原制度                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        修订后

（删除线处为删除内容）                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        （下划线处为新增内容）

第一条 为了规范东北证券股份有限公司（以下简称“公司”）募集资金管理，提高募集资金的使用效率和效益，切实保护投资者权益，根据《中华人民共和国公司法》、《中华人民共和国证券法》、中国证监会《上市公司监管指引第2号——上市公司募集资金管理和使用的监管要求》、《深圳证券交易所股票上市规则》、《深圳证券交易所上市公司规范运作指引》和《东北证券股份有限公司章程》（以下简称“《公司章程》”），制定本制度。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    第一条 为了规范东北证券股份有限公司（以下简称“公司”）募集资金管理，提高募集资金的使用效率和效益，切实保护投资者权益，根据《公司法》、《证券法》、中国证监会《上市公司监管指引第2号--上市公司募集资金管理和使用的监管要求》、《深圳证券交易所股票上市规则》、《深圳证券交易所上市公司自律监管指引第1号--主板上市公司规范运作》和《东北证券股份有限公司章程》（以下简称“《公司章程》”），制定本制度。

第二条 本制度所称募集资金是指公司依照法律法规通过公开发行证券（包括配股、增发、发行可转换公司债券、分离交易的可转换公司债券、公司债券、权证等）以及非公开发行证券向投资者募集并用于特定用途的资金。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           第二条 本制度所称募集资金是指公司通过发行股票及其衍生品种，向投资者募集并用于特定用途的资金。

第六条 公司董事会对募集资金的使用和管理负责，公司监事会、独立董事和保荐机构对募集资金的使用和管理行使监督权。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 第六条 公司董事会对募集资金的使用和管理负责，公司监事会、独立董事和保荐人或者独立财务顾问对募集资金的使用和管理行使监督权。

新增。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        第七条 公司的董事、监事和高级管理人员应当勤勉尽责，督促公司规范使用募集资金，自觉维护公司募集资金安全，不得参与、协助或纵容公司擅自或变相改变募集资金用途。

第七条 公司证券部和资金运营部是募集资金事务的具体管理部门，其中：证券部负责股权融资相关的募集资金管理，资金运营部负责债务融资相关的募集资金管理；财务部负责募集资金专项账户开立、日常管理及核算；稽核审计部负责对募集资金存放和使用情况进行监督和检查。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       第八条 公司证券部是募集资金事务的管理部门，履行募集资金管理职责；财务部负责募集资金专项账户开立、日常管理及核算；稽核审计部负责对募集资金存放和使用情况进行监督和检查。

第十条 公司应选择经董事会批准的商业银行开设募集资金专项账户（以下简称“专户”）。公司募集资金应当存放于专户集中管理，专户不得存放非募集资金或者用作其他用途。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 第十一条 公司应选择经董事会批准的商业银行开设募集资金专项账户（以下简称“专户”）。公司募集资金应当存放于专户集中管理，专户不得存放非募集资金或者用作其他用途。

公司存在两次以上融资的，应当分别设置募集资金专户。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            公司存在两次以上融资的，应当分别设置募集资金专户。

实际募集资金净额超过计划募集资金金额（以下简称“超募资金”）也应当存放于募集资金专户管理。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    实际募集资金净额超过计划募集资金金额的部分（以下简称“超募资金”）也应当存放于募集资金专户管理。

公司在募集资金到位后一个月内与保荐机构、存放募集资金的商业银行（以下简称“商业银行”）签订三方监管协议（以下简称“协议”）。协议至少应当包括以下内容：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            

（一）公司应当将募集资金集中存放于专户；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          

（二）募集资金专户账号、该专户涉及的募集资金项目、存放金额；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      

（三）公司一次或十二个月内累计从该专户中支取的金额超过五千万元人民币或募集资金净额的20%的，公司及商业银行应当及时通知保荐机构；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   

（四）商业银行每月向公司出具银行对账单，并抄送保荐机构；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          

（五）保荐机构可以随时到商业银行查询专户资料；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    

（六）保荐机构的督导职责、商业银行的告知及配合职责、保荐机构和商业银行对公司募集资金使用的监管方式；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              

