚姻授产契married person's allowance 已婚人士免税额mashreq asia limited 马捷力亚洲有限公司mass production 大量生产mass transit fund 地下铁路基金mass transit railway corporation note 香港地下铁路公司债券massive downward pressure 强大的向下调整压力match an order 对单；对盘matching 对销；相配；对盘matching grant 半费资助；等额津贴matching system 对销系统；相配系统；对盘系统material risk 重大风险mathematical reserve 数理储备金maturity 到期maturity mismatch profile 期限错配组合maturity mismatching arrangement 期限错配安排maturity mismatching of assets and liabilities 资产与负债期限错配maximum amount 最高款额maximum benefit 最大利益maximum rate of interest 最高利率means test 经济状况调查measure of risk exposure 衡量风险承担的方法median income household 中位数入息家庭median return 中位回报medium range forecast 中期预测medium to long-term funds 中长期资金meeting of creditors 债权人会议member firm 会员商号members affairs committee 会员事务委员会〔香港期货交易所有限公司〕membership and rules committee 会籍及则例委员会〔香港期货交易所有限公司〕membership committee 会籍委员会〔香港联合交易所有限公司〕memorandum account 备查账户；备忘帐项memorandum and articles of association 《组织大纲及章程》〔香港联合交易所有限公司〕memorandum notes on the revenue estimates 税收预算备忘录memorandum of agreement 协议备忘录；合约备忘录memorandum of association 组织大纲；组织章程大纲memorandum of regulatory co-operation 《监管合作备忘录》memorandum of satisfaction 清偿备忘录memorandum of understandingsecurities and futures commission 《谅解备忘录》〔香港金融管理局与证券及期货事务监察委员会签署〕merchant bank 商人银行merger 合并merger agreement 合并协议method of apportionment on a pro rata basis 按比例分摊计算办法michinoku finance (hong kong) limited 北日本财务（香港）有限公司micro analysis section 微观经济分析组〔财经事务局〕microeconomics 微观经济学；个体经济学midcap stock 中型股middle interbank rate 银行同业中间利率middle market cross-rate 中间市场套汇率middle market rate 市场中间价格；市价中位数middle rate 中间汇率mid-market price 中期市场价格mid-year review 年中检讨；中期经济检讨报告milan stock exchange 米兰证券交易所minimum denomination 最低面额minimum price movement 最低波动价位minimum principal value 最低基本价值minimum subscription 最低认购额minority interest 少数权益；少数股东权益minority shareholder 小股东；少数股东minority shareholder controller 小股东控权人miscellaneous expenses 杂项支出miscellaneous fees 杂项费用miscellaneous income 杂项收入miscellaneous services 杂项服务mismatch 错配mitsubishi trust and banking corp. 三菱信托银行mitsubishi trust finance (asia) limited 三菱信托财务（亚洲）有限公司mitsui trust and banking co., ltd. 三井信托银行mitsui trust finance (hong kong) limited 三井信托财务（香港）有限公司mixed option 可延买亦可延卖的期权mixed uptrend 反复向上mode of payment 付款办法；发薪办法model code for securities transactions by directors of listed companies 《上市公司董事进行证券交易的标准守则》moderate growth 轻微增长；稍微增长moderating trend 下降趋势；放缓趋势modification 修订；放宽modified consumer price index 修订消费物价指数modified factor system 修正因素计算法monetary aggregate 货币总体数字；货币流通总额monetary and financial system 货币金融体系monetary arrangement 金融财务安排monetary assets 货币资产monetary authority 金融管理专员monetary base 货币基础monetary discipline 货币秩序monetary instrument 金融票据；金融工具monetary operations division 货币市场运作处〔香港金融管理局〕monetary policy 货币政策；金融政策monetary policy and markets department 货币政策及市场部〔香港金融管理局〕monetary policy division 货币政策处〔香港金融管理局〕monetary regime 货币体制monetary sector 金融界；金融体系monetary situation 货币情况monetary squeeze 货币紧缩；货币压缩monetary stability 金融体制的稳定性monetary unit 货币单位monetary value 币值monetization 货币化；币值化monetized value 货币化价值money 货币；款项；金钱money at call 短期通知款项money at call and at short notice 短期通知放款；短期内可收回的贷款money base 货币基础；银基money broker 货币经纪money changer 货币兑换商money flow 货币流量money for order 汇款单money income 货币收入money income per capita 按人口平均计算的货币收入money laundering 洗钱活动；洗钱；洗黑钱；洗黑钱活动money lender 放债人money lender's licence 放债人牌照money lenders registry 放债人注册处money lenders section 放债人注册组〔公司注册处〕money lending advertisement 放债广告money lending transaction 放债交易money market 货币市场；金融市场；短期资金市场money market instrument 货币市场工具；金融市场票据money market operation 货币市场运作money market rate 货币市场利率money of the day 付款当日价格money of the day equivalent 按付款当日价格计算的等值款额money order 汇票money out on mortgage 有按揭的放款money owed 欠款money payable on demand 按要求随时支付的款项money stock 货币存量money supply 货币供应量money wage 货币工资money wage rate 货币工资率money world asia exhibition, hong kong 香港货币及投资汇展money's worth 金钱等值monitoring procedure 监察程序monopoly 垄断；独营权monthly balance 月结monthly balance sheet 月结表；月份资产负债表monthly market statistics 《市场统计月报》monthly rated 按月计monthly statement 月结单monthly statistical bulletin 《金融数据月报》〔香港金融管理局〕monthly turnover 每月成交量montreal stock exchange 蒙特利尔证券交易所moody's investors services, inc. 穆迪投资者服务公司moody's rating 穆迪评级moral claim 道义申索moratorium 延期偿付权；暂行禁令more sophisticated economy 更先进完备的经济体系morgan guaranty trust company of new york 摩根信托公司morgan stanley capital international china index 摩根士丹利资本国际中国指数morgan stanley capital international hong kong index 摩根士丹利资本国际香港指数mortgage 按揭；抵押mortgage arrangement 按揭贷款安排mortgage debenture stock 抵押债权股证mortgage deed 按揭贷款契据；抵押契据mortgage default guarantee 按揭条件违约保证mortgage facility 按揭借款；抵押借款mortgage finance 按揭贷款；抵押融资mortgage interest 按揭利息mortgage interest relief scheme 按揭利息免税计划mortgage interest subsidy scheme 按揭利息津贴计划mortgage loan 按揭贷款；抵押贷款mortgage money 按揭金mortgage note 抵押票据mortgage rate 按揭利率mortgage securitization 按揭证券化mortgage security 按揭抵押mortgage terms 按揭条件；抵押条件mortgage-backed securities 按揭证券mortgaged property 按揭财产mortgagee 承按人；承押人；受押人mortgagee in possession 管有承按人mortgagor 按揭人；抵押人mother fund 母基金motor insurers' bureau of hong kong 香港汽车保险局motor vehicle first registration tax 汽车首次登记税motor vehicle insurance business 汽车保险业务motor vehicle tax 车辆税movable property 动产move within a narrow range 在窄幅上落movement 流动；变动；趋势movement of market rent 市值租金的变动moving average 移动平均数multi-currency trading 多元货币买卖multilateral agency 多边机构；多边代理机构multilateral agency debt instrument 多边代理机构债务票据multilateral development bank 多边发展银行multilateral exchange rate model 多边汇率模式multilateral financial institution 多边金融机构multilateral investment guarantee agency 多边投资担保机构multiplier effect 倍数作用；乘数效应multi-purpose stored value card 多用途储值卡mutual corporation 互助公司mutual credit 相互信贷mutual dealing 相互交易mutual debt 相互债项mutual fund 互惠基金mutual fund corporation 互惠基金法团；互惠基金公司mutual fund prospectus 互惠基金招股章程mutual fund unit 互惠基金单位mutual insurance corporation 相互保险法团mutual loan syndicate 义会；银会mutual offset 相互补偿；相互抵销mutual right 相互权利财经英语词汇翻译(M) 相关内容:。
股票交易词汇中英对照
