（一）文(wen)書制作(zuo)基本(ben)知識
1．文(wen)書的含義及作用
我國(guo)《證(zheng)券法(fa)》第25條規定，向社會公開發行的證券票(piao)面總值(zhi)超過人民幣5000萬元(yuan)的，應當由(you)(you)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)。承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)應當由(you)(you)主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)和參與承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)的證券公司(si)組成(cheng)(cheng)。組成(cheng)(cheng)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)發行股票(piao)有(you)(you)利于(yu)分散風險和提高工作效率。承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)中應有(you)(you)一(yi)名主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)，如(ru)果承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)中有(you)(you)三家(jia)或三家(jia)以(yi)上的承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)的，可以(yi)設一(yi)家(jia)副承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)，來協(xie)助(zhu)主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)組織承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)活動；承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)中除主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)、副主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)以(yi)外的證券公司(si)為(wei)分銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)。在(zai)(zai)實踐中，一(yi)般是(shi)(shi)公開(kai)發行股票(piao)的發行人先選擇(ze)主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)，再(zai)由(you)(you)主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)選擇(ze)其他(ta)券商(shang)(shang)(shang)籌(chou)組承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)。在(zai)(zai)此存(cun)在(zai)(zai)兩個合同(tong)，前(qian)者(zhe)是(shi)(shi)股票(piao)發行承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)協(xie)議(yi)(yi)，后者(zhe)是(shi)(shi)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)協(xie)議(yi)(yi)。前(qian)者(zhe)前(qian)面已講(jiang)述過，不再(zai)贅(zhui)述，而后者(zhe)是(shi)(shi)主(zhu)承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)商(shang)(shang)(shang)與承(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)(cheng)銷(xiao)(xiao)(xiao)團(tuan)的其他(ta)成(cheng)(cheng)員之(zhi)間簽訂(ding)的。
2．文書制作要點
承銷團協(xie)議應載明下列(lie)事項：
（1）當事(shi)人(ren)的(de)姓名(ming)、住所及法定代(dai)表人(ren)的(de)姓名(ming)。在此要寫明各(ge)當事(shi)人(ren)的(de)分類，即主(zhu)承銷(xiao)商、副主(zhu)承銷(xiao)商（如有(you)）及各(ge)分銷(xiao)商。
（2）承銷股(gu)票的方(fang)式。即是(shi)采(cai)(cai)取包(bao)銷方(fang)式還是(shi)采(cai)(cai)取代銷方(fang)式，前(qian)者在其發行(xing)的股(gu)票未被(bei)全部認購(gou)的情況下(xia)包(bao)銷商應全部自行(xing)購(gou)人，后者則將股(gu)票退回發行(xing)人。
（3）承銷股票的種類、數量、金額和發行價格(ge)。種類是指A、B、H三(san)種(zhong)之一種(zhong)；數量(liang)是指(zhi)本(ben)次(ci)承銷(xiao)(xiao)所共需承銷(xiao)(xiao)的股(gu)票總(zong)數；金額要寫明總(zong)金額及(ji)幣種(zhong)；發(fa)(fa)行(xing)價格則是本(ben)次(ci)股(gu)票的銷(xiao)(xiao)售價格，一般(ban)為溢價發(fa)(fa)行(xing)。在(zai)此金額便等于發(fa)(fa)行(xing)價格乘以數量(liang)。
（4）包銷(xiao)(xiao)(xiao)的(de)(de)具體(ti)(ti)公式。包銷(xiao)(xiao)(xiao)過程(cheng)中(zhong)剩余(yu)金股票(piao)(piao)的(de)(de)認(ren)購(gou)方法，或代銷(xiao)(xiao)(xiao)過程(cheng)中(zhong)剩余(yu)股票(piao)(piao)的(de)(de)退還方法。包銷(xiao)(xiao)(xiao)的(de)(de)具體(ti)(ti)方式是(shi)指各(ge)(ge)承(cheng)(cheng)銷(xiao)(xiao)(xiao)商以何種形式來對承(cheng)(cheng)銷(xiao)(xiao)(xiao)期屆(jie)滿后(hou)的(de)(de)剩余(yu)金股票(piao)(piao)的(de)(de)認(ren)購(gou)，一(yi)般是(shi)由各(ge)(ge)分銷(xiao)(xiao)(xiao)商按(an)其承(cheng)(cheng)銷(xiao)(xiao)(xiao)比例來認(ren)購(gou)剩余(yu)股票(piao)(piao)，并將有關款項一(yi)并匯入(ru)主承(cheng)(cheng)銷(xiao)(xiao)(xiao)商指定的(de)(de)賬戶。代銷(xiao)(xiao)(xiao)期屆(jie)滿后(hou)，剩余(yu)股票(piao)(piao)的(de)(de)退還方式應有約(yue)定，以免出現糾紛。
（5）各承(cheng)銷(xiao)商的承(cheng)銷(xiao)份額。即主承(cheng)銷(xiao)商、副(fu)主承(cheng)銷(xiao)商（如有）和各分銷(xiao)商所應承(cheng)銷(xiao)本(ben)次發行(xing)股(gu)票(piao)的份額、具體(ti)股(gu)票(piao)數量，這些均(jun)應一一列明。
（6）承(cheng)銷(xiao)組織工(gong)(gong)作的分工(gong)(gong)。主要(yao)是指為配合本次股票發行而(er)應(ying)做的宣(xuan)傳(chuan)、廣告等有關工(gong)(gong)作，一般是由主承(cheng)銷(xiao)商(shang)負(fu)責，如(ru)有副主承(cheng)銷(xiao)商(shang)的話，也負(fu)責其(qi)中一部(bu)分。此(ci)外，主承(cheng)銷(xiao)商(shang)還負(fu)責協調各(ge)分銷(xiao)商(shang)本次承(cheng)銷(xiao)的工(gong)(gong)作。
（7）承(cheng)銷(xiao)期(qi)(qi)及起(qi)止日(ri)期(qi)(qi)。應明確(que)載明本次承(cheng)銷(xiao)的期(qi)(qi)限，此(ci)外(wai)，根據《證(zheng)券法(fa)》的規定，此(ci)期(qi)(qi)限最長不能超過90天。
（8）承(cheng)(cheng)(cheng)銷付款的(de)日期(qi)及(ji)(ji)方式。這里是指(zhi)各承(cheng)(cheng)(cheng)銷商在(zai)售出股票后所得款項(xiang)(xiang)及(ji)(ji)在(zai)包銷的(de)情況下自行購入剩(sheng)余股票所應支付的(de)款項(xiang)(xiang)的(de)支付時間和方式。一般情況下是各分銷商及(ji)(ji)副(fu)主(zhu)承(cheng)(cheng)(cheng)銷商（如有(you)）在(zai)承(cheng)(cheng)(cheng)銷期(qi)屆(jie)滿后幾(ji)日內上(shang)述款項(xiang)(xiang)之和（實踐中還一般扣除承(cheng)(cheng)(cheng)銷費用）劃入主(zhu)承(cheng)(cheng)(cheng)銷商指(zhi)定的(de)賬戶。
（9）承銷繳款的(de)日(ri)期(qi)及(ji)程序。是指各承銷商在(zai)承銷股票時，認購人繳款的(de)有(you)關程序及(ji)日(ri)期(qi)。
（10）承銷費用的計算、支付公式和日期。承銷費用的計算是按其承銷金額的一定比例來提取的，具體比例由當事人自由協商，但不得超過中國證監會
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