上交所：将近期连续异常波动可转债纳入重点监控
原标题：沪市市场运行情况例行发布（2021年3月12日）
来源：上交所发布
01
市场概况
指数
{tb}{tr cms-style="tr"}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}本周收盘{/td}{td colspan="1" rowspan="1"}本周涨跌幅（%）{/td}{td colspan="1" rowspan="1"}市盈率（倍）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}上证综指{/td}{td colspan="1" rowspan="1"}3453{/td}{td colspan="1" rowspan="1"}-1.40{/td}{td colspan="1" rowspan="1"}16.7{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}科创50{/td}{td colspan="1" rowspan="1"}1261{/td}{td colspan="1" rowspan="1"}-5.15{/td}{td colspan="1" rowspan="1"}93.3{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}上证180{/td}{td colspan="1" rowspan="1"}10664{/td}{td colspan="1" rowspan="1"}-1.29{/td}{td colspan="1" rowspan="1"}14.1{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}上证380{/td}{td colspan="1" rowspan="1"}5716{/td}{td colspan="1" rowspan="1"}-2.11{/td}{td colspan="1" rowspan="1"}20.0{/td}{/tr}{/tb}
注：市盈率以上年年报利润数据为基准，剔除亏损公司。
成交
{tb}{tr cms-style="tr"}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}本周成交额（亿元）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}主板股票{/td}{td colspan="1" rowspan="1"}18824{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：大宗交易{/td}{td colspan="1" rowspan="1"}35{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}科创板股票{/td}{td colspan="1" rowspan="1"}1235{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：盘后固定价格交易{/td}{td colspan="1" rowspan="1"}0.1{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 大宗交易{/td}{td colspan="1" rowspan="1"}9.7{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}债券{/td}{td colspan="1" rowspan="1"}59108{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：现货{/td}{td colspan="1" rowspan="1"}3016{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 回购{/td}{td colspan="1" rowspan="1"}56092{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}基金{/td}{td colspan="1" rowspan="1"}3105{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：ETF{/td}{td colspan="1" rowspan="1"}1508{/td}{/tr}{/tb}
规模
{tb}{tr cms-style="tr"}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}数值{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="2"}主板股票{/td}{td colspan="1" rowspan="1"}市价总值（万亿元）{/td}{td colspan="1" rowspan="1"}42.2{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}上市公司数{/td}{td colspan="1" rowspan="1"}1601{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="2"}科创板股票{/td}{td colspan="1" rowspan="1"}市价总值（亿元）{/td}{td colspan="1" rowspan="1"}32234{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}上市公司数{/td}{td colspan="1" rowspan="1"}238{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}债券{/td}{td colspan="1" rowspan="1"}债券托管（亿元）{/td}{td colspan="1" rowspan="1"}136032{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="4"}基金{/td}{td colspan="1" rowspan="1"}份额（亿份）{/td}{td colspan="1" rowspan="1"}4379{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}市值（亿元）{/td}{td colspan="1" rowspan="1"}10134{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}ETF份额（亿份）{/td}{td colspan="1" rowspan="1"}4138{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}ETF市值（亿元）{/td}{td colspan="1" rowspan="1"}6607{/td}{/tr}{/tb}
注：债券托管数据截止到周四。
融资融券
{tb}{tr cms-style="tr"}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}数值（亿元）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}主板融资融券余额{/td}{td colspan="1" rowspan="1"}7274.5{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}融资余额{/td}{td colspan="1" rowspan="1"}6746.6{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}融券余额{/td}{td colspan="1" rowspan="1"}527.9{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}科创板融资融券余额{/td}{td colspan="1" rowspan="1"}466.1{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}融资余额{/td}{td colspan="1" rowspan="1"}320.4{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}融券余额{/td}{td colspan="1" rowspan="1"}145.7{/td}{/tr}{/tb}
注：数据截止到周四。
沪港通
{tb}{tr cms-style="tr"}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}交易额（亿元）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}沪股通{/td}{td colspan="1" rowspan="1"}2974{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}港股通{/td}{td colspan="1" rowspan="1"}1180{/td}{/tr}{/tb}
股票期权
