目錄

前言........................................................................................................................ 4

一、新三板市場(chǎng)簡(jiǎn)介............................................................................................ 5

（一）從老三板到新三板............................................................................. 5

1.老三板的生與死 .................................................................................. 5

2.過(guò)渡代：“代辦股份轉(zhuǎn)讓系統(tǒng)” ........................................................ 6

3.新三板順勢(shì)而出 .................................................................................. 6

（二）新三板的功能定位............................................................................. 7

1.公司股權(quán)改革的催化劑 ...................................................................... 7

2.主板二板市場(chǎng)的孵化器 ...................................................................... 7

3.中小企業(yè)成長(zhǎng)的助推器 ...................................................................... 8

二、新三板市場(chǎng)構(gòu)建............................................................................................ 8

（一）新三板擴(kuò)容......................................................................................... 8

1.擴(kuò)容背景 .............................................................................................. 8

2.擴(kuò)容意義 .............................................................................................. 9

3.擴(kuò)容問(wèn)題 .............................................................................................. 9

（二）做市商制度....................................................................................... 10

1.必要性 ................................................................................................ 11

2.模式選擇 ............................................................................................ 11

3.配套措施 ............................................................................................ 11

（三）新三板轉(zhuǎn)板....................................................................................... 12

1.必要性 ................................................................................................ 12

2.轉(zhuǎn)板分類 ............................................................................................ 13

3.轉(zhuǎn)板形式 ............................................................................................ 13

三、企業(yè)新三板掛牌.......................................................................................... 14

（一）新三板掛牌的利弊........................................................................... 14

1.優(yōu)勢(shì)分析 ............................................................................................ 14

2.劣勢(shì)分析 ............................................................................................ 15

3.機(jī)會(huì)分析 ............................................................................................ 16

4.威脅分析 ............................................................................................ 16

（二）新三板掛牌的流程........................................................................... 17

1.盡職調(diào)查 ............................................................................................ 17

2.內(nèi)核 .................................................................................................... 18

3.備案 .................................................................................................... 18

4.掛牌 .................................................................................................... 18

5.融資 .................................................................................................... 18

四、新三板運(yùn)作務(wù)實(shí).......................................................................................... 19

（一）公司設(shè)立........................................................................................... 19

1.國(guó)有股權(quán)程序瑕疵（瀚遠(yuǎn)科技430610） ....................................... 19

2.增資未履行國(guó)有資產(chǎn)評(píng)估備案程序（威門藥業(yè)430369） ........... 20

3.國(guó)有股權(quán)出資存在瑕疵（歐麗信大430528） ............................... 21

（二）股權(quán)變更........................................................................................... 23

1.國(guó)有股權(quán)轉(zhuǎn)讓存在程序瑕疵（格納斯430619） ........................... 23

2.國(guó)有股權(quán)變化及增資存在瑕疵（雅達(dá)股份430556） ................... 26

3.國(guó)有資產(chǎn)出資后未獲批作減資處理（西部泰力430560） ........... 27

（三）其他方面........................................................................................... 29

1.國(guó)有股東股權(quán)批復(fù)（中搜網(wǎng)絡(luò)430339） ....................................... 29

2.公務(wù)員兼職董事（均信擔(dān)保430558） ........................................... 29

附錄...................................................................................................................... 31

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