77.bringing forward proposals提出议案 78.initiate actions 提起诉讼 79.non-voting delegates列席代表 80.adopt[?'d?pt]v. 正是通过，采取，收养
81.one-person limited liability companies一人有限责任公司 82.a lump sum 一次总付的金额
83.solely-funded by one natural person自然人独资 83-1 solely-funded by one juridical person 法人独资 84.solely state-owned corporation 国有独资公司
85.state-owned assets supervision and administration institution国有资产监督管理机构
86.share right 股权 87.waive[we?v]v. 放弃
88.consecutive [k?n'sekj?t?v]adj. 连续的 89.dissolution[d?s?'lu??(?)n]n. 解散 90.inherit[?n'her?t] v. 继承 90-1 inheritor[?n'h?r?t?] n. 继承人 91.initiator[?'n???et?]n. 发起人 92.raise[re?z] v. 募集
93.floatation[fl??'te???n] n. （通过在证券交易所出售新公司股票的方式）筹资创办新公司
93-1 share floatation 募集设立 93-2 promotion [pr?'m???n] n. 发起设立
94.down payment （分期付款中的）头期款；预付定金 95.prospectus[pr?'spekt?s]n. 招股说明书 96.unregistered share 无记名股票 96-1 registered share 记名股票 97.public offer 公开发行
98.pecuniary[p?'kju?n??r?] adj. 金钱的 99.pecuniary payment 金钱支付 100.in lieu of代替
101.force majeure[,f?:smɑ:'d??i?]n.不可抗力
102.counterfoil['ka?nt?f??l]n. 存根，票根 103.preserve[pr?'z??v]v. 保存 104.delivery[d?'l?v(?)r?]v. 交割
105.cumulative voting system累积投票制 106.power of attorney委托书
107.authorization scope 授权范围 108.listed company 上市公司
109.independent director 独立董事
110.secretary of the board of directors 董事会秘书 111.share issuance 股票发行
112.principle of fairness and impartiality公平、公正的原则 113.initiators'shares发起人股票 114.stock exchange 证券交易所
115.endorsement[?n'd??sm(?)nt; en-]n. 背书
116.benchmark date基准日
117.Qualifications and obligations of the directors, supervisors and senior managers of a company公司董事、监事、高级管理人员的资格和义务 118.limited capacity of civil acts限制民事行为能力 119.offence[?'fens]n. 犯罪，过错，违反
119-1 criminal ['kr?m?n(?)l]（n.罪犯 adj.刑事的，犯罪的，罪恶的）penalty ['pen(?)lt?] （n.罚款，罚金，处罚）刑罚
119-2 corruption [k?'r?p?(?)n] n. 贪污，腐败 119-3 bribery ['bra?b?r?] n. 贿赂
119-4 encroachment [?n'krot?m?nt]（侵入，侵犯，侵蚀）of property 侵占财产 119-5 misappropriation of property 挪用财产 120.fidelity [f?'del?t?]n. 忠诚，尽责 121.lodge [l?d?]v. 提出
121-1 lodgea lawsuit提出诉讼 122.physical bond 实物债券
123.registration and settlement institution登记结算机构
e.g. The registration and settlement institutions of registered corporate bonds shall establish bylaws['bai,l?:z]（细则，规章制度）on the registration, preservation,
interest payment and acceptance of bonds.
【译】记名公司债券的登记结算机构应当建立债券登记、存管、付息、兑付等相关制度。 124.legal accumulation fund法定公积金 125.optional accumulation fund 任意公积金 126.capital reserve 资本公积金 127.merger['m??d??]n. 吸收合并
127-1 consolidation [k?n,s?l?'de???n] n. 新设合并
128.the company that survives the merger 合并后存续的公司 129.deregister [di?'red??st?]v. 撤销??的登记 130.plead [pli?d]v. 请求，恳请
131.liquidation group 清算组
132.civil proceedings民事诉讼程序，民事诉讼 133.relinquish[r?'l??kw??]v. 放弃，放手，废除 134.legal liabilities法律责任 135.draw[dr??]v. 提取
136.admonish[?d'm?n??]v. 警告，告诫 137.confiscate['k?nf?ske?t] v. 没收，充公 138.administrative sanction行政处分
139.liable person-in-charge 负责的主管人员 140.clamp down取缔，强行压制 【讲解】
clamp [kl?mp]v. 夹紧，固定住，AmE，强制实行，把??强加于 141.civil liabilities of compensation民事赔偿责任 142.constitute crime构成犯罪
143.controlling shareholder控股股东
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PART II Security Law
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第二部分 证券法
144.insider trading 内幕交易
145.principles of free will 自愿原则
146.manipulation[m?,n?pj?'le??(?)n]n. 操纵
147.divided operation and management分业经营、分业管理
148.the securities regulatory authority国务院证券监督管理机构
149.centralized and unified supervision and administration集中统一监督管理 150.dispatched office 派出机构