股票交易词汇中英对照小编为大家整理了股票交易词汇中英对照，希望对你有帮助哦! 股票交易词汇中英对照：集资 Capital Raising楔形 Wedge溢价 Premium碎股 Odd Lot道氏理论 Dow Theory撇帐 Provisioning旗形 Flag熊市 Bear Market碟形底 Saucer Bottom碟形顶 Saucer Top增长股 Growth Stock箱形 Box亚当理论 Adam's Theory产负债表 Balance Sheet伦敦港股 London Market for Hong Kong Stocks债券风险溢价 Risk Premium for Bonds兑换率 Conversion Ratio国企股 H Stock国企指数 Hang Seng China Enterprises Index国内生产总值 Gross Domestic Product (GDP)圆形底 Rounding Bottom圆形顶 Rounding T op场外交易市场 Over-the-Counter (OTC)备兑认股证 Covered Warrants备兑证 Equity Warrants头肩底 Head and Shoulders Bottom头肩顶 Head and Shoulders Top实质利率 Real Interest Rate对冲 Hedge对冲比率 Hedge Ratio对冲基金 Hedge Fund岛形转向 Island Reversal挟仓 Cornering the Market损益表 Statement of Income换马 Switching斩仓 Stop Loss热钱 Hot Money现金户口 Cash Account红股 Bonus Share红筹股 Red Chip红筹指数 Hang Seng China-Affilated Corporation Index 纯利 Net Profit线形图 Line Chart结算价 Final Settlement Price综合财政报表 Consolidated Financial Statement联交所 Stock Exchange of Hong Kong Limited (SEHK) 联系汇率 Linked Exchange Rate营业额 Turnover蓝筹股 Blue Chip认沽期权 Put Options认股证 Warrants认购期权 Call Options证监会 Securities and Futures Commission (SFC)负债比率 Debt Ratio财务报表 Financial Statement货币政策 Monetary Policy货币发行局机制 Currency Board System 贴现率 Discount Rate贴现窗 Discount Window资本增值 Capital Gain资本减值 Capital Loss资产净值 Net Asset value (NAV)资产负债表 Balance Sheet转势 Reversal银团贷款 Syndicated Loans长方形 Rectangle长期负债 Long-term Liabilities长仓 Long Position阴阳烛 Candlestick Chart随机走势假设 Random Walk Hypothesis 随机走势理论 Random Walk Theory随机指数 Stochastic风险 Risk风险溢价 Risk PremiumH股 H Stock一篮子备兑证 Basket Covered Warrants 入限价买盘 Buy Limit Order三角形 Triangle三底 Triple Bottoms三顶 Triple Tops下降楔形 Falling Wedge下降旗形 Falling Flag下降轨 Downward Trendline下跌风险 Downside Risk上升楔形 Rising Wedge上升旗形 Rising Flag上升轨 Upward Trendline上升风险 Upside Risk大手成交 Large Transaction大利市机 Teletext中央结算系统 Central Clearing and Settlement System 互惠基金 Mutual Funds分拆 Spin-off升水 Premium引伸波幅 Implied Volatility手 Lot Size支持线 Support Line止蚀盘 Stop Loss Order止赚盘 Stop Profit Order牛市 Bull Market出限价沽盘 Sell Limit Order可换股债券 Convertible Bonds市价盘 Market Order市盈率 Price-to-earnings Ratio (P/E Ratio)平价 At the Money未平仓合约 Open Interest未平仓合约 Open Interest生产物价指数 Producer Price Index (PPI)生产物价指数 Producer Price Index, PPI交叉盘 Cross Trade名义利率 Nominal Interest Rate合并 Merger回报 Return成分股 Constituent Stock成交量 Volume收市价 Closing Price老鼠仓 Rat Trading自动对盘 Automatching行使价 Exercise Price优先股 Preferred Stock价外 Out of the Money价内 In the Money孖展户口 Margin Account庄家 Market Maker低水 Discount利率 Interest Rate即日鲜 Day Trading批股 Share Placement折让 Discount投资组合理论 Portfolio Theory投资银行 Investment Banker杠杆比率 Gearing Ratio每日波幅限额 Daily Fluctuation Limit 系统性风险 Systematic Risk供股 Right Issue供股 Right Issue供股权 Rights固定资产 Fixed Asset定息债券 Fixed Income Securities 所有普通股指数 All-Ordinaries Index 招股书 Prospectus拋空 Short Sale拆出利率 Offer Rate注资 Asset Injection沽空 Short Sale波浪理论 Wave Theory波幅 Volatility股市指数 Stock Index股份回购 Share Buyback/Repurchase股息 Dividend股票市场 Stock Market股票孖展 Share Margin股东股本利益Shareholer’s Equity金管局 Hong Kong Monetary Authority阻力区 Resistance Level阻力线 Resistance Line信贷评级机构 Credit Rating Institution按金户口指数备兑证 Index Covered Warrants柱状图 Bar Chart流动比率 Current Ratio流动负债 Current Liabilities流动资产 Current Asset相反理论 Contrarian Theory美国联邦贴现率 Federal Discount Rate背驰 Divergence衍生工具 Derivatives限价盘 Limit Order香港银行同业拆息 Hong Kong Interbank Offer Rate (HIBOR) 恒生一百指数 Hang Seng 100 Index恒生中国企业指数Hand Seng China-affiliated Corp Index (HSCCI)恒生中资企业指数 Hang Seng China Enterprises Index (HSCEI) 恒生五十中型股指数 Hang Seng Midcap 50 Index恒生指数 Hang Seng Index套戥 Arbitrage息率 Dividend Yield效率市场假设 Efficient Market Hypothesis核数师意见 Auditor Opinion消费物价指数 Consumer Price Index (CPI)特殊项目 Exceptional Items特别成交 Special Trade神奇数字 Fibonacci Number追击手 Raider除息 Ex-dividend除净 Ex-all除权 Ex-right高水 Premium停版 Limit停牌 Suspension商人银行 Merchant Banker啤打系数 Beta Coefficient基本利率 Base Rate球 Million Share移动平均线 Moving Average第一市场 Primary Market第一市场直接批股 Direct Placement第二市场 Secondary Market通胀 Inflation最优惠利率 Prime Rate循环理论 Cyclical Theory普通股 Common Stock期交所 Hong Kong Futures Exchange Limited (HKFE) 期权 Options期货 Futures期货合约 Futures Contract程序买卖 Programme Trading裂口 Gap超买 Over Bought超卖 Over Sold内幕交易 Insider Trading单日转向 One-day Reversal单位信托基金 Unit Trusts双底 Double Bottoms双顶 Double Tops国民生产总值 Gross National Product (GNP)。
HK listing rules
Annex 1SECURITIES AND FUTURES (STOCK MARKET LISTING) RULES(NO. 5 OF 2002, SECTION 36(1))ARRANGEMENT OF SECTIONSPART IPRELIMINARYNo. Page1. Commencement (3)2. Interpretation (3)PART IISTOCK MARKET LISTING3. Requirements for listing applications (4)4. Exemptions from section 3 (5)5. Copy of listing materials to be filed with the Commission (6)6. Copy of ongoing disclosure materials to be filed with the Commission (8)PART IIISUSPENSION OF DEALINGS7. Suspension of dealings in securities (9)8. Powers of the Commission upon the suspension under this Part ofdealings in any securities (10)9. Provisions supplementary to sections 7 and 8 (13)10. Restriction on re-listing (13)11. Waiver of requirements of Parts II and III (13)PART IVAPPROVED SHARE REGISTRARS12. Approval of share registrars (14)13. Securities not to be listed where approved share registrar not employed (14)14. Suspension of dealings in cessation of employment etc. ofapproved share registrar (14)15. Power to exempt (16)16. Appeal against suspension (16)PART VMISCELLANEOUS17. Suspensions, etc. by recognized exchange company to be notified to theCommission (17)18. Notices, etc. to be in writing (17)SECURITIES AND FUTURES (STOCK MARKET LISTING) RULES(Made by the Securities and Futures Commission under section 36(1) of theSecurities and Futures Ordinance (5 of 2002) after consultation with theFinancial Secretary and the Stock Exchange Company.)PART IPRELIMINARY1. CommencementThese Rules shall come into operation on the day appointed for the commencement of Part III of the Securities and Futures Ordinance (5 of 2002).2. InterpretationIn these rules, unless the context otherwise requires –"applicant" means a corporation which has made an application under section 3; "application" means an application made under section 3 and all documents in support of or in connection with the application including any replacement of or amendment or supplement to such application and the filing obligation in section 5(1) applies separately to any such replacement, amendment or supplement;“approved share registrar” means a share registrar who is member of an association of persons approved, for the purposes of these Rules, by the Commission under section 15;"chief executive", in relation to a corporation, means a person who either alone or together with one or more other persons is or will be responsible under the immediate authority of the board of directors for the conduct of the business of the corporation;"director", in relation to the Commission, means a director appointed under Schedule 2 of the Ordinance;"expert" means an expert within the meaning of section 38C of the Companies Ordinance (Cap. 32); "issuer" means a corporation or other body whose securities are listed, or proposed to be listed, on a recognized stock market;“share registrar” means any person who maintains in Hong Kong the register of members of a corporation the securities of which are listed, or proposed to be listed, on a recognized stock market.PART IISTOCK MARKET LISTING3. Requirements for listing applicationsAn application made by a corporation to a recognized exchange company for the listing of any securities issued or to be issued by that applicant must –(a) comply with the rules and requirements of the recognized exchange company(except to the extent that compliance is waived or not required by therecognized exchange company);(b) comply with any provision of law applicable;(c) contain such particulars and information which, according