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    融资(zi)交易(yi)(yi)是指投资(zi)者以其信(xin)用账户中的资(zi)金和证(zheng)(zheng)券为(wei)担保，向证(zheng)(zheng)券公(gong)司申请融入资(zi)金并买入标的证(zheng)(zheng)券，证(zheng)(zheng)券公(gong)司在办(ban)理投资(zi)者与证(zheng)(zheng)券登记结算机构结算时(shi)，为(wei)投资(zi)者垫付资(zi)金，完(wan)成证(zheng)(zheng)券交易(yi)(yi)的交易(yi)(yi)行为(wei)。

    融券(quan)(quan)交(jiao)易(yi)是指投(tou)资(zi)(zi)者以其信(xin)用账户中的(de)资(zi)(zi)金(jin)和证(zheng)券(quan)(quan)为(wei)(wei)担(dan)保，向证(zheng)券(quan)(quan)公(gong)司(si)申请(qing)融入标的(de)证(zheng)券(quan)(quan)并卖(mai)出，证(zheng)券(quan)(quan)公(gong)司(si)在办(ban)理投(tou)资(zi)(zi)者与证(zheng)券(quan)(quan)登记(ji)结算(suan)机构交(jiao)收时，为(wei)(wei)投(tou)资(zi)(zi)者垫付证(zheng)券(quan)(quan)，完(wan)成证(zheng)券(quan)(quan)交(jiao)易(yi)的(de)交(jiao)易(yi)行(xing)为(wei)(wei)。

    是指证券根据投资(zi)者(zhe)(zhe)的资(zi)信状况(kuang)、担保物价值、履约情况(kuang)、市场变化(hua)、证券公司(si)财务安排等综合因素，给予投资(zi)者(zhe)(zhe)可(ke)以融入资(zi)金(jin)或(huo)证券的最(zui)大(da)限额。

    信(xin)用(yong)证(zheng)(zheng)券(quan)账(zhang)户(hu)是(shi)指证(zheng)(zheng)券(quan)公司为投资(zi)者开立的(de)(de)、用(yong)于记载投资(zi)者委(wei)托证(zheng)(zheng)券(quan)公司持有的(de)(de)担(dan)保证(zheng)(zheng)券(quan)的(de)(de)明细账(zhang)户(hu)，是(shi)证(zheng)(zheng)券(quan)公司“客户(hu)信(xin)用(yong)交易担(dan)保证(zheng)(zheng)券(quan)账(zhang)户(hu)”的(de)(de)二级证(zheng)(zheng)券(quan)账(zhang)户(hu)。

    信(xin)用(yong)(yong)资(zi)金账(zhang)户(hu)(hu)是(shi)指投(tou)资(zi)者(zhe)在商(shang)业银行开(kai)立的(de)(de)、用(yong)(yong)于记录投(tou)资(zi)者(zhe)用(yong)(yong)于担(dan)保(bao)的(de)(de)资(zi)金的(de)(de)明(ming)细账(zhang)户(hu)(hu)，是(shi)证(zheng)券公司“客(ke)户(hu)(hu)信(xin)用(yong)(yong)交(jiao)易担(dan)保(bao)资(zi)金账(zhang)户(hu)(hu)”的(de)(de)二级账(zhang)户(hu)(hu)。该账(zhang)户(hu)(hu)与“信(xin)用(yong)(yong)证(zheng)券账(zhang)户(hu)(hu)”统称“信(xin)用(yong)(yong)账(zhang)户(hu)(hu)”或“授(shou)信(xin)账(zhang)户(hu)(hu)”。

    担保物(wu)是指(zhi)证券公司将收取的保证金以及客(ke)(ke)户(hu)(hu)(hu)融(rong)资(zi)买入(ru)的全(quan)部证券和融(rong)券卖出所(suo)得(de)全(quan)部价(jia)款，分别存放(fang)在客(ke)(ke)户(hu)(hu)(hu)信(xin)用(yong)交易担保证券账户(hu)(hu)(hu)和客(ke)(ke)户(hu)(hu)(hu)信(xin)用(yong)交易担保资(zi)金账户(hu)(hu)(hu)，作为对该客(ke)(ke)户(hu)(hu)(hu)融(rong)资(zi)融(rong)券所(suo)生债权的担保物(wu)。

    证(zheng)券公司向客(ke)户(hu)(hu)融资、融券，应当(dang)向客(ke)户(hu)(hu)收(shou)取(qu)一定比例的(de)保(bao)证(zheng)金，保(bao)证(zheng)金可以(yi)(yi)现金、可充抵保(bao)证(zheng)金证(zheng)券以(yi)(yi)及(ji)交易所认可的(de)其他证(zheng)券充抵。

