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首页 > 法律咨询 > 发现有重大遗漏的，证券公司对已经销售的证券必须停止销售吗？
金融证券 北京 克孜勒苏柯尔克孜自治州

发现有重大遗漏的，证券公司对已经销售的证券必须停止销售吗？

1 解答 0 浏览 2014-05-11 11:11
问题补充
证券公司在销售证券的过程中，发现该募集文件有重大遗漏的，证券公司需要立即停止销售吗？
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律师解答 (1)
周律师律师
2014-05-11 11:11
《中华人民共和国证券法》第三十一条　证券公司承销证券，应当对公开发行募集文件的真实性、准确性、完整性进行核查；发现有虚假记载、误导性陈述或者重大遗漏的，不得进行销售活动；已经销售的，必须立即停止销售活动，并采取纠正措施。
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  157. /www/wwwroot/tp8.51wf.net/app/index/route/app.php ( 33.14 KB )
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  162. /www/wwwroot/tp8.51wf.net/app/index/controller/Question.php ( 43.25 KB )
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  1. CONNECT:[ UseTime:0.000597s ] mysql:host=127.0.0.1;port=3306;dbname=dev_51wf_net;charset=utf8mb4
  2. SHOW FULL COLUMNS FROM `fa_route_redirect` [ RunTime:0.000642s ]
  3. SELECT * FROM `fa_route_redirect` WHERE `status` = 'normal' AND `is_regex` = 0 AND `old_url` = '/question/1001253.html' LIMIT 1 [ RunTime:0.000356s ]
  4. SELECT * FROM `fa_route_redirect` WHERE `status` = 'normal' AND `is_regex` = 1 ORDER BY `weigh` ASC [ RunTime:0.000272s ]
  5. SHOW FULL COLUMNS FROM `fa_city` [ RunTime:0.000535s ]
  6. SELECT * FROM `fa_city` WHERE `pinyin` <> '' AND `pinyin` IS NOT NULL ORDER BY `sort_order` LIMIT 20 [ RunTime:0.000522s ]
  7. SELECT * FROM `fa_city` WHERE `pinyin` <> '' AND `pinyin` IS NOT NULL ORDER BY `pinyin` [ RunTime:0.001080s ]
  8. SHOW FULL COLUMNS FROM `fa_province` [ RunTime:0.000451s ]
  9. SELECT * FROM `fa_province` WHERE `natual_id` <> '' AND `natual_id` IS NOT NULL ORDER BY `sort_order` LIMIT 20 [ RunTime:0.000283s ]
  10. CONNECT:[ UseTime:0.118894s ] mysql:host=43.136.182.166;port=3306;dbname=ai_brain;charset=utf8mb4
  11. SHOW FULL COLUMNS FROM `fa_ai_usage` [ RunTime:0.079652s ]
  12. SELECT * FROM `fa_ai_usage` WHERE ( `user_id` = 0 AND `client_ip` = '216.73.216.109' ) AND `usage_date` = '2026-10-30' LIMIT 1 [ RunTime:0.079297s ]
  13. SHOW FULL COLUMNS FROM `fa_question` [ RunTime:0.001075s ]
  14. SELECT * FROM `fa_question` WHERE `question_id` = '1001253' AND `audit_status` = 1 AND `deletetime` IS NULL LIMIT 1 [ RunTime:0.000556s ]
  15. SHOW FULL COLUMNS FROM `fa_qa_category` [ RunTime:0.000628s ]
  16. SELECT `text`,`category_id` FROM `fa_qa_category` WHERE `category_id` IN ('10002','10025') [ RunTime:0.000312s ]
  17. SELECT * FROM `fa_province` WHERE `province_id` = '1' LIMIT 1 [ RunTime:0.000257s ]
  18. SELECT * FROM `fa_city` WHERE `city_id` = '352' LIMIT 1 [ RunTime:0.000254s ]
  19. SHOW FULL COLUMNS FROM `fa_answer` [ RunTime:0.000515s ]
  20. SELECT `a`.`answer_id`,`a`.`content`,`a`.`creator_id`,`a`.`is_best`,`a`.`is_top`,`a`.`good_rate`,`a`.`is_ai_answer`,`a`.`ai_confidence`,`a`.`claimed_by`,`a`.`createtime`,l.name as nickname,`l`.`avatar`,`l`.`username` FROM `fa_answer` `a` LEFT JOIN `fa_lawyer` `l` ON `a`.`creator_id`=`l`.`id` WHERE `a`.`question_id` = '1001253' AND `a`.`audit_status` = '1' AND `a`.`deletetime` IS NULL ORDER BY `a`.`is_top` DESC,`a`.`is_best` DESC,`a`.`good_rate` DESC,`a`.`createtime` ASC [ RunTime:0.000510s ]
  21. SELECT `question_id`,`title`,`answer_count`,`view_count`,`create_time` FROM `fa_question` WHERE `audit_status` = 1 AND `deletetime` IS NULL AND `question_id` <> '1001253' AND `second_category_id` = '10025' ORDER BY `create_time` DESC LIMIT 8 [ RunTime:0.000612s ]
  22. SHOW FULL COLUMNS FROM `fa_lawyer_expertise` [ RunTime:0.000424s ]
  23. SELECT `l`.`id`,`l`.`name`,`l`.`avatar`,`l`.`slogan`,`l`.`answer_count`,`l`.`follower_count` FROM `fa_lawyer_expertise` `e` INNER JOIN `fa_lawyer` `l` ON `l`.`id`=`e`.`lawyer_id` WHERE `e`.`category_id` = '10025' AND `l`.`audit_status` = '1' AND `l`.`status` = 'normal' AND `l`.`deletetime` IS NULL ORDER BY `l`.`answer_count` DESC LIMIT 6 [ RunTime:0.000697s ]
  24. SHOW FULL COLUMNS FROM `fa_article` [ RunTime:0.000629s ]
  25. SELECT `a`.`id`,`a`.`title`,`a`.`thumbnail`,`a`.`view_count`,c.text as category_name FROM `fa_article` `a` LEFT JOIN `fa_qa_category` `c` ON `a`.`category_id`=`c`.`category_id` WHERE `a`.`audit_status` = '1' AND `a`.`deletetime` IS NULL ORDER BY CASE WHEN a.category_id = 10025 THEN 0 ELSE 1 END,`a`.`view_count` DESC LIMIT 4 [ RunTime:0.035746s ]
  26. SELECT `content`,`is_best`,`createtime`,`lawyer_id`,`good_rate` FROM `fa_answer` WHERE `question_id` = '1001253' AND `audit_status` = 1 AND `deletetime` IS NULL ORDER BY `is_best` DESC,`is_top` DESC,`good_rate` DESC,`createtime` ASC LIMIT 10 [ RunTime:0.000625s ]
0.382600s