to the particularnature of the applicant and the securities for the listing of which application isbeing made, is necessary to enable an investor to make an informedassessment of the activities, assets and liabilities and financial position, of theapplicant at the time of the application and its profits and losses a nd of therights attaching to such securities;(d) state the name of the applicant;(e) give particulars of the numbers, classes and denominations of the securitieswhich are the subject of the application;(f) give particulars of the proposed manner of issue of the securities, whether byoffer for sale, public subscription, private placing, introduction or otherwise;(g) state, in so far as is known, or may be ascertained after reasonable enquiry, bythe directors of the applicant, the name and address of any person who at thetime of the application is a substantial shareholder of the applicant or ofanother corporation of which it is a subsidiary, and the extent of hisshareholding in the applicant or that other corporation;(h) give particulars of the qualifications and experience of the directors and chiefexecutive of the applicant;(i) specify the purpose for which the applicant intends to use the proceeds (ifany) of the issue or sale of the securities to which the application relates, orthe portion of such proceeds to be received by the applicant; and(j) specify the qualifications of any person whose opinion as an expert is referred to in any document included in the application.4. Exemptions from section 3Section 3 does not apply to the listing of any –(a) securities issued or allotted –(i) by a capitalization issue pro rata (apart from fractional entitlements) toexisting shareholders, other than to shareholders whose addressesregistered in the books of the corporation are in a place outside HongKong and to whom they are not issued or allotted because ofrestrictions imposed by legislation of that place; or(ii) pursuant to a scrip dividend scheme which has been approved by thecorporation in general meeting;(b) securities offered on a pre-emptive basis, pro rata (apart from fractionalentitlements) to existing holdings, to holders of the relevant class of shares inthe corporation , other than to shareholders whose addresses registered in thebooks of the corporation are in a place outside Hong Kong and to whom theywere not offered because of restrictions imposed by legislation of that place;(c) shares issued in substitution for shares listed on a recognized stock market, ifthe issue of the shares does not involve any increase in the issued share capitalof the corporation.5. Copy of listing materials to be filed with the Commission(1) An applicant must file a copy of its application with the Commission within one business day after the day on which the applicant submits the application to the recognized exchange company concerned.(2) An applicant is regarded as having complied with subsection (1) on the day it submits the application to the recognized exchange company concerned if, prior to or at the time of submitting the application to the recognized exchange company the applicant has authorized the recognized exchange company in writing to file the application with the Commission on its behalf.(3) The recognised exchange company must not list the securities to which the application relates unless –(a) the period specified in subsection (5) has expired and the Commission has not,within that period, notified the recognized exchange company and theapplicant under subsection (6) that it objects to the listing; or(b) the Commission has notified the recognized exchange company and theapplicant that it does not object to the listing.(4) The Commission may, by notice to the applicant and the recognised exchange company given within 10 business days from the date the applicant files a copy of its application with the Commission, require the applicant to supply to the Commission such further information as the Commission may reasonably require for the performance of its functions under these Rules.(5) The period specified for the purposes of subsection (3) is 10 business days –(a) where the Commission has not given notice under subsection (4), from thedate the applicant files a copy of its application with the Commission; or(b) where the Commission has given notice under subsection (4), from the datewhen the further information is supplied.(6) The Commission may, by notice in writing to the recognized exchange company and the applicant, object to a listing if it appears to the Commission that –(a) the application in respect of the listing does not comply with a requirementspecified in section 3;(b) an application in respect of the listing is false or misleading as to a materialfact or is false or misleading through the omission of a material fact;(c) the applicant has failed to comply with a requirement under subsection (4) or,in purported compliance with such requirement has furnished the Commissionwith information which is false or misleading in any material particular; or(d) it would not be in the interest of the investing public or in the public interestfor the securities to be listed.(7) A notice given under subsection (6) must be accompanied by a statement specifying the reasons for the objection.6.Copy of ongoing disclosure materials to be filed with the Commission(1) An issuer must file with the Commission a copy of any announcement, statement, circular, or other document made or issued by it or on its behalf to the public or to a group of persons comprising members of the public (including its shareholders) under the rules and requirements of a recognized exchange company or any provision of law applicable, or pursuant to the terms of any listing agreement between the issuer and a recognized exchange company under the rules of the recognized exchange company within one business day following the day on which such announcement, statement, circular or other document is made or issued.(2) A person must file with the Commission a copy of any announcement, statement, circular or other document made or issued by that person or on his behalf to the public or to a group of persons comprising members of the public (including holders of the securities of an issuer) under any codes published by the Commission under sections 399(2)(a) and (b) of the Ordinance within one business day following the day on which such announcement, statement, circular or other document is made or issued.