（七）公司、商业银行、保荐机构的权利和义务及违约责任；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            

（八）商业银行三次未及时向保荐机构出具银行对账单或通知专户大额支取情况，以及存在未配合保荐机构查询与调查专户资料情形的，公司可终止协议并注销该募集资金专户。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      

公司应当在上述协议签订后及时公告协议主要内容。协议在有效期届满前提前终止的，公司自协议终止之日起一个月内与相关当事人签订新的协议，并及时公告。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    

公司通过控股子公司实施募投项目的，应当由公司、实施募投项目的控股子公司、商业银行和保荐机构共同签署三方监管协议，公司及其控股子公司应当视为共同一方。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              

    第十二条 公司在募集资金到位后一个月内与保荐人或者独立财务顾问、存放募集资金的商业银行（以下简称“商业银行”）签订三方监管协议（以下简称“协议”）。协议至少应当包括以下内容：

    （一）公司应当将募集资金集中存放于专户；

    （二）募集资金专户账号、该专户涉及的募集资金项目、存放金额；

    （三）公司一次或十二个月内累计从该专户中支取的金额超过五千万元人民币或募集资金净额的20%的，公司及商业银行应当及时通知保荐人或者独立财务顾问；

    （四）商业银行每月向公司出具银行对账单，并抄送保荐人或者独立财务顾问；

    （五）保荐人或者独立财务顾问可以随时到商业银行查询专户资料；

    （六）保荐人或者独立财务顾问的督导职责、商业银行的告知及配合职责、保荐人或者独立财务顾问和商业银行对公司募集资金使用的监管方式；

    （七）公司、商业银行、保荐人或者独立财务顾问的权利和义务及违约责任；

    （八）商业银行三次未及时向保荐人或者独立财务顾问出具银行对账单或通知专户大额支取情况，以及存在未配合保荐人或者独立财务顾问查询与调查专户资料情形的，公司可终止协议并注销该募集资金专户。

    公司应当在上述协议签订后及时公告协议主要内容。协议在有效期届满前提前终止的，公司自协议终止之日起一个月内与相关当事人签订新的协议，并及时公告。

    公司通过控股子公司实施募集资金投资项目的，应当由公司、实施募集资金投资项目的控股子公司、商业银行和保荐人或者独立财务顾问共同签署三方监管协议，公司及公司控股子公司应当视为共同一方。

第十六条 募集资金投资项目出现以下情形之一的，公司对该项目的可行性、预计收益等进行重新评估或估算，决定是否继续实施该项目：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  第十八条 募集资金投资项目出现以下情形之一的，公司对该项目的可行性、预计收益等进行重新评估或估算，决定是否继续实施该项目：

（一）募集资金投资项目涉及的市场环境发生重大变化；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         （一）募集资金投资项目涉及的市场环境发生重大变化；

（二）募集资金投资项目搁置时间超过一年；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   （二）募集资金投资项目搁置时间超过一年；

（三）超过前次募集资金投资计划的完成期限且募集资金投入金额未达到相关计划金额50%；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          （三）超过最近一次募集资金投资计划的完成期限且募集资金投入金额未达到相关计划金额50%；

（四）募集资金投资项目出现其他异常的情形。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 （四）募集资金投资项目出现其他异常的情形。

公司应当在最近一期定期报告中披露项目的进展情况、出现异常的原因，需要调整募集资金投资计划的，同时披露调整后的募集资金投资计划。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             公司应当在最近一期定期报告中披露项目的进展情况、出现异常的原因，需要调整募集资金投资计划的，同时披露调整后的募集资金投资计划。

第十七条 公司将募集资金用作以下事项时，应当经董事会审议通过，并由独立董事、监事会以及保荐机构发表明确同意意见：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                            第十九条 公司将募集资金用作以下事项时，应当经董事会审议通过，并由独立董事、监事会以及保荐人或者独立财务顾问发表明确同意意见：

