Chapter I General Provisions Article 1 In order to establish the legal status of brokers, standardize brokerage activities, safeguard the legitimate rights and interests of the parties involved in brokerage activities, maintain market order and promote the development of socialist market economy, these Regulations are formulated in accordance with the relevant provisions of laws and regulations and combined with the actual situation of this province. Article 2 These Regulations shall apply to brokers and their brokerage activities within the administrative area of this province. Brokerage business in finance, insurance, securities and futures industries shall be handled in accordance with relevant state laws and regulations. Article 3 Brokers as mentioned in these Regulations refer to brokerage enterprises, partnership brokerage enterprises and independent brokers established in accordance with the law to provide intermediary services to facilitate other people's commodity transactions and obtain commissions from them.

The commodities mentioned in these Regulations include for-profit services.

Intermediary service as mentioned in these Regulations refers to the broker's behavior of providing information, opportunities and conditions for the client to conclude a contract as a contracting intermediary when the client concludes a contract with the other party, or signing a contract with the other party on behalf of the client in anonymous transactions. Article 4 Encourage, support and protect brokers to carry out brokerage activities according to law. No unit or individual may infringe upon the legitimate rights and interests of brokers. Article 5 Brokers engaged in brokerage activities shall abide by the provisions of laws and regulations; Follow the principles of equality, voluntariness, fairness, honesty and credibility; Observe professional ethics. Article 6 The administrative departments for industry and commerce at or above the county level are the supervisory and administrative organs of brokers and brokerage activities.

Tax, auditing, price and other departments shall, according to their respective responsibilities, supervise and manage brokers and brokerage activities. Chapter II Registration Administration Article 7 The examination system for brokers' business knowledge shall be implemented.

The content of the assessment is the knowledge and skills required to engage in brokerage activities, as well as the mastery of relevant laws and regulations. Specific assessment methods shall be formulated separately by the provincial administrative department for industry and commerce, or by the provincial administrative department for industry and commerce jointly with relevant departments. Article 8 A broker who has passed the business knowledge examination and meets the following conditions may apply for a broker qualification certificate:

(1) Having full capacity for civil conduct;

(2) On-the-job staff of non-state organs;

(3) It has not been subjected to criminal punishment or administrative punishment above dismissal for economic violations within three years before applying for brokerage qualification. Article 9 An application for a broker qualification certificate shall be issued by the administrative department for industry and commerce at or above the county level.

To apply for the qualification certificate of professional brokers in special industries as stipulated by laws and administrative regulations on science and technology, real estate, etc., the provincial or municipal administrative department for industry and commerce shall examine and issue it jointly with relevant administrative departments. Article 10 A person who has obtained a broker qualification certificate may apply for the establishment of a brokerage enterprise, a partnership brokerage enterprise and an independent broker according to law, and may engage in brokerage activities only after being registered by the local administrative department for industry and commerce at or above the county level and obtaining a business license. Article 11 To establish an independent broker, the following conditions shall be met:

(1) Having a resident identity card and a fixed business place;

(2) Obtaining a broker qualification certificate;

(three) other conditions stipulated by the state for the registration and management of individual industrial and commercial households.

Independent brokers engage in brokerage activities in their own names and bear unlimited liability with all their personal property. Article 12 To establish a partnership brokerage enterprise, the following conditions shall be met:

(a) in line with the eleventh (a) conditions;

(2) Initiated by two or more individuals holding the qualification certificates of brokers as partners;

(three) to run brokerage business in special industries, there should be more than two full-time personnel who have obtained the corresponding professional broker qualification certificates;

(four) specializing in special industry brokerage business, there should be more than four full-time personnel who have obtained the corresponding professional broker qualification certificates;

(5) Other conditions stipulated by the state for the administration of partnership enterprise registration.

The partnership brokerage enterprise engages in brokerage activities and assumes responsibilities according to law; Partners shall be jointly and severally liable for the debts of the partnership brokerage enterprise according to law. Article 13 The establishment of a brokerage enterprise with legal person qualification shall meet the following conditions:

(1) The legal representative has obtained the qualification certificate of the broker;

(2) Having at least five employees who have obtained the qualification certificate of brokers;

(3) Having a corresponding organizational structure and a fixed business place;

(4) The registered capital is more than100,000 yuan;

(five) to engage in brokerage business in special industries, there shall be more than two full-time personnel who have obtained the qualification certificates of corresponding professional brokers;

(six) specializing in special industry brokerage business, there should be more than four full-time personnel who have obtained the qualification certificate of professional brokers;

(seven) other conditions stipulated by the state for the administration of enterprise legal person registration.

Brokerage enterprises are enterprise legal persons with limited liability. Fourteenth in addition to independent brokers, partnership brokerage enterprises and brokerage enterprises, other economic organizations engaged in brokerage activities must be approved and registered by the local administrative department for industry and commerce at or above the county level. Article 15 A person who has obtained a broker qualification certificate but has not registered for a business license may be employed by a brokerage enterprise or a partnership brokerage enterprise.

Brokerage enterprises and partnership brokerage enterprises that accept part-time personnel to engage in brokerage activities shall file with the administrative department for industry and commerce.

Prohibit individuals who have not obtained the qualification certificate of brokers from engaging in brokerage activities; Without registration, no individual or unit may engage in brokerage activities.