(3) An issuer or other person, as the case may be, is regarded as having complied with subsection (1) or (2) if the issuer or other person has –(a) filed with the recognized exchange company concerned; and(b) authorized the recognized exchange company in writing to file with theCommission on its behalf,a copy of the relevant announcement, statement, circular or other document.PART IIISUSPENSION OF DEALINGS7. Suspension of dealings in securities(1) Where it appears to the Commission that –(a) any materially false, incomplete or misleading information has been includedin any –(i) prospectus, circular, or other document, including an introductiondocument and a document containing proposals for an arrangement orreconstruction of a corporation, issued in connection with a listing ofsecurities on a recognized stock market;(ii) announcement, statement, circular or other document made or issuedby or on behalf of an issuer in connection with its affairs; or(b) it is necessary or expedient in the interests of maintaining an orderly and fairmarket in securities traded through the facilities of a recognized exchangecompany on the recognized stock market it operates;(c) it is in the interest of the investing public or in the public interest, or it isappropriate for the protection of investors generally or for the protection ofinvestors in specified securities listed on a recognized stock market; or(d) there has been a failure to comply with any condition imposed by theCommission under section 8(3)(c) relating to the listing of, or dealings in, anysecurities,the Commission may direct, by notice to the recognized exchange company concerned, the recognized exchange company to suspend all dealings in any securities specified in the notice.(2) A recognized exchange company must comply with any notice given under subsection (1) without delay.8. Powers of the Commission upon the suspension under this Part of dealings in anysecurities(1) An issuer which is aggrieved by the exercise of the Commission's powers under section 7 may make representations in writing to the Commission and where an issuer makes such representations, the Commission must notify the recognized exchange company concerned.(2) In respect of the exercise of the Commission's powers under section 7, the recognized exchange company concerned may make representations in writing to the Commission irrespective of whether representations in respect of that exercise of powers have been made by an issuer under subsection (1) and where the recognized exchange company makes such representations, the Commission must notify the issuer concerned.(3) Where the Commission has –(a) directed a recognized exchange company under section 7(1) to suspenddealings in any securities; and(b) considered any –(i) representations by the issuer under subsection (1);(ii) representations by the recognized exchange company under subsection(2); and(iii) further representations by the issuer or the recognized exchangecompany,the Commission by notice to the recognized exchange company concerned may –(c) permit dealings in the securities to recommence subject to such conditions asthe Commission may think fit to impose, being conditions of the naturespecified in subsection (4); or(d) direct the recognized exchange company to cancel the listing of the securitieson its recognized stock market if the Commission –(i) is satisfied that there has been a failure to comply with therequirements in respect of listing set out in these Rules or in any otherrules made under section 36 of the Ordinance; or(ii) considers that such action is necessary to maintain an orderly marketin Hong Kong,and the recognized exchange company must comply with that direction without delay.(4) The conditions which may be imposed under subsection (3)(c) are –(a) where the Commission has exercised its powers under section 7(1)(a) or (d),conditions imposed with the object of ensuring, so far as is reasonablypracticable, that the issuer remedies the default by reason of which thesuspension of dealings was directed, provided that the Commission mustpermit such dealings unconditionally without delay if it is of the view thatthere has been no such default;(b) where the Commission has exercised its powers under section 7 (1)(b), suchconditions as the Commission may consider necessary or expedient in theinterests of maintaining an orderly and fair market in securities traded throughthe facilities of a recognized exchange company on its recognized stockmarket;(c) where the Commission has exercised its powers under section 7(1)(c), suchconditions as the Commission may consider to be in the interest of theinvesting public or in the public interest, or to be appropriate for the protectionof investors generally or for the protection of investors in specified securitieslisted on a recognized stock market.(5) In subsection (3) "further representations" means representations either in writing or orally or both in writing and orally as the issuer or the recognized exchange company concerned may determine which are submitted within such reasonable time as the Commission may determine.(6) The functions of the Commission under this section may only be exercised by a meeting of the Commission and are not delegable.(7) A director of the Commission who made the decision in the exercise of the Commission's powers under section 7 may not participate in the deliberations or voting of the Commission in the performance of its functions under this section as regards that exercise of the Commission's powers.(8) Notwithstanding subsection (7), the director referred to in that subsection may attend any meeting or proceeding of the Commission in the performance of its functions under this section as regards that exercise of the Commission's powers and may make such explanations of his decision as he thinks necessary.9. Provisions supplementary to sections 7 and 8(1) At any hearing held by the Commission to receive oral representations made to it under section 8(3), the issuer and the recognized exchange company each have the right to be represented by its counsel or solicitor.(2) If representations are made under section 8(1) or 8(2) against a direction made under section 7(1) then, pending the decision of the Commission under section 8 (3), all dealings in the securities concerned shall continue to be suspended.10. Restriction on re-listingNo security the listing of which has been cancelled under section 8 may be listed again on a recognized stock market except in accordance with Part II.11. Waiver of requirements of Parts II and IIIThe Commission may by notice to an applicant or an issuer, as the case may be, and a recognized exchange company, modify or waive, subject to such reasonable conditions as the Commission may think fit to impose, the requirements of any provision of Parts II and III where the Commission is of the opinion that –(a) the applicant or issuer, as the case may be, cannot comply with the provisionor it would be unreasonable or unduly burdensome for the applicant or issuerto do so;(b) the provision has no relevance to the circumstances of the applicant or issuer,as the case may be; or(c) compliance with the provision would be detrimental to the commercialinterests of the applicant or issuer, as the case may be, or to the interests of theholders of its securities.PART IVAPPROVED SHARE REGISTRARS12. Approval of share registrars(1) The Commission may approve an association of persons as an association each of whose members must be an approved share registrar for the purposes of these Rules.