（一）以募集资金置换预先已投入募集资金投资项目的自筹资金；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 （一）以募集资金置换预先已投入募集资金投资项目的自筹资金；

（二）使用暂时闲置的募集资金进行现金管理；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 （二）使用暂时闲置的募集资金进行现金管理；

（三）使用暂时闲置的募集资金暂时补充流动资金；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             （三）使用暂时闲置的募集资金暂时补充流动资金；

（四）变更募集资金用途；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   （四）变更募集资金用途；

（五）改变募集资金投资项目实施地点；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       （五）改变募集资金投资项目实施地点；

（六）使用节余募集资金。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   （六）使用节余募集资金；

公司变更募集资金用途，还应当经股东大会审议通过。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           （七）超募资金用于在建项目及新项目。

相关事项涉及关联交易、购买资产、对外投资等的，还应当按照《深圳证券交易所股票上市规则》相关规定履行审议程序和信息披露义务。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 公司变更募集资金用途，还应当经股东大会审议通过。

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           相关事项涉及关联交易、购买资产、对外投资等的，还应当按照《深圳证券交易所股票上市规则》相关规定履行审议程序和信息披露义务。

第十八条 单个或者全部募集资金投资项目完成后，节余资金（包括利息收入）低于该项目募集资金净额10%的，公司使用节余资金应当按照第十七条第一款履行相应程序。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     第二十条 单个或者全部募集资金投资项目完成后，节余资金（包括利息收入）低于该项目募集资金净额10%的，公司使用节余资金应当按照本制度第十九条第一款履行相应程序。

节余资金（包括利息收入）达到或者超过该项目募集资金净额10%的，公司使用节余资金还应当经股东大会审议通过。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    节余资金（包括利息收入）达到或者超过该项目募集资金净额10%的，公司使用节余资金还应当经股东大会审议通过。

节余资金（包括利息收入）低于500万元人民币或低于该项目募集资金净额1%的，可以豁免履行前述程序，其使用情况应当在年度报告中披露。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              节余资金（包括利息收入）低于五百万元人民币或低于该项目募集资金净额1%的，可以豁免履行前述程序，其使用情况应当在年度报告中披露。

第十九条 公司以自筹资金预先投入募集资金投资项目的，可以在募集资金到账后六个月内，以募集资金置换自筹资金。置换事项应当由会计师事务所出具鉴证报告。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          第二十一条 公司以自筹资金预先投入募集资金投资项目的，可以在募集资金到账后六个月内，以募集资金置换自筹资金。置换事项应当经董事会审议通过，会计师事务所出具鉴证报告，并由独立董事、监事会、保荐人或者独立财务顾问发表明确同意意见并披露。

公司已在发行申请文件中披露拟以募集资金置换预先投入的自筹资金且预先投入金额确定的，应当在置换实施前对外公告。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               公司已在发行申请文件中披露拟以募集资金置换预先投入的自筹资金且预先投入金额确定的，应当在置换实施前对外公告。

第二十条 公司可以对暂时闲置的募集资金进行现金管理，其投资产品的期限不得超过十二个月，且必须符合以下条件：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  第二十二条 公司可以对暂时闲置的募集资金进行现金管理，其投资产品的期限不得超过十二个月，且必须安全性高，流动性好，不得影响募集资金投资计划正常进行。

（一）安全性高，满足保本要求，产品发行主体能够提供保本承诺；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               投资产品不得质押，产品专用结算账户（如适用）不得存放非募集资金或者用作其他用途，开立或者注销产品专用结算账户的，公司应当及时公告。

（二）流动性好，不得影响募集资金投资计划正常进行。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         闲置募集资金用于现金管理产生的收益视同募集资金进行统一管理。

投资产品不得质押，产品专用结算账户（如适用）不得存放非募集资金或者用作其他用途，开立或者注销产品专用结算账户的，公司应当及时公告。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             

闲置募集资金用于现金管理产生的收益视同募集资金进行统一管理。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   

第二十一条 公司使用闲置募集资金进行现金管理的，应当在董事会会议后二个交易日内公告下列内容：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                第二十三条 公司使用暂时闲置的募集资金进行现金管理的，应当在董事会会议后及时公告下列内容：

