How does Dongxing Securities open an account? The following is an account opening guide for Dongxing Securities for investors' reference.

(1) Opening a stock account

Customers who want to enter the stock market must first open a stock account, which is the passport for investors to enter the market. Only when they own it can they enter the market to buy and sell securities. Stock account is also called shareholder code card in Shenzhen.

1. Documents required for opening a stock account. Stock accounts can be divided into individual accounts and legal person accounts. Individual investors must hold their valid identity documents (usually ID cards) when opening an account. The information required for a legal person to open an account includes: valid legal person certification document (business license) and its copy; The certificate of the legal representative and his/her ID card, the power of attorney of the legal person and the ID card of the trustee. The stock accounts of Shanghai Stock Exchange are centrally managed by the securities registration companies affiliated to the exchange, and the specific account opening procedures are entrusted to relevant institutions. To open a stock account in Shenzhen Stock Exchange, you need to provide a designated bank passbook in addition to your ID card. Opening an account in Shenzhen is accepted by Shenzhen Securities Registration Company. A natural person or legal person may go through the account opening formalities at the securities registration institution where the selected securities operation institution is located.

2. Information needed to open a stock account. When opening a stock account, an individual investor shall provide detailed information about himself and his clients, including name, gender, ID number, home address, occupation, contact telephone number, etc. The legal person investor shall provide the legal person's address, telephone number, name, gender, written power of attorney, bank account and account number, postal code, legal representative and institutional nature of the authorized brokerage firm.

3. Basic conditions for opening a stock account. According to the relevant provisions of the state, the following persons are not allowed to open stock accounts:

(1) Relevant personnel in charge of securities affairs in the securities department;

(2) Managers of stock exchanges;

(3) Personnel directly related to stock issuance or trading in securities institutions;

(4) The functionaries of the organs who have direct administrative subordination or management relationship with the issuer.

(5) Other insiders related to stock issuance or trading.

After handling the stock and securities account of Shanghai Stock Exchange, you need to handle the designated transaction, so that the account can be designated for trading in the securities company. Such designated transactions can be handled or cancelled at any time. After the stock account of Shenzhen Stock Exchange is opened, the entrusted transactions can only be handled in the designated securities institutions. If investors need to entrust other securities institutions, they must go through the formalities of transferring custody in advance.

With the development of the securities market, the function of stock account is not limited to stocks, but has been extended to funds, stock warrants, paperless national debt and so on.

(2) Opening a capital account

After handling the stock account, you also need to handle the fund account. In the system of Shanghai Stock Exchange, the capital account is opened in a securities institution and is only valid in that institution. Securities institutions shall pay interest on the deposits in investors' capital accounts according to the expected annualized interest rate of bank demand deposits. The documents and materials required for opening a capital account are basically the same as those for opening a stock account.

Magnetic card account. Gradually promote the magnetic card account that integrates the functions of stock account and capital account, so that after the whole capital account is networked, the liquidation work can be concentrated.

(3) The client fills in the entrustment form.

Customers can enter the market to buy and sell securities after completing the stock account and capital account. The order form for buying and selling securities filled out by customers is a document to determine the agency relationship between customers and securities companies, which has legal effect. Generally, the entrustment form is in duplicate or triplicate. One copy is submitted to the customer after examination and confirmation by the securities firm, and the other copy is executed by the securities firm accordingly. After the transaction is completed, the customer goes to the securities company for clearing and delivery with the entrustment form. If the transaction result is inconsistent with the entrustment instruction, the customer can make representations to the securities company according to the entrustment instruction to safeguard his legitimate rights and interests.

(4) The securities company accepts the entrustment.

The acceptance of entrustment by a securities company includes three basic links: examination, declaration and entry. In addition to this traditional three-link method, there are two ways: one is to review, declare and enter in one go, and the customer automatically entrusts to enter into the computer. After computer verification and confirmation, directly enter the host computer of the place; Second, after the securities company accepts the entrusted examination, it directly inputs it into the computer.

(5) matchmaking.

The operation of modern securities market is characterized by the automation of transactions and the paperless liquidation and transfer of stocks. The procedure of computer matching centralized transactions is as follows: the securities company's transaction declaration is input by the terminal, and each entrustment consists of the entrustment serial number (that is, the contract serial number when entrusted by the customer), the transaction identification number (represented by 0 and 1 respectively when input) and the securities code (specify 4 or 6 digits when input, and list the securities name in Chinese characters when returning). The computer conducts bidding processing (call auction and continuous bidding) according to the input information, and automatically matches the transaction according to the principle of "price first, time first".

(6) Liquidation and delivery

Liquidation refers to the procedure that after the buyers and sellers of the stock exchange buy and sell securities on the stock exchange, the stock exchange offsets the quantity and amount of securities bought and sold between securities companies, and calculates the difference between securities receivable, securities payable and shares payable. Shenzhen stock market is a mode of "centralized liquidation and decentralized registration", while Shanghai stock market is a mode of "centralized liquidation and centralized registration", which will not be introduced in detail here.

Delivery refers to the procedures for investors and entrusted securities companies to handle the fund and share clearing business for this transaction. The transactions in Shenzhen and Shanghai are handled in accordance with the principle of centralized clearing and net settlement.

(7) Transfer of ownership

The so-called transfer is to change the original account name of selling securities into the account name of buying securities after liquidation and delivery. For registered securities, only when the transfer is completed can the whole transaction process be completed, indicating that they have complete securities ownership. Stocks listed on two stock exchanges usually do not need shareholders to handle the transfer formalities in person. A-share transactions are completed according to the above procedures.