(2) The Commission may cancel the approval of any association of persons approvedunder subsection (1).(3) The Commission must maintain a list of associations of persons approved undersubsection (1).13. Securities not to be listed where approved share registrar not employedNo application made by a corporation to a recognized exchange company for the listing of any securities issued or to be issued by that applicant may be approved by the recognized exchange company concerned unless the applicant is an approved share registrar or employs an approved share registrar.14. Suspension of dealings on cessation of employment etc. of approved share registrar(1) If –(a) the securities of a corporation are listed on a recognized stock market; and(b) the corporation ceases either to be an approved share registrar or to employ anapproved share registrar;the recognized exchange company concerned must suspend dealings in those securities unless within 3 months after the date on which the recognized exchange company first learned of such cessation or before the expiry of 21 days’ notice given under subsection (2), whichever is the later, the corporation becomes an approved share registrar or employs an approved share registrar as its share registrar.(2) Before suspending dealings in the securities of a corporation under subsection (1) the recognized exchange company concerned must give notice in writing to the corporation warning the corporation of its intention to suspend dealings in the corporation’s securities unless, before the date specified in the notice, being the date on which the period of 3 months specified in subsection (1) expires or 21 days from the date of the notice, whichever is the later, the corporation becomes an approved share registrar or employs an approved share registrar as its share registrar.(3) The Commission may require a recognized exchange company to give notice under subsection (2) to a corporation which has ceased either to be an approved share registrar or to employ an approved share registrar if, in the Commission’s opinion, the recognized exchange company has failed or neglected to do so within a reasonable time, and the recognized exchange company must comply with such a requirement without delay.(4) A recognized exchange company which has suspended dealings in the securities of any corporation under subsection (1) must permit the recommencement of dealings in those securities when it is satisfied that the corporation has become an approved share registrar or has employed an approved share registrar as its share registrar.15. Power to exempt(1) The Commission may exempt all or any particular class of securities issued by a specified corporation from all or any of the provisions of this Part.(2) An exemption granted under subsection (1) must be notified in writing by the Commission to the specified corporation and to the recognized exchange company which operates the recognised stock market on which the exempted class of securities are, or are proposed to be, listed.(3) The Commission may withdraw any exemption granted under subsection (1), and such withdrawal must be notified in the same manner as an exemption is required to be notified under subsection (2).(4) Where any securities of a corporation are listed on a recognised stock market and have been exempted under subsection (1), in the event of a withdrawal under subsection (3) of the exemption the recognised exchange company concerned must suspend dealings in those securities unless at the date of notification of the withdrawal the corporation is, or within 3 months after the date the corporation becomes, an approved share registrar or employs an approved share registrar as its share registrar.16. Appeal against suspension(1) Where a recognized exchange company suspends dealings in the securities of a corporation under sections 13 or 14 the corporation may within 21 days of the suspension appeal in writing to the Commission against the suspension.(2) An appeal under subsection (1) must be accompanied by such submissions in writing as the corporation wishes to make.(3) On any appeal under subsection (1), the Commission may –(a) dismiss the appeal;(b) direct the recognized exchange company to recommence dealings in thesecurities; or(c) direct the recognized exchange company to recommence dealings in thesecurities subject to such conditions as the Commission thinks fit.PART VMISCELLANEOUS17. Suspensions, etc. by recognized exchange company to be notified to the Commission(1) If a recognized exchange company intends to suspend dealings in any securities it must, where reasonably practicable, inform the Commission of its intention prior to such suspension and, if not so practicable, inform the Commission of the suspension as soon as possible after the event.(2) A recognized exchange company, after having suspended dealings in any securities, may not permit dealing in them to recommence without first giving notice to the Commission.(3) A recognized exchange company may not cancel the listing of any securities unless it gives the Commission 48 hours’ notice of its intention to do so.18. Notices, etc. to be in writingAny notice or direction under these rules must be in writing.ChairmanSecurities and Futures CommissionExplanatory NoteThese Rules are made by the Securities and Futures Commission under section 36(1) of the Securities and Futures Ordinance (5 of 2002). They prescribe certain requirements to be met before securities may be listed including requirements for applications for the listing of securities and the employment of approved share registrars and provide for the cancellation of the listing of any specified securities by the Commission if the requirements for listing are not met. The Rules prescribe the circumstances in which and the conditions subject to which a recognized exchange company must suspend dealings in specified securities. They also prescribe for the filing with the Commission of copies of applications for the listing of securities and information disclosed to the public by issuers and certain other persons under the rules and other requirements of a recognized exchange company.SECURITIES AND FUTURES(TRANSFER OF FUNCTIONS – STOCK EXCHANGE COMPANY) ORDER(Made by the Chief Executive in Council undersection 25(1) of the Securities and FuturesOrdinance (No. 5 of 2002))1. CommencementThis Order shall come into operation on the day appointed for the