151.securities registration and clearing institutions证券登记结算机构 152.the auditing organ of state 国家审计机关 153.non-specified objects 不特定对象 154.public inducement公开劝诱
155.recommendation system 保荐制度
156.abide[?'ba?d] by遵守
e.g. A recommendation party shall abide by operational rules and industrial norms. 【译】保荐人应当遵守业务规则和行业规范。
157.IPO, initial public offerings 首次公开募股，初次公开发行 158.surpass[s?'pɑ?s]v. 超越，胜过，优于 159.corporate bond 公司债券
160.asset appraisal report资产评估报告 161.file an application 提交申请 162.issuer ['i?ju:?, 'isju:?]n. 发行人
163.tenure['tenj?]n. 任期，占有；土地使用权 v.授予??终身职位 164.be liable for 对??负责
165.sale by proxy['pr?ks?] （n. 代理，代理人，委托书，代用品）代销 166.canvass['k?nv?s] v. 游说，劝诱，向??拉票或拉生意；讨论；彻底检查 167.at one’s own will 自主
168.underwriting syndicate['s?nd?k?t]（n. 辛迪加，企业联合，财团 v.联合成辛迪加，组成企业联合组织）承销团
169.premium['pri?m??m]n. 溢价，升水，保险费，奖金 170.listed trading of securities 证券挂牌交易 171.in the form of spot goods 现货方式
172.suspend/terminate the listing of its stocks暂停/终止股票上市交易 173.interim report 中期报告，临时报告，亦作midterm report 174.thereby[ee?'ba?]adv. 在那方面，从而，因此 175.trading price 交易价格
176.major investment 重大投资行为 177.deficit['def?s?t; 'di?-]n. 亏损 178.divulge[da?'v?ld?; d?-]v. 泄露，暴露
179.prohibited（prohibit [pr?u'hibit]v. 组织，禁止）trading acts禁止的交易行为 180.insider[?n'sa?d?]n. 内幕人，知情者，熟悉内情者 181.guaranty['g?r(?)nt?] n.保证，担保物 v.保证，担保
182.functionary ['f?n(k)?(?)n(?)r?]adj. 职务上的，公务员的，官员的 n. 官员，公务员 183.discard[d?'skɑ?d] n. 抛弃 v. 抛弃，丢弃 184.damage['d?m?d?]n. 损害，损毁 v. 损害，毁坏 185.collaborate[k?'l?b?re?t]v. 合作，协作 186.fabricate['f?br?ke?t] v. 伪造
187.disseminate[d?'sem?ne?t]v. 宣传，散布，传播 188.on one’s half 代表
189.inveigle[?n'vi?g(?)l; ?n've?g(?)l] v.诱骗，诱使 190.state-holding enterprise 国有资产控股企业
191.tender offer 收购要约，要约收购；投标报价 192.target company（收购的）目标公司 e.g. It shall be stipulated in atender offer as issued to a listed companythat, where the share amount as promised to be sold by the shareholders of the target company exceeds the scheduled amount of stocks for purchase, the purchaser shall carry out the acquisition according to the relevant percentage. 【译】收购上市公司部分股份的收购要约应当约定，被收购公司股东承诺出售的股份数额超过预定收购的股份数额的，收购人按比例进行收购。 【讲解】
（1）例句词汇：tender offer 收购要约，投标报价 （2）语法讲解：形式主语it的用法
193.overstep[??v?'step]v. 逾越，超出??的限度
194.conclude[k?n'klu?d]v. 结束，作结论；达成（协议），订立（合同） 195.council['ka?ns(?)l; -s?l]n. 理事会
196.disqualify [d?s'kw?l?fa?]v. 取消??的资格
e.g. Where a professional[pr?'fe?(?)n(?)l]（n. 专业人员，职业运动员 adj. 专业的，职业的）of a law firm, accounting firm or investment consulting organization, financial advising organization, credit rating institution, asset appraisal institution or asset verification institution who has been disqualified for his irregularity or disciplinary breach and if it' has been within 5 years as of the day when he is removed from his post.
【译】因违法行为或者违纪行为被撤销资格的律师、注册会计师或者投资咨询机构、财务顾问机构、资信评级机构、资产评估机构、验证机构的专业人员，自被撤销资格之日起未逾五年。
197.settlement and delivery 结算交割
198.real time quotations/JIT quotations 即时行情
199.measures of a technical suspension of trading技术性停牌的措施
200.temporary ['temp(?)r?r?] （adj.临时的 n. 临时工）speed bump[b?mp]（肿块，隆起物，撞击）临时停市 【讲解】
speed bump 减速带（= sleeping policeman），引申为“停市措施”。 201.real-time[,r??l 'ta?m]adj. 实时的， 202.seat fee 席位费 203.risk fund 风险基金
204.rule-breaking trading 违规交易
205.disciplinary['d?s?pl?n(?)r?;,d?s?'pl?n-]（纪律的，训诫的，多学科的）sanction['s??(k)?(?)n]（n.& v.制裁，处罚，认可，支持）纪律处分 206.security company 证券公司
207.post-holding qualification 任职资格
208.securities brokerage['br??k(?)r?d?]（佣金，回扣，中间人业务）证券经纪，所以说 209.securities investment consulting证券投资咨询 210.financial advising财务顾问
211.securities asset management证券资产管理