（一）本次募集资金的基本情况，包括募集时间、募集资金金额、募集资金净额及投资计划等；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       （一）本次募集资金的基本情况，包括募集时间、募集资金金额、募集资金净额及投资计划等；

（二）募集资金使用情况、募集资金闲置的原因；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               （二）募集资金使用情况、募集资金闲置的原因；

（三）闲置募集资金投资产品的额度及期限，是否存在变相改变募集资金用途的行为和保证不影响募集资金项目正常进行的措施；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         （三）闲置募集资金投资产品的额度及期限，是否存在变相改变募集资金用途的行为和保证不影响募集资金项目正常进行的措施；

（四）投资产品的收益分配方式、投资范围、产品发行主体提供的保本承诺及安全性分析，公司为确保资金安全所采取的风险控制措施等；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 （四）投资产品的收益分配方式、投资范围、产品发行主体提供的安全性分析，公司为确保资金安全所采取的风险控制措施等；

（五）独立董事、监事会以及保荐机构出具的意见。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             （五）独立董事、监事会以及保荐人或者独立财务顾问出具的意见。

公司应当在面临产品发行主体财务状况恶化、所投资的产品面临亏损等重大风险情形时，及时对外披露风险提示性公告，并说明公司为确保资金安全采取的风险控制措施。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     公司应当在出现产品发行主体财务状况恶化、所投资的产品面临亏损等重大风险情形时，及时对外披露风险提示性公告，并说明公司为确保资金安全采取的风险控制措施。

第二十二条 公司使用闲置募集资金暂时补充流动资金的，仅限于与主营业务相关经营使用，且应当符合下列条件：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     第二十四条 公司使用闲置募集资金暂时补充流动资金的，仅限于与主营业务相关经营使用，且应当符合下列条件：

（一）不得变相改变募集资金用途或者影响募集资金投资计划的正常进行；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        （一）不得变相改变募集资金用途或者影响募集资金投资计划的正常进行；

（二）已归还前次用于暂时补充流动资金的募集资金；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          （二）已归还前次用于暂时补充流动资金的募集资金；

（三）单次补充流动资金时间不得超过十二个月；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              （三）单次补充流动资金时间不得超过十二个月；

（四）不使用闲置募集资金直接或者间接进行高风险投资。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      （四）中国证监会、深圳证券交易所规定的其他条件。

第二十三条 公司使用闲置募集资金暂时补充公司流动资金的，应当在董事会审议通过后二个交易日内公告以下内容：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   第二十五条 公司使用闲置募集资金暂时补充流动资金的，应当在董事会审议通过后及时公告以下内容：

（一）本次募集资金的基本情况，包括募集时间、募集资金金额、募集资金净额及投资计划等；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      （一）本次募集资金的基本情况，包括募集时间、募集资金金额、募集资金净额及投资计划等；

（二）募集资金使用情况；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  （二）募集资金使用情况；

（三）闲置募集资金补充流动资金的金额及期限；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              （三）闲置募集资金补充流动资金的金额及期限；

（四）闲置募集资金补充流动资金预计节约财务费用的金额、导致流动资金不足的原因、是否存在变相改变募集资金用途的行为和保证不影响募集资金项目正常进行的措施；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  （四）闲置募集资金补充流动资金预计节约财务费用的金额、导致流动资金不足的原因、是否存在变相改变募集资金用途的行为和保证不影响募集资金项目正常进行的措施；

（五）独立董事、监事会、保荐机构出具的意见；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              （五）独立董事、监事会、保荐人或者独立财务顾问出具的意见；

（六）深圳证券交易所要求的其他内容。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      （六）深圳证券交易所要求的其他内容。

补充流动资金到期日之前，公司应将该部分资金归还至募集资金专户，并在资金全部归还后二个交易日内公告。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        补充流动资金到期日之前，公司应将该部分资金归还至募集资金专户，并在资金全部归还后及时公告。