commencement of Part III of the Securities and Futures Ordinance (No. 5 of 2002).2. InterpretationIn this Order, unless the context otherwise requires, the expressions "prospectus" (©ÛªÑ³¹µ{), "share" (ªÑ¥÷) and "debenture" (¶ÅÅvÃÒ) have the respective meanings assigned to them by the Companies Ordinance (Cap. 32).3. ApplicationNothing in this Order applies to a prospectus offering interests in a collective investment scheme, the issue of which –(a) would be an offence under section 103(1)(b) of the Ordinance; or(b) is exempted from the application of section 103(1)(b) solely by virtue ofsection 103(3)(h) of the Ordinance.4. Transfer of functions of the CommissionThe functions conferred upon the Commission by sections 38B(2A)(b), 38D(3) and (5) and 342C(3) and (5) of the Companies Ordinance (Cap. 32) are transferred to the Stock Exchange Company to the extent that they relate to any prospectus which is concerned with any shares in or debentures of a corporation that have been approved by the Stock Exchange Company for listing on a recognised stock market.5. FeesThe Stock Exchange Company is entitled to charge and retain any fees for the performance of functions transferred under this Order which, had this Order not been made, would be payable to the Commission under the Securities and Futures (Fees) Rules (L.N. [ ] of 2002) in relation to the performance by the Commission of such functions.Clerk to the Executive Council COUNCIL CHAMBER2002Explanatory NoteThis Order is made by the Chief Executive in Council under section 25(1) of the Securities and Futures Ordinance (No. 5 of 2002). It transfers certain functions of the Securitiesand Futures Commission in relation to prospectuses under the Companies Ordinance (Cap.32) to the Stock Exchange of Hong Kong Limited.21。
新闻英语常用的缩略词
以下是新闻英语常用的缩略词（acronym ）：1. 1. ABM=anti-ballistic missile （反彈道導彈）（反弹道导弹）2. 2. AIDS=acquired immune deficiency syndrome （愛滋病）（後天免疫力缺乏症）（爱滋病）（后天免疫力缺乏症）3. 3.ASEAN=Association of South Asian Nations （東南亞國家聯盟）（東盟）ASEAN=Association of South Asian Nations （东南亚国家联盟）（东盟）4. 4. CBRC= China Banking Regulatory Commission （中國銀行業監督管理委員會）（中國銀監會）（中国银行业监督管理委员会）（中国银监会）5. 5. CEPA= Mainland and Hong Kong Closer Economic Partnership Arrangement （關於建立更緊密經貿關係的安排）（关于建立更紧密经贸关系的安排）6. 6. CIA=Central Intelligence Agency （中英情報局）（中英情报局）7. 7. CIS=Commonwealth of Independent States （獨立國家聯合體）（獨聯體）（独立国家联合体）（独联体）8. 8. CISR= China Insurance Regulatory Commission （中國保險監督管理委員會）（中國保監會）（中国保险监督管理委员会）（中国保监会）9. 9. CNPC=China National Petroleum Corporation （中國石油天然氣集團公司；中石油）（中国石油天然气集团公司；中石油）10. 10. CPC=Communist Party of China （中國共產黨）（中国共产党）11. 11. CPPCC=Chinese People's Political Consultative Conference （全國人民政治協商會議）（全国人民政治协商会议）12. 12.CSRC=China Securities Regulatory Commission （中國證券監督管理委員會）（中國證監會）（中国证券监督管理委员会）（中国证监会）13. 13. DJI=Dow-Jones Index （道瓊斯指數）（道琼斯指数）14. 14. EST=Eastern Standard Time （美國東岸時間）（美國東部標準時間）（美国东岸时间）（美国东部标准时间）15. 15. FAO=Food and Agriculture Organization （糧食農業組織）（糧農組織）（粮食农业组织）（粮农组织）16. 16.FBI=Federal Bureau of Investigation （聯邦調查局）（联邦调查局）17. 17. GATT=General Agreement on Tariffs and Trade （美稅及貿易總協定）（美税及贸易总协定）18. 18. GMT=Greenwich Mean Time （格林威治標準時間）（格林威治标准时间）19. 19. HKEx ＝Hong Kong Exchanges and Clearing Ltd . （香港交易及結算所有限公司；港交所）（香港交易及结算所有限公司；港交所）20. 20. HKSC=Stock Exchange of Hong Kong/Hong Kong Stock Exchange （香港聯合交易所）（聯交所）（香港联合交易所）（联交所）21. 21. ICBM=Intercontinental Ballistic Missile （洲際彈道導彈）（洲际弹道导弹）22. 22. ICJ=International Court of Justice （國際法庭）（国际法庭）23. 23. ILO=International Labor Organization （國際勞工組織）（国际劳工组织）24. 24. IMF=International Monetary Fund （國際貨幣基金）（国际货币基金）25. 25. IMF=International Monetary Fund （國際貨幣基金組織）26. 26. IOC=International Olympic Committee （國際奧林匹克委員會）（國際奧委會）（国际奥林匹克委员会）（国际奥委会）27. 27. IRO=International Refugee Organization （國際難民組織）（国际难民组织）28. 28. MP=member of parliament （國會議員）（国会议员）29. 29. NASA=National Aeronautics and Space Administration （美國太空總署）（美國國家宇航局）（美国太空总署）（美国国家宇航局）30. 30. NATO=North Atlantic Treaty Organization （北大西洋公組織織）（北大西洋公组织织）31. 31. NPC=National People's Congress （全國人民代表大會）（全國人大）（全国人民代表大会）（全国人大）32. 32. OAU=Organization of African Unity （非洲統一組織）（非洲统一组织）33. 33. OPEC=Organization of Petroleum Exporting Countries （石油輸出國組織）（歐佩克）（石油输出国组织）（欧佩克）34. 34. PC=personal computer （個人電腦）（个人电脑）35. 35. PLA ＝People's Liberation Army （人民解放軍）（人民解放军）36. 36. PLO=Palestine Liberation Organization （巴勒斯坦解放組織）（巴解組織）（巴勒斯坦解放组织）（巴解组织）37. 37. PM=prime minister （首相）（首相）38. 38. PR=public relations （公共關係）（公共关系）39. 39. RP=Republic of the Philippines （菲律賓共和國）（菲律宾共和国）40. 40. SALT=strategic arms limitation talks （限制戰略武器會談）（限制战略武器会谈）41. 41. SDI=strategic defence initiative （戰略防御措施）（战略防御措施）42. 42. SEHK = Hong Kong Exchanges and Clearing Ltd （香港交易及結算所有限公司；港交所）SEHK = Hong Kong Exchanges and Clearing Ltd （香港交易及结算所有限公司；港交所）43. 43. SFC=Securities and Futures Commission （證券及期貨事務監察委員會）（證監會）（证券及期货事务监察委员会）（证监会）44. 44. SFO=Securities and Futures Ordinance （（香港）證券及期貨條例）（香港）证券及期货条例）45. 45. SNP ＝China Petroleum & Chemical Co. （中國石油化工股份有限公司；中石化）（中石化股份有限公司；中石化）46. 46. TP=traffic policeman （交通警察）（交通警察）47. 47. UFO=unidentified flying object （不明飛行物體）（不明飞行物体）48. 48. UNESCO=United Nations Educational Scientific and Cultural Organization （聯合國教育科學文化組織）（聯合國教科文組織）（联合国教育科学文化组织）（联合国教科文组织）49. 49. UNGA=United States General Assembly （聯合國大會）（联合国大会）50. 50. UNICEF=United Nations International Children's Emergency Fund （聯合國兒童基金會）（联合国儿童基金会）51. 51. UNSC=United Nations Security Council （聯合國安全理事會）（联合国安全理事会）52. 52. UNTC=United Nations Trusteeship Council （聯合國託管委員會）（联合国托管委员会）53. 53. VIP=very important person （重要人物）（重要人物）54. 54. WHO=World Health Organization （世界衛生組織）（世界卫生组织）55. 55. WHO=World Health Organization （國際衛生組織）（国际卫生组织）56. 56. WTO=World Trade Organization （世界貿易組織）（世界贸易组织）AQ英文Adversity Quotient的缩写，逆境商数，指一个人处理逆境的能力。
《金融学专业英语》词汇摘录4
British FTSE 100 伦敦金融时报指数100，是“伦敦《金融时报》工商业100种股票平均价格指数”的简称。
Japanese Nikkei 225 日经平均指数225。原称为“日本经济新闻社道 琼斯股票平均价格指数”，是由日本经济新闻社编制并公布的反映日本东京证券交易所股票价格变动的股票价格平均指数。
newly-issued 最新发行的
clearing bank 清算银行
custodial account 保管帐户，以未成年人之利益为出发但以成人为帐户监护人的一种账户。
book entries 会计分录
roll over 反复再筹资
Marshall Plan 马歇尔计划，是1947年6月15日美国国务卿马歇尔提出的有关欧洲复兴方案的名称。这个计划是当时美国对外政策的一个组成部分，因由马歇尔系统提出而得名。
public offering 公开销售证券
financial security 金融证券
financial claims 金融债权
financial institution 金融机构
financial intermediary 金融中介
risk Sharing 风险分散
transaction/information costs 交易/信息 成本
expected stream of future cash 未来期望现金流
bondholders 债券持有人，公司债所有者
retained earnings 未分配利润
outright 单纯远期交易
buyout 收购
lump-sum 一次性
shares outstanding 已发行股票，指由投资者拥有的股票数量
财经英语词汇翻译(S1)
