第1页共79页编号：时间：2021年x月x日书山有路勤为径，学海无涯苦作舟页码：第1页共79页目录关于发布实施《上海证券交易所中小企业私募债券业务试点办法》有关事项的通知...........3上海证券交易所中小企业私募债券业务试点办法.......................................................................4第一章总则............................................................................................................................4第二章备案及发行.................................................................................................................5第三章投资者适当性管理.....................................................................................................7第四章转让服务....................................................................................................................8第五章信息披露....................................................................................................................9第六章投资者权益保护.......................................................................................................10第七章自律监管和纪律处分措施.......................................................................................12第八章附则..........................................................................................................................13关于印发中小企业划型标准规定的通知.....................................................................................14中小企业划型标准规定.................................................................................................................14关于发布实施《上海证券交易所中小企业私募债券业务指引（试行）》有关事项的通知..18上海证券交易所中小企业私募债券业务指引（试行）.............................................................19第一章总则........................................................................................................................19第二章备案及发行.............................................................................................................20第三章投资者适当性管理.................................................................................................24第四章转让服务.................................................................................................................26第五章信息披露.................................................................................................................28第六章纪律与处罚.............................................................................................................30第七章附则........................................................................................................................32上海证券交易所中小企业私募债券备案材料内容与格式.........................................................33关于申请***中小企业私募债券在上海证券交易所备案的函（参考格式）...........................35上海证券交易所中小企业私募债券发行备案登记表.................................................................36上海证券交易所中小企业私募债券募集说明书格式与内容.....................................................38上海证券交易所中小企业私募债券合格投资者风险认知书（参考文本）.............................41上海证券交易所中小企业私募债券合格投资者资格确认表（机构适用）.............................43上海证券交易所中小企业私募债券合格投资者资格确认表（个人适用）.................
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