第二十五条 公司应当根据经营需求，提交董事会或者股东大会审议通过后，按照以下先后顺序有计划地使用超募资金：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 第二十七条 公司应当根据经营需求，提交董事会或者股东大会审议通过后，按照以下先后顺序有计划地使用超募资金：

（一）补充募投项目资金缺口；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              （一）补充募集资金投资项目资金缺口；

（二）用于在建项目及新项目；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              （二）用于在建项目及新项目；

（三）归还银行贷款；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      （三）归还银行借款；

（四）暂时补充流动资金；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  （四）暂时补充流动资金；

（五）进行现金管理；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      （五）进行现金管理；

（六）永久补充流动资金。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  （六）永久补充流动资金。

第二十六条 公司将超募资金用于在建项目及新项目，应当按照在建项目和新项目的进度情况使用。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   第二十八条 公司将超募资金用于在建项目及新项目，应当按照在建项目和新项目的进度情况使用。

公司使用超募资金用于在建项目及新项目，保荐机构及独立董事应当出具专项意见。项目涉及关联交易、购买资产、对外投资等的，还应当按照《深圳证券交易所股票上市规则》相关规定履行审议程序和信息披露义务。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          公司使用超募资金用于在建项目及新项目，保荐人或者独立财务顾问及独立董事应当出具专项意见。项目涉及关联交易、购买资产、对外投资等的，还应当按照《深圳证券交易所股票上市规则》相关规定履行审议程序和信息披露义务。

第二十七条 公司使用超募资金偿还银行贷款或者永久补充流动资金的，应当经股东大会审议通过，独立董事以及保荐机构应当发表明确同意意见并披露，且应当符合以下要求：                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               第二十九条 公司使用超募资金归还银行借款或者永久补充流动资金的，应当经股东大会审议通过，独立董事、监事会以及保荐人或者独立财务顾问应当发表明确同意意见并披露，且应当符合以下要求：

（一）公司应当承诺补充流动资金后十二个月内不进行高风险投资及为控股子公司以外的对象提供财务资助并对外披露；                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                （一）公司应当承诺补充流动资金后十二个月内不为控股子公司以外的对象提供财务资助并对外披露；

（二）公司应当按照实际需求偿还银行贷款或者补充流动资金，每十二个月内累计金额不得超过超募资金总额的30%。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   （二）公司应当按照实际需求归还银行借款或者补充流动资金，每十二个月内累计金额不得超过超募资金总额的30%。

第二十九条 上市公司变更募集资金用途的，应当在董事会审议通过后二个交易日内公告。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           删除。

第三十三条 公司改变募集资金投资项目实施地点的，应当经董事会审议通过，并在二个交易日内公告，说明改变情况、原因、对募集资金投资项目实施造成的影响以及保荐机构出具的意见。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   第三十四条 公司改变募集资金投资项目实施地点的，应当经董事会审议通过，并及时公告，说明改变情况、原因、对募集资金投资项目实施造成的影响以及保荐人或者独立财务顾问出具的意见。

第三十五条 募集资金投资实施部门于每个季度结束后十日内、年度结束后十五日内向公司募集资金管理部门提交募集资金项目进度报告，公司募集资金管理部门应于每个季度结束后二十日内、每个年度结束后三十日内向公司董事长、总裁提交募集资金项目进度报告及募集资金使用情况报告。公司在每个会计年度结束后全面核查募集资金投资项目的进展情况。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             第三十六条 募集资金投资实施部门于每个季度结束后十日内、年度结束后十五日内向公司募集资金管理部门提交募集资金项目进度报告，公司募集资金管理部门应于每个季度结束后二十日内、每个年度结束后三十日内向公司董事长、监事长、总裁提交募集资金项目进度报告及募集资金使用情况报告。公司在每个会计年度结束后全面核查募集资金投资项目的进展情况。