财经英语词汇翻译(S1)财经英语词汇翻译(S1)财经英语词汇翻译(S1)safe custody business 保管业务safe custody fee 保管费safe deposit box rental received 保管箱租项收入safeguarding assets 保障资产safety factor 安全系数safety margin of profitability 盈利能力的安全界限sakura bank, limited 樱花银行salaried employee 受薪雇员salaried office 受薪职位salaries tax 薪俸税salaries tax assessment 薪俸税评税salaries tax borne by the employer 由雇主代付的薪俸税salaries tax payable 应缴的薪俸税salaries tax payer 缴交薪俸税人士salaries tax return 薪俸税报税表salaries tax threshold 薪俸税的免缴税入息额salary 薪金；薪俸salary adjustment 薪金调整salary earner 受薪人士salary rate index 薪金率指数salary statement 薪俸结算书sale and purchase agreement 买卖协议sale by auction 拍卖sale by private treaty 以私人协约形式售卖sale by public auction 公开拍卖sale by tender 招标出售sale of assets 售卖资产sale proceeds 售卖得益；销售收入sales account 销货帐sales commission 销售佣金sales counter 销售柜台sales price index 销售价格指数sales tax 销售税sampling frame 抽样范围sampling theory 抽样理论samurai bond 武士债券；外国日元债券sanction 认许；制裁sanwa bank, limited 三和银行sanwa international finance limited 三和国际财务有限公司satisfaction 清偿savings 储蓄；节省款项；节省开支额savings account 储蓄账户savings deposit 储蓄存款savings rate 储蓄率；储蓄存款利率scale of brokerages 经纪佣金收费表scale of fees 收费率；收费表schedule 清单；一览表；细目单；附表schedule of charges 费用表schedule of dealing 交易清单schedule of property 财产清单schedule of proportion 比例表schedule of rates 标准收费表scheme of arrangement 债务偿还安排scheme of control 管制计划scheme of control agreement 《管制计划协议》schengen agreement 《神根协议》schroders asia limited 宝源亚洲有限公司scrip 临时股票scrip dividend 以股代息scrip dividend scheme 以股代息计划scrip issue 红股发行scripless dealing of shares 无单股份交易seanza forum of bank supervisors 东南亚、新西兰与澳洲银行业监理组织search fee 查册费seasonal adjustment 季节性调整seasonal deficit 季节性赤字seasonal fluctuation 季节性波动seasoned securities 优质证券；价格稳定的证券second and third liner 二三线股second board 第二板市场second calculation 第二计算法second line stock 二线股票second mortgage 第二按揭；第二抵押权second participant 第二参与者second quarter economic report 19xx 《一九ｘｘ年第二季经济报告》secondary insider 次要的内幕人士secondary listing 第二上市secondary market 二级市场；次级市场；第二市场secondary mortgage market 第二按揭市场secondary production 第二级生产；第二产业secretary for economic services 经济局局长secretary for financial services 财经事务局局长secretary for the treasury 库务局局长sectional group 个别利益集团sector 界别；行业；机构sectorial index 分类指数secular trend 长期趋势secure 担保；抵押secured bond 有担保债券secured creditor 有抵押债权人secured loan 担保贷款；有抵押贷款securing debenture 担保债权证securities 证券securities advisory council 证券事务咨询委员会securities analyst 证券分析员securities and exchange commission 证券管理委员会〔证管会〕〔台湾〕；证券交易委员会〔美国〕securities and futures appeals panel 证券及期货事务上诉委员会〔证券及期货事务监察委员会〕securities and futures commission 证券及期货事务监察委员会〔证监会〕securities and investment board 证券及投资管理局〔英国〕securities borrowing 证券借用securities business 证券买卖业务securities commission 证券事务监察委员会〔现称证券及期货事务监察委员会〕securities compensation fund 证券赔偿基金securities compensation fund committee 证券赔偿基金委员会〔证券及期货事务监察委员会〕securities dealer 证券交易商securities dealers' deposit fund 证券交易商按金基金securities exchange of thailand 泰国证券交易所securities for money 贷款抵押物securities foundation 证券业培训基金securities institute of australia 澳大利亚证券学会securities introducing broker 证券介绍经纪securities investment adviser 证券投资顾问securities journal, the 《证券月刊》securities law 《证券法》securities lending 证券借贷securities market 证券市场securities officer 证券主任securities payable to bearer 须付款予持有人的证券securities register system 证券登记系统securities review committee 证券业检讨委员会securities review committee report 《证券业检讨委员会报告书》securities section 证券组〔财经事务局〕securities underwriter 证券包销商securitization of debt 债务证券化security 抵押品；保证金；保证security account 保付户口security by bond 担保契据形式的保证security features 防伪特色〔银行纸币〕security for note issue 发行纸币的保证物security instrument 保证文书security interest 担保权益security to the payment of money 付款保证seed capital 种子资本segregated account 独立账户；独立户口segregated trust account 独立信托账户sehk options clearing house limited 联交所期权结算所有限公司sehk traded option 在联交所买卖的期权seizure 检取；扣押selective allowance 选择性免税额selective marketing basis 选择性销售方式selective tender 选择性投标；选择性招标self-assessment 自我评税self-clearing member 自行结算会员〔香港联合交易所有限公司〕self-correcting mechanism 自动调节机制self-financing 财政自给；自筹资金self-liquidating project 自动还本工程self-regulation 自律；自行规管；自行监管sell 卖出sell off 抛售；沽盘sell order 卖盘sell short 卖空；沽空；抛空seller's price 卖价；卖方价格selling dealer 卖方交易商selling hedge 沽空对冲selling pressure 沽售压力selling price 售价senior securities 优先证券seoulbank 汉城信托银行separate assessment 夫妇分别评税separate client account 独立客户帐目separate debt 独有的债项；各别的债项separate estate 各别产业separate estates account 各别产业的帐目separate instrument 独立文书separate listing 独立上市separate property 各别的财产separate share trading account 独立股票交易账户separate taxation for married couples 夫妇分开评税sequestration 暂押；扣押serial bond 分期还本债券series of transactions 连串交易service-led economy 以服务业为主导的经济set-off 抵销；对销set-off and transfer report 比对转帐报告set-off of the property tax 豁免物业税settled property 预先分配的财产settlement 交收；结算；交割；清偿；授产安排settlement backlog 积压交收settlement bank 结算银行settlement cap 交收限价settlement date 交收日期settlement of debts 清偿债务；偿还债务settlement of physical shares 股份实物交收settlement period 交收期限；结算期settlement price 结算价格；平仓价格settlement risk 结算风险；交收风险settlement system 交收制度；结算系统settlor 财产授予人seven-year exchange fund note 七年期外汇基金债券sewage services trading fund 污水处理服务营运基金shacom finance limited 上商财务有限公司shadow director 影子董事；幕后董事shanghai commercial bank ltd. 上海商业银行shanghai securities central clearing and registration corporation 上海证券中央登记结算公司shanghai stock exchange 上海证券交易所share 股份；股票；份额share beneficially owned 实益股份；实益拥有股份share capital 股本share certificate 股票share dealing 股票交易；股票买卖share in issue 已发行股份；已发行股票share investment 股份投资share margin lending “按仓”贷款share market 股票市场share of a business 生意股份share of mutual fund 互惠基金股份share of profit 利润份额share on local register 当地登记册所载的股份share option 股票期权；认股权；股份认购权share pending listing 等候上市股份share premium account 股份溢价账户share price 股票价格share registrar 股票过户登记处；过户处；股份登记员share repurchase 股份购回；股份回购share rights 股权share split 股份拆细；拆股share transfer 股票过户share warrant 认股权证share warrant to bearer 不记名认股权证shareholder 股东shareholders' fund 股东资金shareholding 持有股份sharp increase 急剧上升；暴升；飞涨shell company 空壳公司shell reactivation “借壳”上市；“买壳”上市；空壳公司重新活动shenzhen foreign exchange trading centre 深圳外汇交易中心shenzhen securities registration company limited 深圳证券登记公司shenzhen stock exchange 深圳证券交易所shinhan finance limited 新韩金融有限公司shizuoka bank, ltd. 静冈银行short 空头；空仓；淡仓；卖空；超卖short call 认购期权淡仓short covering 补仓；补空仓；空头补进short futures contract 淡仓期货合约short notice 短期通知书short notice and time deposit 短期通知及定期存款short of liquidity 资金紧绌short position 空仓；淡仓；空头；短盘short sell securities 卖空证券short selling 卖空；沽空；抛空short selling system 证券沽空制度short-dated securities 短期证券shortfall 差额；不足之数shortfall in expenditure 实际开支低于原来预算short-term deposit 短期存款short-term indicator of economic condition 短期经济指标short-term interest rate 短期利率short-term paper 短期票据short-term rating 短期评级shroff account number 收款账号siam commercial bank public company limited 汇商银行significant shareholder 持有大量股票的股东；重要股东silent partner 只拥有股权而不参与业务的合伙人；隐名合伙人silver 银silver currency 银制流通货币silver standard 银本位；银本位制simple guide to bankruptcy, a 《破产案简介》simple guide to compulsory winding-up of companies, a 《强制公司清盘案简介》simple interest 单利；以单息计算的利息simple portfolio 简单的投资组合simultaneous econometric model 联立计量经济模式simultaneous equation model 联立方程模式sin hua bank limited 新华银行sin hua finance company limited 新华财务有限公司singapore dollar 新加坡元singapore international monetary