(a) suspected of insider trading, market manipulation and other illegal acts;

(2) Acts in which laws, administrative regulations, departmental rules and normative documents and the business rules of this Exchange restrict the time, quantity and manner of securities trading.

(3) Abnormal trading behavior that may affect the price or volume of securities trading;

(4) The price or volume of securities trading is obviously abnormal.

(5) Other matters that the Exchange deems it necessary to focus on monitoring.

6.2 Abnormal trading behaviors that may affect the price or volume of securities trading include:

(1) buying and selling related securities in large quantities or continuously before the disclosure of information that may have a significant impact on the trading price of securities;

(2) A large number or frequent reverse transactions occur between one or more fixed or suspected related securities accounts;

(3) For one or more fixed or suspected related securities accounts, the declared price of large amount, continuous declaration, intensive declaration or declaration obviously deviates from the latest transaction price disclosed in the securities market;

(4) Making large-sum declarations or continuous declarations at prices with price limits, either alone or in collusion, so as to make the trading price of securities reach or maintain the price limits;

(five) frequent declaration and cancellation of declaration, or cancellation of declaration after a large amount of declaration, which affects the price of securities trading or misleads other investors;

(6) During his stay in call auction, he declared buying at a price significantly higher than the previous closing price, and then declared selling, or declared selling at a price significantly lower than the previous closing price, and then canceled declaring buying.

(seven) a large number of continuous transactions of a single securities product within a period of time.

(eight) the same securities account, the same member or the same securities business department customers to conduct large or frequent intraday trading;

(nine) buy high and sell low in large quantities or day trading;

(10) During the sensitive period of securities price, the transaction price, settlement price or reference value of related securities or their derivatives are affected through abnormal declaration;

(11) buying and selling related securities, alone or in collusion with each other, or trading securities that are contrary to the publicly released investment analysis, forecast or suggestion;

(12) Making false or other declarations disturbing the market order on the comprehensive agreement trading platform;

(13) Other abnormal trading behaviors that the Exchange deems necessary to focus on monitoring.

6.3 Evidently abnormal securities trading prices or trading volumes include:

(a) the same securities business department or the securities business department in the same area concentrated on buying or selling the same securities in large quantities.

(2) The trading price of securities has continuously risen or fallen sharply, which obviously deviates from the fluctuation range of relevant indexes in the same period, and the listed company has no announcement of major events;

(3) Other abnormal trading situations that the Exchange deems it necessary to focus on monitoring.

6.4 According to market demand, this Exchange may jointly investigate the occurrence of Item (10) of Article 6.2 with other securities and futures exchanges.

6.5 If a member discovers that one of the key monitoring items listed in Article 6. 1 occurs in the securities trading of a customer, which may seriously affect the order of securities trading, it shall remind him and report to the Exchange in time.

6.6 The Exchange may conduct on-site or off-site investigations on key monitoring matters in securities trading, and members, securities business departments and investors shall cooperate with them.

6.7 During on-site or off-site investigation, the Exchange may require relevant members, their securities business departments and investors to provide the following documents and materials in a timely, accurate and complete manner:

(a) the investor's account information, power of attorney, capital account and related securities account transactions;

(2) Information on the actual controllers and operators of the relevant securities accounts or capital accounts, sources of funds and explanations on whether there is any relationship between the relevant accounts, etc. ;

(3) Description of key monitoring items of securities trading;

(four) other materials related to the key monitoring projects of this exchange.

6.8 For serious behaviors in key monitoring items listed in Article 6. 1, the Exchange may take the following measures as appropriate:

(a) A verbal or written warning;

(2) make an appointment to talk;

(3) Asking for a written commitment;

(4) restricting the trading of relevant securities accounts.

(5) Report to the China Securities Regulatory Commission.

If you have any objection to the measures in Item (4), you may apply to the Exchange for review within 15 days from the date of receiving the implementation notice of relevant measures. This measure will not be stopped during the review.