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NORTHEAST SECURITIES CO.,LTD. — Investor Relations & Filings

Ticker · 000686 ISIN · CNE0000004H9 LEI · 300300E1002922000054 Shenzhen Stock Exchange Financial and insurance activities
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Filings indexed 2,678 across all filing types
Latest filing 2023-07-27 Major Shareholding Noti…
Country CN China
Listing Shenzhen Stock Exchange 000686

About NORTHEAST SECURITIES CO.,LTD.

https://www.nesc.cn

Northeast Securities Co., Ltd. provides a comprehensive suite of financial services tailored for individual and institutional clients. Its core operations encompass securities brokerage, investment banking, asset management, and investment consulting. The firm facilitates capital raising through underwriting and sponsorship of equity and debt instruments, while also offering specialized financial advisory services. Additionally, the company engages in proprietary trading and provides wealth management solutions supported by dedicated research capabilities. By maintaining an extensive service network, the organization delivers integrated investment strategies and risk management solutions across various asset classes.

Recent filings

Filing Released Lang Actions
关于持股5%以上股东股份解除冻结的公告
Major Shareholding Notification Classification · 95% confidence The document is an announcement regarding the unfreezing of shares held by a shareholder owning more than 5% of the company's stock. It details the number of shares unfrozen, the shareholder involved, and related legal and regulatory references. There is no financial data, no report attached or referenced as being published, and no mention of management changes or voting results. This fits the category of a Major Shareholding Notification, as it concerns changes in significant share ownership levels due to the release of judicial freeze on shares.
2023-07-27 Chinese
2023年半年度业绩预告
Earnings Release Classification · 95% confidence The document is titled as a '2023年半年度业绩预告' which translates to '2023 Half-Year Performance Forecast'. It provides preliminary estimated financial results for the period January 1, 2023 to June 30, 2023, including net profit and earnings per share, but explicitly states that the data is preliminary, unaudited, and subject to change in the formal half-year report. The document is short (941 characters) and serves as an announcement of expected financial performance rather than a full interim report with detailed financial statements or analysis. It also includes a risk warning and notes that the final data will be in the formal half-year report. This matches the characteristics of an Earnings Release (ER), which is an initial announcement of quarterly or periodical financial results with key highlights only, rather than a full Interim/Quarterly Report (IR). Therefore, the correct classification is Earnings Release (ER). H1 2023
2023-07-12 Chinese
北京德恒律师事务所关于东北证券股份有限公司2023年第二次临时股东大会的法律意见
Declaration of Voting Results & Voting Rights Announcements Classification · 95% confidence The document is a legal opinion issued by a law firm regarding the legality and procedural compliance of a company's 2023 second extraordinary general meeting (临时股东大会). It details the convening, attendance, voting procedures, and results of the shareholders' meeting. The document does not contain financial statements or financial performance data but focuses on the legal validation of the shareholder meeting process and voting outcomes. It is not an announcement of voting results per se but a legal opinion on the meeting's legality and procedures. Given the content and purpose, this document fits best under the category of Declaration of Voting Results & Voting Rights Announcements (DVA), as it relates to the official validation and reporting of shareholder meeting voting results and procedures.
2023-07-06 Chinese
2023年第二次临时股东大会决议公告
Declaration of Voting Results & Voting Rights Announcements Classification · 100% confidence The document is titled as a resolution announcement from the company's second extraordinary shareholders' meeting in 2023. It details the meeting date, attendance, voting results on various proposals, and legal opinions confirming the validity of the meeting and votes. There is no financial data or report content, only the official announcement of voting results and meeting resolutions. This fits the category of Declaration of Voting Results & Voting Rights Announcements (DVA). The document length is short and focused on voting outcomes, not a full report or presentation.
2023-07-06 Chinese
东北证券股份有限公司公开发行公司债券受托管理事务临时报告
Audit Report / Information Classification · 95% confidence The document is titled as a "临时报告" (temporary report) related to the entrusted management affairs of publicly issued corporate bonds by Northeast Securities Co., Ltd. It references regulatory approvals, bond issuance details, and a significant legal proceeding involving the company. The document is prepared by the bond trustee and includes detailed bond issuance information, regulatory compliance, and impact analysis on debt repayment ability. It is not a full annual or interim financial report, nor is it an earnings release or a presentation. It is a specific report related to bond trustee management activities and regulatory disclosures concerning bond issuance and related legal matters. This fits the category of Audit Report / Information (AR), which includes standalone audit reports, applied accounting principles, and results of internal or regulatory stress tests or similar regulatory compliance reports related to financial instruments, excluding full annual reports. The document length (6006 characters) and content confirm it is a substantive report, not merely an announcement or certification. Therefore, the best classification is AR with high confidence. Q2 2023
2023-07-03 Chinese
关于股东股权转让事项的进展公告
Regulatory Filings Classification · 95% confidence The document is a public announcement regarding the progress of a shareholder equity transfer matter involving the company's largest shareholder and regulatory restrictions on share reduction. It references prior announcements and regulatory actions by the China Securities Regulatory Commission but does not contain financial statements, earnings data, or detailed report content. The document is relatively short (1003 characters) and serves as an update on shareholder transactions and regulatory compliance. This fits the category of a Regulatory Filing (RNS) as it is a general regulatory announcement and does not fit into more specific categories like Share Issue/Capital Change or Major Shareholding Notification since it focuses on transfer progress and regulatory notices rather than actual shareholding threshold changes or capital changes.
2023-06-26 Chinese

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