exchange 新加坡国际金融交易所singapore stock exchange 新加坡证券交易所singapore strait times index 《新加坡海峡时报》指数single assessment 单一评税single entry system 单式簿记制度single equation model 单方程模式single fund 单一基金single market, the 单一市场〔欧洲〕single parent allowance 单亲免税额single premium 整付保费single premium policy 整付保费保单single tender 单一投标sinking fund 偿债基金size criterion 资产限额准则〔银行业〕size of issue 发行量size of the economy 经济规模slacken 放缓；呆滞slow down 减慢；放缓；退减slow trading 交投呆滞sluggish 市势疲弱；市况呆滞sluggish turnover 交投呆滞slump 急跌；下挫small and medium enterprise 中小型企业small and medium enterprises committee 中小型企业委员会small bankruptcy 小额破产案small business 小型企业small claims tribunal 小额钱债审裁处small claims tribunal suitors fund account 小额钱债审裁处诉讼人储存金账户small depositor 小额存户small economy 小规模经济体系small estate 小额遗产smart card 智能卡；聪明卡snake 蛇形浮动；蛇形浮动汇率制soaring market 旺市；好市；暴涨的市况social security assistance index of prices 社会保障援助价格指数social welfare expenditure 社会福利开支societe de compensation des marches conditionels 巴黎期权市场结算所societe generale 法国兴业银行societe generale asia limited 法国兴业亚洲有限公司society of actuaries of the united states of america 美国精算师公会society of chinese accountants and auditors 华人会计师公会society of worldwide interbank financial telecommunication 环球银行财务电讯协会socio-economic infrastructure 社会经济基础建设soft currency 软货币；弱势货币soft dollar practice 收取非金钱利益的做法soft market 市况疲软sole executor 唯一的遗嘱执行人sole proprietor 独资经营者sole proprietorship 独资经营sole trustee 单一受托人soliciting business 招揽生意solid growth 稳健增长solvency 偿债能力；偿付能力solvency fund 无偿付能力赔偿基金source of additional revenue 额外收入。
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CAP 571R SECURITIES AND FUTURES (SHORT SELLING AND SECURITIES BORROWING AND LENDING(MISCELLANEOUS)) RULES一摘要：本文主要介绍了CAP 571R SECURITIES AND FUTURES (SHORT SELLING AND SECURITIES BORROWING AND LENDING (MISCELLANEOUS)) RULES的主要内容。
(Cap 571, sections 397(1) and (2) and 398(7))[1 April 2003] L.N. 12 of 2003(L.N. 213 of 2002)Cap 571R s 1 (Omitted as spent)(Omitted as spent)Cap 571R s 2 InterpretationIn these Rules, unless the context otherwise requires-"blanket assurance" (概括性保证), in relation to a securities borrowing and lending agreement, means a confirmation from a lender to a borrower that the lender has a sufficient overall supply of a defined group of securities such that for a specific period of time as agreed onby the parties, the securities concerned are available to lend to the borrower;"borrow" (借用安排), in relation to a securities borrowing and lending agreement, means a borrowing of securities under the agreement, irrespective of whether the borrowed securities have been delivered by the lender to the borrower;"Exchange Fund" (外汇基金) means the fund established under section 3 of the Exchange Fund Ordinance (Cap 66);"Exchange Fund Bill" (外汇基金票据) means any instrument described as such which is issued by the Government for the account of the Exchange Fund under the Exchange Fund Ordinance (Cap 66);"Exchange Fund Note" (外汇基金债券) means any instrument described as such which is issued by the Government for the account of the Exchange Fund under the Exchange Fund Ordinance (Cap 66);"Futures Market Maker" (期货庄家) means a person who is registered with the Futures Exchange Company for the purpose of performing, in accordance with rules made by the Futures Exchange Company, market making or liquidity providing activities in respect of futures contracts admitted to trading on the recognized futures market it operates;"hold" (持有确认), in relation to a securities borrowing and lending agreement, means a confirmation from a lender to a borrower that for a specific period of time as agreed on by the parties, specific securities in a specific quantity are available to lend to the borrower;"Listing Rules" (《上市规则》) means the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited made by the Stock Exchange Company;"Monetary Authority-appointed Market Maker" (金融管理专员委任的庄家) means a person appointed as a market maker by the Monetary Authority under a letter of appointment currently in force for the purpose of conducting market making activities in respect of Exchange Fund Bills, Exchange Fund Notes or specified instruments;"Securities Market Maker" (证券庄家) means a person who is registered with the Stock Exchange Company for the purpose of performing, in accordance with rules made by the Stock Exchange Company, market making or liquidity providing activities in respect of securities listed or admitted to trading on the recognized stock market it operates or an issuer of any structured product listed on the recognized stock market operated by the Stock Exchange Company under Chapter 15A of the Listing Rules;"specified instrument" (指明文书) means any note issued by the MTR Corporation Limited, the Airport Authority, the Hong Kong Mortgage Corporation Limited and the Kowloon-Canton Railway Corporation under their respective note issuance programmes.Cap 571R s 3 Classes of transactions to which section 170(3)(e) of the Ordinance not to apply(1) The following classes of transactions are prescribed for the purposes of section 170(3)(e) of the Ordinance-(a) a sale by a Monetary Authority-appointed Market Maker of any of the following securities-(i) Exchange Fund Bills;(ii) Exchange Fund Notes; or(iii) specified instruments;(b) a sale by an agent of a Monetary Authority-appointed Market Maker of any of the following securities-(i) Exchange Fund Bills;(ii) Exchange Fund Notes; or(iii) specified instruments,where the agent is acting in such capacity and believes and has reasonable grounds to believe that his principal is a Monetary Authority-appointed Market Maker of the security sold;(c) a sale of securities effected in the course of conducting jobbing business.(2) The following sales of securities shall be regarded as a sale of securities in the course of conducting jobbing business-(a) the sale of a listed security ("A") by a Securities Market Maker for the purpose of hedging the risks of a position previously acquired in another listed security ("B") and-(i) A is a component of B or vice versa; or(ii) where both A and B have a security as a common component;(b) the sale of a listed security ("C") by a Futures Market Maker for the purpose of hedging the risks of a position previously acquired in-(i) a futures contract in respect of C or an index of securities which includes C; or(ii) a futures contract in respect of another security ("D") where D has a common component with C; or(c) the sale of a listed security by a Securities Market Maker in performing market making or liquidity providing activities in respect of such security, where the SecuritiesMarket Maker acquires the right to vest such security in the purchaser before the end of the trading day following the day of the sale.(3) In this section, "listed" (上市) means listed or admitted to trading on a recognized stock market operated by the Stock Exchange Company.。