shizhiweifan《zhengquanfa》、《zhengquantouzijijinfa》、《qihuojiaoyiguanlitiaoli》、《zhengquan、qihuotouzizixunguanlizanxingbanfa》dengfalvfaguideguiding，weijingzhengquanjianduguanlibumenheqitajinrongjianguanbumenhezhunhepizhun，shanzicongshizhengquanfaxing、zhengquanqihuojiaoyi、zhengquanqihuotouzizixun、zhengquanqihuoweituolicai、jijinxiaoshoudengyewudejingyingxingwei。
一、非法发行股票
1、weijingzhengjianhuihezhun，shanzixiangbutedingduixiangfaxinggupiaohuoxiangtedingduixiangfaxinggupiaohougudongleijichaoguo200rendegupiaofaxingxingwei。
2、weijingzhengjianhuihezhun，gongsigudongyigongkaifangshixiangshehuigongzhongzhuanranggupiao，huoxiangtedingduixiangzhuanranggupiaohouzhishigongsigudongleijichaoguo200rendebianxianggongkaifaxinggupiaoxingwei。
二、非法经营证券期货业务
1、feifazhengquanqihuozixun：shizhiyouguanjigouhuogerenweijingzhengjianhuipizhun，shanzixiangtouzizhehuokehutigongzhengquanqihuotouzifenxi、yucehuojianyidengzhijiehuojianjieyouchangfuwudexingwei。
2、feifazhengquanqihuoweituolicai：shizhiyouguanjigouhuogerenweijingjinrongjianguanbumenpizhun，tongguowangluo、dianshi、guangbo、baokandenggongzhongmeitizhaolankehu，dailikehucongshizhengquanqihuotouzilicaidejingyinghuodong。
3、qitayouguanjigouhuogerenshanzicongshiyingjingdanweizhengjianhuipizhundefeifagupiaochengxiao、jingji（dailimaimai）dengzhengquanqihuoyewudexingwei。
1、yigongsijijiangzaijingneiwaishangshidengxujiaxinxiweiming，youpianshehuigongzhonggoumaisuowei“yuanshigu”，youdeshenzhimiaozhunjijiangfaxingshangshidegongsigupiao，xuanchengkeyitongguowangxiapeishoudailishengouxingu，youpiantouzizhedeqiancai。
2、tongguoguangbo、dianshi、baozhidengmeitiguanggaoyijijianguboke、shoufeiqqdengwangluoqudao，huoliyongshoufeichaoguruanjian、simujijinxinxidengxingshijinxingfeifazhengquantouzizixun，shouqugaoefeiyong。
3、yizhengquanqihuotouzilicaiweiming，yigaoehuibaoweiyouer，caiqubaodichengnuo、lirunfenchengdengxingshidaikelicai，zhapiantouzizheqiancai。
4、yijingwaizhengquanqihuodailidemingyi，yongdishouxufei、dibaozhengjindengshouduanzhaolankehu，feifadailijingwaizhengquanheqihuo（shangpin、waihui、huangjin、xiangganghengshengzhishudengqihuopinzhong）dejingji、zixunhuodong。
5、yizhengquantouziweiming，weizaoxiangguangongsizhengjianhezhengmingcailiao，zhapianqunzhongqiancai。
五要：1.yaoxuexixiangguanfalvfagui，zengqiangfalvyishi；2.yaoxuexizhengquantouzizhishi；3.yaoshizhongbaochilixingtouzixintai；4.yaozaitouziqianzhengxunzhuanyerenshiyijian；5.yaozijuedizhifeifazhengquanhuodong。
五不要：1.buyaobaoyou“yiyebaofu”dehuanxiang；2.buyaoqingxinyaoyan、chuanyan；3.buyaoxiangxindianhua、wangluodengchuanxiaoguhuoxuanchuan；4.buyaobeibiaomianxianxiangsuomihuo；5.buyaoqingyixiangtarenhuikuan。
1、ruguofaxianfeifazhengquanqihuohuodong，touzizhekexiangxingweifashengdidedifanghaidepingtaiapp、zhengquanjianguanbumen、gongshangbumen、gonganjiguandengdanweihebumentousujubanhuobaoan。
2、genju《zuigaorenminfayuan、zuigaorenminjianchayuan、gonganbu、zhongguozhengjianhuiguanyuzhengzhifeifazhengquanhuodongyouguanwentidetongzhi》youguanguiding，ruguofeifazhengquanhuodonggouchengfanzui，beihairenyingdangtongguogongan、sifajiguanzhuizangchengxuzhuichang；ruguofeifazhengquanhuodongjinshiyibanweifaxingweiermeiyougouchengfanzui，dangshirenfuheminshisusongfaguidingdeqisutiaojiande，keyitongguominshisusongchengxuqingqiupeichang。
xuanchuanfangfanfeifazhengquanqihuogongzuoshiyixiangzhangqi、fuza、jianjudexitonggongcheng，haidepingtaiappjiang“5.15quanguotouzizhebaohuxuanchuanri”weiqiji，renzhenxuexiguanchexin《zhengquanfa》，zongjiehuodongjingyan，tuidongfangfanfeifazhengquanqihuoxuanchuanjiaoyugongzuodechangtaihuaheguifanhua，chixutishengshehuigongzhongfengxianyishi，lvxingshehuizeren。