第三十六条 公司董事会应当每半年度全面核查募集资金投资项目的进展情况，出具半年度及年度募集资金存放与使用情况专项报告，并聘请会计师事务所对年度募集资金存放与使用情况出具鉴证报告。公司应当将会计师事务所出具的鉴证报告与定期报告同时在符合条件媒体披露。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   第三十七条 公司董事会应当每半年度全面核查募集资金投资项目的进展情况，出具半年度及年度募集资金存放与使用情况专项报告，并聘请会计师事务所对年度募集资金存放与使用情况出具鉴证报告。公司应当将会计师事务所出具的鉴证报告与定期报告同时在符合条件媒体披露。

募集资金投资项目实际投资进度与投资计划存在差异的，公司应当说明具体原因。募集资金投资项目年度实际使用募集资金与最近一次披露的募集资金投资计划预计使用金额差异超过30%的，公司应当调整募集资金投资计划，并在募集资金存放与使用情况的专项报告和定期报告中披露最近一次募集资金年度投资计划、目前实际投资进度、调整后预计分年度投资计划以及投资计划变化的原因等。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               募集资金投资项目实际投资进度与投资计划存在差异的，公司应当说明具体原因。募集资金投资项目年度实际使用募集资金与最近一次披露的募集资金投资计划预计使用金额差异超过30%的，公司应当调整募集资金投资计划，并在募集资金存放与使用情况的专项报告和定期报告中披露最近一次募集资金年度投资计划、目前实际投资进度、调整后预计分年度投资计划以及投资计划变化的原因等。

会计师事务所应当对董事会的专项报告是否已经按照相关指引及相关格式指引编制以及是否如实反映了年度募集资金实际存放、使用情况进行合理鉴证，提出鉴证结论。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      当期存在使用闲置募集资金投资产品情况的，公司应当披露本报告期的收益情况以及期末的投资份额、签约方、产品名称、期限等信息。

鉴证结论为“保留结论”、“否定结论”或“无法提出结论”的，公司董事会应当就鉴证报告中会计师事务所提出该结论的理由进行分析、提出整改措施并在年度报告中披露。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                年度审计时，公司应聘请会计师事务所对募集资金存放与使用情况出具鉴证报告。会计师事务所应当对公司董事会出具的专项报告是否已经按照相关规定编制以及是否如实反映了年度募集资金实际存放、使用情况进行合理鉴证，提出鉴证结论。

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          鉴证结论为“保留结论”、“否定结论”或“无法提出结论”的，公司董事会应当就鉴证报告中会计师事务所提出该结论的理由进行分析、提出整改措施并在年度报告中披露。

第三十七条 保荐机构应当至少每半年对公司募集资金的存放和使用情况进行一次现场检查。每个会计年度结束后，保荐机构应当对公司年度募集资金存放与使用情况出具专项核查报告并披露。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 第三十八条 保荐人或者独立财务顾问应当至少每半年对公司募集资金的存放和使用情况进行一次现场检查。每个会计年度结束后，保荐人或者独立财务顾问应当对公司年度募集资金存放与使用情况出具专项核查报告并披露。

公司募集资金存放与使用情况被会计师事务所出具了“保留结论”、“否定结论”或者“无法提出结论”鉴证结论的，保荐机构还应当在其核查报告中认真分析会计师事务所提出上述鉴证结论的原因，并提出明确的核查意见。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    公司募集资金存放与使用情况被会计师事务所出具了“保留结论”、“否定结论”或者“无法提出结论”鉴证结论的，保荐人或者独立财务顾问还应当在其核查报告中认真分析会计师事务所提出上述鉴证结论的原因，并提出明确的核查意见。

第三十九条 独立董事有权对募集资金使用情况进行检查，关注募集资金实际使用情况与公司信息披露情况是否存在重大差异。经二分之一以上独立董事同意，独立董事可以聘请会计师事务所对募集资金的存放和使用情况出具鉴证报告，公司应积极配合，并承担必要的费用。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         第四十条公司独立董事有权对募集资金使用情况进行检查，持续关注募集资金实际管理和使用情况与公司信息披露情况是否存在重大差异。经二分之一以上独立董事同意，独立董事可以聘请会计师事务所对募集资金的存放和使用情况出具鉴证报告，公司应积极配合，并承担必要的费用。