{tb}{tr cms-style="tr"}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}数值{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}挂牌合约{/td}{td colspan="1" rowspan="1"}312{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：上证50ETF期权{/td}{td colspan="1" rowspan="1"}158{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：沪深300ETF期权{/td}{td colspan="1" rowspan="1"}154{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}周合约成交面值（亿元）{/td}{td colspan="1" rowspan="1"}14138.89{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：上证50ETF期权{/td}{td colspan="1" rowspan="1"}6435.98{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：沪深300ETF期权{/td}{td colspan="1" rowspan="1"}7702.91{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}周成交量（万张）{/td}{td colspan="1" rowspan="1"}3253.35{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：上证50ETF期权{/td}{td colspan="1" rowspan="1"}1768.99{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：沪深300ETF期权{/td}{td colspan="1" rowspan="1"}1484.36{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}总持仓量（万张）{/td}{td colspan="1" rowspan="1"}571.91{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：上证50ETF期权{/td}{td colspan="1" rowspan="1"}333.32{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：沪深300ETF期权{/td}{td colspan="1" rowspan="1"}238.59{/td}{/tr}{/tb}
02
筹融资情况
发行上市
{tb}{tr cms-style="tr"}{td colspan="2" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}本周家数{/td}{td colspan="1" rowspan="1"}本周筹资额（亿元）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}主板{/td}{td colspan="1" rowspan="1"}IPO{/td}{td colspan="1" rowspan="1"}2{/td}{td colspan="1" rowspan="1"}20{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}股票{/td}{td colspan="1" rowspan="1"}再融资{/td}{td colspan="1" rowspan="1"}53{/td}{td colspan="1" rowspan="1"}47{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="2"}科创板股票{/td}{td colspan="1" rowspan="1"}IPO{/td}{td colspan="1" rowspan="1"}4{/td}{td colspan="1" rowspan="1"}41{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}再融资{/td}{td colspan="1" rowspan="1"}0{/td}{td colspan="1" rowspan="1"}0{/td}{/tr}{tr cms-style="tr"}{td colspan="2" rowspan="1"}债券{/td}{td colspan="1" rowspan="1"}109{/td}{td colspan="1" rowspan="1"}661{/td}{/tr}{/tb}
注1：筹资额以上市日为基准。股票再融资中的债转股筹资截止到周四。
注2：2020年6月起，股票再融资含优先股筹资。
注3：债券融资含公司债、资产支持证券。
科创板项目动态
{tb}{tr cms-style="tr"}{td colspan="4" rowspan="1"}本所受理审核（家）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}累计受理{/td}{td colspan="3" rowspan="1"}545{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}其中：问询中{/td}{td colspan="1" rowspan="1"}87{/td}{td colspan="1" rowspan="1"}待问询{/td}{td colspan="1" rowspan="1"}5{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 中止审核{/td}{td colspan="1" rowspan="1"}14{/td}{td colspan="1" rowspan="1"}终止审核{/td}{td colspan="1" rowspan="1"}88{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 已 上 会{/td}{td colspan="3" rowspan="1"}360（其中2家中止，7家终止）{/td}{/tr}{tr cms-style="tr"}{td colspan="4" rowspan="1"}上市委审议（家）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}通过{/td}{td colspan="1" rowspan="1"}352{/td}{td colspan="1" rowspan="1"}未通过{/td}{td colspan="1" rowspan="1"}5{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}暂缓审议{/td}{td colspan="1" rowspan="1"}1{/td}{td colspan="1" rowspan="1"}主动撤回{/td}{td colspan="1" rowspan="1"}2{/td}{/tr}{tr cms-style="tr"}{td colspan="4" rowspan="1"}证监会注册（家）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}提交注册{/td}{td colspan="3" rowspan="1"}327{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 其中：同意注册{/td}{td colspan="1" rowspan="1"}263{/td}{td colspan="1" rowspan="1"}不予注册{/td}{td colspan="1" rowspan="1"}1{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"} 注册过程中{/td}{td colspan="1" rowspan="1"}57{/td}{td colspan="1" rowspan="1"}终止注册{/td}{td colspan="1" rowspan="1"}6{/td}{/tr}{tr cms-style="tr"}{td colspan="4" rowspan="1"}发行上市（家）{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}已上市{/td}{td colspan="1" rowspan="1"}238{/td}{td colspan="1" rowspan="1"}发行中{/td}{td colspan="1" rowspan="1"}13{/td}{/tr}{tr cms-style="tr"}{td colspan="1" rowspan="1"}已获注册批复{/td}{td colspan="1" rowspan="1"}11{/td}{td colspan="1" rowspan="1"}_{/td}{td colspan="1" rowspan="1"}_{/td}{/tr}{/tb}
注：数据统计至本周五17：00。
公司债审核
本周（2021年3月8日至2021年3月12日），本所共受理40家企业的发债申请，拟发行金额共计1009.5亿元。
03
沪市监管概览
上市公司监管
本周（2021年3月8日至2021年3月12日），上交所公司监管部门共发送监管工作函5份；通过事中事后监管，要求上市公司披露补充、更正类公告21份。针对信息披露违规行为，采取监管关注3单，采取纪律处分措施4单。同时，加大信息披露和股价异常的联动监管，针对公司披露敏感信息或股价发生明显异常的，提请启动内幕交易、异常交易核查9单。
市场交易监管
本周（2021年3月8日至2021年3月12日），沪市共发生拉抬打压股价、虚假申报等53起证券异常交易行为，上交所对此采取了书面警示等自律监管措施；将近期连续异常波动可转债纳入重点监控，对影响市场正常交易秩序、误导投资者交易决策的异常交易行为依规及时实施暂停账户交易等自律监管措施。此外，对15起上市公司重大事项等进行专项核查。
责任编辑：张熠
