Chapter 1 General Provisions Article 1 In order to establish the legal status of brokers, protect the legitimate rights and interests of parties involved in brokerage activities, regulate brokerage behavior, and promote the healthy development of the brokerage industry, this Article is formulated in accordance with relevant laws and administrative regulations. way. Article 2 The term "broker" as mentioned in these Measures refers to citizens, legal persons and other persons who, in accordance with the provisions of these Measures, engage in brokerage business such as intermediary, brokerage or agency for the purpose of collecting commissions in economic activities and facilitating transactions of others. economic organization. Article 3 When engaging in brokerage activities, brokers shall abide by national laws and regulations and follow the principles of equality, voluntariness, fairness and good faith. Article 4 The legitimate rights and interests of brokers are protected by national laws and may not be infringed upon by any unit or individual. Article 5: Industrial and commercial administrative organs at all levels are responsible for the supervision and management of brokers. Its main responsibilities are:

(1) Determination of broker qualifications;

(2) Registration of brokers;

(3) In accordance with relevant laws and Supervise and manage brokerage activities, protect legitimate operations, and investigate and punish illegal operations in accordance with regulations and these Measures;

(4) Guide the work of broker self-regulatory organizations;

(5) Other duties assigned by the state. Chapter 2 Qualification Determination Article 6 Personnel who meet the following conditions may apply to engage in brokerage activities only after they have been assessed and approved by the industrial and commercial administrative authorities and obtained a brokerage qualification certificate:

(1) Have full capacity for civil conduct ;

(2) Have the knowledge and skills required to engage in brokerage activities;

(3) Have a fixed residence;

(4) Master the relevant national laws and regulations Laws, regulations and policies;

(5) No criminal or economic violations for more than three consecutive years before applying for broker qualification. Article 7 Those who engage in brokerage business in finance, insurance, securities, futures and other special industries with special regulations by the state must also possess corresponding professional brokerage qualification certificates.

Those who meet the conditions stipulated in Article 6 of these Measures and have obtained a brokerage qualification certificate shall pass a special assessment and obtain a professional brokerage qualification. The industrial and commercial administrative agency shall, in conjunction with relevant departments, issue a professional brokerage qualification certificate. Chapter 3 Brokerage Organization Article 8 Brokerage firms are established in partnership by persons with brokerage qualification certificates.

A brokerage firm shall meet the following conditions:

(1) Have a fixed business location;

(2) Have certain funds;

(3) It shall be established by two or more persons with brokerage qualification certificates as partners;

(4) Those who concurrently engage in special industry brokerage business shall have at least two persons with corresponding professional brokerage qualification certificates Full-time personnel;

(5) Those who specialize in brokerage business in a special industry shall have four or more full-time personnel who have obtained corresponding professional brokerage qualification certificates;

(6) Partnership There is a written partnership agreement between the parties;

(7) Other conditions stipulated by laws and regulations.

In a brokerage firm, partners bear responsibilities with their respective properties in accordance with their capital contribution ratio or as agreed in the agreement. Partners are jointly and severally liable for the debts of the brokerage firm. Article 9 A brokerage company is an enterprise legal person with limited liability.

The establishment of a brokerage company must meet the following conditions:

(1) Have a corresponding organizational structure and a fixed business location;

(2) The registered capital must be within ten years More than 10,000 yuan;

(3) Have a certain number of full-time personnel commensurate with its business scale, of which no less than five must have obtained broker qualification certificates;

(4) Concurrently Those who engage in special industry brokerage business shall have at least two full-time personnel who have obtained the corresponding professional brokerage qualification certificates;

(5) Those who specialize in the brokerage business of a certain special industry shall have at least four full-time personnel who have obtained the corresponding professional brokerage qualification certificates. Full-time personnel with qualification certificates;

(6) Other conditions stipulated in the Company Law and relevant regulations. Article 10: Current personnel in the non-brokerage industry who have a brokerage qualification certificate may engage in brokerage activities part-time in a brokerage firm or brokerage company with the consent of their employer. Article 11 Persons who meet the following conditions can apply for a "Business License" for individual industrial and commercial households and become individual brokers:

(1) Have a fixed business location;

( 2) Have a certain amount of funds;

(3) Obtain a brokerage qualification certificate;

(4) Have certain professional experience;

(5) Comply with the " Other provisions of the Interim Regulations on the Management of Urban and Rural Individual Industrial and Commercial Households.

Individual brokers engage in brokerage activities in their own names and bear unlimited liability with all their personal property. Article 12 Except for brokerage firms, brokerage companies, and individual brokers, other economic organizations engaged in brokerage activities must be approved by the local industrial and commercial administrative authorities and must be registered. Article 13 Brokerage firms, brokerage companies, individual brokers and economic organizations that concurrently engage in brokerage business that meet the conditions stipulated in Articles 8, 9, 11 and 12 of these Measures shall report to the local The industrial and commercial administration authorities apply for registration or change of registration. The industrial and commercial administrative authorities shall make a decision to approve or disapprove the registration within 30 days from the date of acceptance of registration or change of registration.

Chapter 4 Brokerage Activities Article 14 Brokers carry out brokerage activities in accordance with the law and are protected by national laws. No unit or individual may illegally interfere.

For all goods and services that the state allows to enter the market, brokers can carry out brokerage activities; for all goods and services that the state restricts free buying and selling, brokers should abide by relevant state regulations and conduct brokerage activities within the approved brokerage scope. Brokerage activities; brokers are not allowed to engage in brokerage activities for goods and services that are prohibited from circulation by the state.