第九章 证券业协会

    Chapter IX. The Stock Brokers' Association

    第一百六十二条 证券业协会是证券业的自律性组织，是社会团体法人。

    Article 162. The stock brokers' association is a self?regulatory organization and a social legal entity.

    证券公司应当加入证券业协会。

    Securities firms shall join the stock brokers' association.

    证券业协会的权力机构为由全体会员组成的会员大会。

    The Stock Brokers' Association's power organ is its general assembly consisting of all members of the association.

    第一百六十三条证券业协会的章程由会员大会制定，并报国务院证券监督管理机构备案。

    Article 163. The general assembly shall formulate the statutes of the association and submit them to the State Council's securities regulatory body for filing.

    第一百六十四条 证券业协会履行下列职责：

    Article 164 The Stock Brokers' Association shall carry out the following duties:

    （一）协助证券监督管理机构教育和组织会员执行证券法律、行政法规；

    (1) Assist the securities supervision and administrative organization in educating the association's members on securities laws and administrative regulations and organizing the members to implement these laws and regulations;

    （二）依法维护会员的合法权益，向证券监督管理机构反映会员的建议和要求；

    (2) Protect the members' legal rights and interests according to law and provide feedback to the securities supervision and administration organization on the members' suggestions and requests;

    （三）收集整理证券信息，为会员提供服务；

    (3) Gather and organize securities information as a service to the members;

    （四）制定会员应遵守的规则，组织会员单位的从业人员的业务培训，开展会员间的业务交流；

    (4) Formulate rules for the members to abide by, organize training for professionals of member institutions and promote communications among members;

    （五）对会员之间、会员与客户之间发生的纠纷进行调解；

    (5) Resolve disputes among members and between members and clients;

    （六）组织会员就证券业的发展、运作及有关内容进行研究；

    (6) Organize the members to study the development, operation, and other relevant issues of the securities sector.

    （七）监督、检查会员行为，对违反法律、行政法规或者协会章程的，按照规定给予纪律处分；

    (7) Supervise and inspect the members' activities, and take disciplinary actions according to regulations against those who violate laws, administrative regulations, or the association's statutes;

    （八）国务院证券监督管理机构赋予的其他职责。

    and (8) Other duties entrusted by the State Council's securities regulatory body.

    第一百六十五条 证券业协会设理事会。理事会成员依章程的规定由选举产生。

    Article 165. The Stock Brokers' Association shall set up a council. Members of the council shall be elected according to the association's statutes.