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          董事会应当在收到前款规定的鉴证报告后及时公告。如鉴证报告认为公司募集资金的管理和使用存在违规情形的，董事会还应当公告募集资金存放与使用情况存在的违规情形、已经或者可能导致的后果及已经或者拟采取的措施。

第四十一条 公司以发行证券作为支付方式向特定对象购买资产的，应当确保在新增股份上市前办理完毕上述募集资产的所有权转移手续，公司聘请的律师事务所应该就资产转移手续完成情况出具专项法律意见书。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               删除。

第四十二条 公司以发行证券作为支付方式向特定对象购买资产或募集资金用于收购资产的，相关当事人应当严格遵守和履行涉及收购资产的相关承诺，包括但不限于实现该项资产的盈利预测以及资产购入后公司的盈利预测。                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     删除。

　　本公司及董事会全体成员保证信息披露的内容真实、准确、完整，没有虚假记载、误导性陈述或重大遗漏。

　　一、董事会会议召开情况

　　1.公司于2022年3月31日通过邮件方式向全体董事发出《关于召开东北证券股份有限公司第十届董事会2022年第五次临时会议的通知》。

　　2.东北证券股份有限公司第十届董事会2022年第五次临时会议于2022年4月1日以通讯表决的方式召开。

　　3.会议应出席董事13人，实际出席并参加表决的董事13人。

　　4.会议列席人员：公司全体监事和高级管理人员列席本次会议。

　　5.本次会议符合有关法律、行政法规、部门规章、规范性文件和《公司章程》的规定。

　　二、董事会会议审议情况

　　本次会议以记名投票的方式审议通过了以下议案：

　　（一） 审议通过了《关于聘任公司首席信息官的议案》

　　公司董事会同意聘任孔亚洲先生为公司首席信息官，任期自本次董事会审议通过之日起至第十届董事会届满之日止。

　　表决结果：13票同意，0票反对，0票弃权，审议通过本议案。

　　公司独立董事对上述聘任事项发表了同意的独立意见，具体内容详见与本公告同日刊登在巨潮资讯网（www.cninfo.com.cn）的《东北证券股份有限公司独立董事关于公司聘任高级管理人员的独立意见》。

　　（二）审议通过了《关于修订〈东北证券股份有限公司募集资金使用管理制度〉的议案》

　　董事会同意对《东北证券股份有限公司募集资金使用管理制度》进行修订，具体修订内容详见附件。

　　表决结果：13票同意，0票反对，0票弃权，审议通过本议案。

　　（三）审议通过了《关于修订〈东北证券股份有限公司风险偏好管理体系与政策〉的议案》

　　表决结果：13票同意，0票反对，0票弃权，审议通过本议案。

　　三、备查文件

　　1.经与会董事签字并加盖董事会印章的董事会决议。

　　2.深交所要求的其他文件。

　　附件：

　　1.首席信息官孔亚洲先生个人简历

　　2.《东北证券股份有限公司募集资金使用管理制度》修订说明

　　特此公告。

　　东北证券股份有限公司董事会

　　二〇二二年四月二日

　　附件1：

　　首席信息官孔亚洲先生个人简历

　　孔亚洲先生，1976年9月出生，中共党员，硕士研究生，中国证券业协会信息技术委员会委员。曾任中兴通讯股份有限公司核心网产品线产品研发经理，华泰证券股份有限公司信息技术部数据科学研发中心负责人、技术创新总监。现任东北证券股份有限公司首席信息官、信息技术部总经理。

　　孔亚洲先生与持有公司5%以上股份的股东、公司其他董事、监事和高级管理人员不存在关联关系，不持有公司股票，未受过中国证监会和其他有关部门的处罚和证券交易所纪律处分，不存在因涉嫌犯罪被司法机关立案侦查或涉嫌违法违规被中国证监会立案稽查尚未有明确结论的情形，未曾被中国证监会证券期货市场违法失信信息公开查询平台公示，不是失信被执行人、失信责任主体或失信惩戒对象，不存在法律法规规定的不得提名为高级管理人员的情形。