Regulations Governing Securities Firms Article 14-5
A securities firm offering and issuing securities shall comply with the provisions of the Regulations Governing the Offering and Issuance of Securities by Securities Issuers or the Regulations Governing the Offering and Issuance of Overseas Securities by Issuers in addition to the provisions of these Regulations.The FSC shall separately prescribe the required application forms and rules applicable to issuance of securities by securities firms that have not publicly issued stock.
中文原文 證券商管理規則第14-5條
證券商募集與發行有價證券，除本規則規定者外，應依發行人募集與發行有價證券處理準則或發行人募集與發行海外有價證券處理準則之規定辦理。
未公開發行股票之證券商於發行有價證券時，應檢具之申請書件及相關規範由本會另定之。
未公開發行股票之證券商於發行有價證券時，應檢具之申請書件及相關規範由本會另定之。