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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 2022-06-30 Audit Report / Informat…
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
东北证券股份有限公司公开发行公司债券受托管理事务报告（2021年度）
Audit Report / Information Classification · 95% confidence The document is titled "东北证券股份有限公司 公开发行公司债券 受托管理事务报告 （2021年度）" which translates to "Northeast Securities Co., Ltd. Public Issuance of Corporate Bonds Trustee Management Affairs Report (2021 Annual)". It contains detailed sections on bond issuance, trustee management duties, the issuer's 2021 operating and financial status, use of raised funds, debt repayment ability, credit ratings, and other bond-related disclosures. The document is about the management and oversight of corporate bonds issued by the company, including financial data and compliance with bond covenants. It is not a full annual report (10-K), nor an earnings release or investor presentation. It is a specialized report related to bond issuance and trustee management, which fits the category of Audit Report / Information (AR) as it includes audit-related information and trustee oversight but is not the full annual report. The document length (15,000 characters) and detailed financial data support it being a substantive report, not just an announcement. Therefore, the best classification is AR (Audit Report / Information). FY 2021
2022-06-30 Chinese
关于收到吉林证监局责令改正监管措施决定的公告
Regulatory Filings Classification · 95% confidence The document is an official announcement from a company (Northeast Securities Co., Ltd.) regarding a regulatory decision by the Jilin Securities Regulatory Bureau ordering corrective measures. It details the regulatory findings, references specific regulatory rules and accounting standards, and outlines the company's response and compliance plans. The document does not contain financial statements or detailed financial data but is a regulatory announcement about compliance and corrective actions. It is not an annual report, audit report, or financial report but a regulatory filing informing the market about the regulatory action and the company's response. Therefore, it fits best under Regulatory Filings (RNS). The document length is short (863 characters), and it is not a report publication announcement or certification letter but a regulatory announcement.
2022-06-29 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（第一期）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 bond issuance on the Shenzhen Stock Exchange. It provides details about the bond issuance such as name, code, rating, amount, interest rate, issuance and listing dates. The document is short (636 characters) and serves as a formal notice of the bond listing rather than a detailed financial report or prospectus. This fits the category of Capital/Financing Update (CAP), which covers updates on company fundraising and financing activities.
2022-06-28 Chinese
第一大股东部分股份解除质押及再质押公告
Major Shareholding Notification Classification · 95% confidence The document is an announcement regarding the release and re-pledging of shares by the company's largest shareholder. It details the number of shares involved, pledge dates, and related information. There is no financial performance data, management discussion, or report attached. The document is a regulatory announcement about share pledging activities by a major shareholder, which fits the category of Major Shareholding Notification (MRQ). The document length is short and focused on shareholding changes, not a full report or financial statement.
2022-06-27 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（第一期）发行结果公告（以此为准）
Capital/Financing Update Classification · 95% confidence The document is an announcement regarding the issuance results of a subordinated bond by Dongbei Securities Co., Ltd. It includes details such as bond code, issuance scale, interest rate, issuance dates, and compliance with regulatory requirements. The document is titled as an issuance result announcement and does not contain financial statements or detailed financial analysis. It is not a full financial report but an update on a capital market activity related to bond issuance. Therefore, it fits the category of Capital/Financing Update (CAP). The document length is short and focused on issuance results, confirming it is not a report publication announcement or regulatory filing. Confidence is high due to clear issuance details and regulatory references.
2022-06-26 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（第一期）发行结果公告
Capital/Financing Update Classification · 95% 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, interest rate, subscription details, and compliance with regulatory requirements. The content focuses on capital raising activities and financing details rather than financial performance or management changes. The document length is short (884 characters) and it is clearly an issuance result announcement, not a full financial report or regulatory certification. Therefore, the most appropriate classification is Capital/Financing Update (CAP).
2022-06-26 Chinese

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