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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 2,680 across all filing types
Latest filing 2022-10-31 Declaration of Voting R…
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
北京德恒律师事务所关于东北证券股份有限公司2022年第一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 2022 first extraordinary general meeting (临时股东大会). It details the convening, attendance, voting procedures, and results of the shareholder 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. This type of document is not an annual report, earnings release, or management report but is related to the official results and validation of shareholder votes at a general meeting. Therefore, it fits the category of Declaration of Voting Results & Voting Rights Announcements (DVA). The document length (5577 characters) and content confirm it is a full legal opinion on the meeting and voting results, not just an announcement or notice.
2022-10-31 Chinese
2022年三季度报告
Interim / Quarterly Report Classification · 100% confidence The document is titled '2022 年第三季度报告' which translates to '2022 Third Quarter Report'. It contains detailed financial data including consolidated balance sheets, profit and loss statements, and cash flow statements for the period ending September 30, 2022. The document explicitly states it is a quarterly report and includes comprehensive financial figures and analysis for the quarter and year-to-date periods. It also mentions that the report is unaudited, which is typical for interim or quarterly reports. There are no indications that this is an announcement of a report or a certification document. Therefore, this document fits the definition of an Interim / Quarterly Report (IR). 9M 2022
2022-10-27 Chinese
董事会决议公告
Board/Management Information Classification · 95% confidence The document is an announcement of the resolutions passed at the 11th interim meeting of the 10th Board of Directors of Northeast Securities Co., Ltd. It includes details about the meeting date, attendance, and voting results. The key content includes the approval of the company's 2022 third quarter report and a decision to dissolve the training center. The document is a formal announcement of board decisions rather than the full quarterly report itself. It is not a full Interim/Quarterly Report (IR) because it does not contain substantive financial data or analysis, only a summary of resolutions. It is also not a Management Report or Earnings Release. The document fits best under Board/Management Information (MANG) as it relates to board meeting resolutions and organizational changes. The document length is short and it serves as an official announcement of board decisions.
2022-10-27 Chinese
关于召开2022年第一次临时股东大会的提示性公告
Proxy Solicitation & Information Statement Classification · 95% confidence The document is a detailed announcement about the convening of the 2022 first extraordinary general meeting (临时股东大会) of Northeast Securities Co., Ltd. It includes information about the meeting date, voting procedures, agenda items, and instructions for shareholders to participate either in person or via online voting. The document does not contain financial statements or results but rather focuses on the meeting logistics and agenda proposals for shareholder approval. This matches the description of a Proxy Solicitation & Information Statement (PSI), which provides materials sent to shareholders to inform and request votes for meetings. The document is over 5,000 characters and is not merely an announcement of a report publication, so it is not an RPA. It is not a voting results announcement (DVA) because it does not report the results, only the meeting notice and voting instructions. Therefore, the correct classification is PSI with high confidence.
2022-10-26 Chinese
东北证券股份有限公司2022年面向专业投资者公开发行次级债券（第二期）在深圳证券交易所上市的公告
Capital/Financing Update Classification · 95% confidence The document is an announcement regarding the listing of a specific bond issuance (subordinated bonds) by Northeast Securities Co., Ltd. on the Shenzhen Stock Exchange. It provides details such as bond name, code, credit rating, issuance amount, term, interest rate, and listing date. The document is short (692 characters) and serves as a formal notice of the bond listing event rather than a detailed financial report or prospectus. It does not contain financial statements, management discussion, or audit information. Therefore, it fits best under Capital/Financing Update (CAP), which covers updates on company fundraising and financing activities.
2022-10-25 Chinese
东北证券股份有限公司2022年面向专业投资者公开发行次级债券（第二期）发行结果公告
Capital/Financing Update Classification · 100% confidence The document is an announcement regarding the issuance results of a subordinated bond by Dongbei Securities Co., Ltd. It details the bond issuance scale, pricing, issuance dates, and underwriting information. There is no financial statement or detailed financial analysis, but rather a formal announcement of the bond issuance completion and results. This fits the category of Capital/Financing Update (CAP), which covers updates on company fundraising and financing activities.
2022-10-21 Chinese

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