    投资者以(yi)(yi)现金(jin)作为保(bao)证(zheng)(zheng)金(jin)时，可以(yi)(yi)全额计入保(bao)证(zheng)(zheng)金(jin)金(jin)额；以(yi)(yi)证(zheng)(zheng)券(quan)充(chong)抵(di)保(bao)证(zheng)(zheng)金(jin)时，应当以(yi)(yi)一定的(de)折(zhe)(zhe)算(suan)(suan)率进行(xing)折(zhe)(zhe)算(suan)(suan)，证(zheng)(zheng)券(quan)公司(si)可以(yi)(yi)在不(bu)高(gao)于交易所规定标准的(de)基础上，根据证(zheng)(zheng)券(quan)流动性、波(bo)动性等指标自行(xing)确(que)定各类(lei)充(chong)抵(di)保(bao)证(zheng)(zheng)金(jin)证(zheng)(zheng)券(quan)不(bu)同(tong)的(de)折(zhe)(zhe)算(suan)(suan)率。

    标的证券(quan)(quan)是指在证券(quan)(quan)交易(yi)所(suo)交易(yi)的，并经证券(quan)(quan)交易(yi)所(suo)认可的，可用(yong)于融(rong)资买入或融(rong)券(quan)(quan)卖出的证券(quan)(quan)。

    融(rong)资(zi)(zi)(zi)（融(rong)券(quan)）保(bao)证金(jin)(jin)比例是指投资(zi)(zi)(zi)者融(rong)资(zi)(zi)(zi)买入（融(rong)券(quan)卖出）证券(quan)时交付的保(bao)证金(jin)(jin)与融(rong)资(zi)(zi)(zi)(融(rong)券(quan))交易(yi)金(jin)(jin)额的比例。计算公式：融(rong)资(zi)(zi)(zi)（融(rong)券(quan)）保(bao)证金(jin)(jin)比例=保(bao)证金(jin)(jin)/（融(rong)资(zi)(zi)(zi)买入（融(rong)券(quan)卖出）证券(quan)数量(liang)×买入价格）×100%

    保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)可用(yong)(yong)余(yu)(yu)额(e)(e)是指(zhi)投资(zi)(zi)者用(yong)(yong)于充(chong)抵保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)的(de)现(xian)金(jin)(jin)、证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市值及融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)交易产生的(de)浮(fu)盈经折(zhe)(zhe)算(suan)(suan)(suan)后形成(cheng)的(de)保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)总额(e)(e)，减(jian)去投资(zi)(zi)者未了结(jie)融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)交易已用(yong)(yong)保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)及相(xiang)关利息、费用(yong)(yong)的(de)余(yu)(yu)额(e)(e)。计算(suan)(suan)(suan)公式(shi)：保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)可用(yong)(yong)余(yu)(yu)额(e)(e)＝现(xian)金(jin)(jin)+∑(充(chong)抵保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)的(de)证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市值×折(zhe)(zhe)算(suan)(suan)(suan)率)+∑［(融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)买(mai)(mai)入证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市值-融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)买(mai)(mai)入金(jin)(jin)额(e)(e))×折(zhe)(zhe)算(suan)(suan)(suan)率］＋∑［(融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)卖(mai)出(chu)(chu)金(jin)(jin)额(e)(e)-融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)卖(mai)出(chu)(chu)证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市值)×折(zhe)(zhe)算(suan)(suan)(suan)率］-∑融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)卖(mai)出(chu)(chu)金(jin)(jin)额(e)(e)-∑融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)买(mai)(mai)入证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)金(jin)(jin)额(e)(e)×融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)比例-∑融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)卖(mai)出(chu)(chu)证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市值×融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)保(bao)(bao)证(zheng)(zheng)(zheng)(zheng)金(jin)(jin)比例-利息及费用(yong)(yong)（其中，折(zhe)(zhe)算(suan)(suan)(suan)率是指(zhi)融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)买(mai)(mai)入、融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)卖(mai)出(chu)(chu)证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)对(dui)应的(de)折(zhe)(zhe)算(suan)(suan)(suan)率，当融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)买(mai)(mai)入证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市值低于融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)资(zi)(zi)买(mai)(mai)入金(jin)(jin)额(e)(e)或融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)卖(mai)出(chu)(chu)证(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)市值高于融(rong)(rong)(rong)(rong)(rong)(rong)(rong)(rong)券(quan)(quan)(quan)(quan)卖(mai)出(chu)(chu)金(jin)(jin)额(e)(e)时，折(zhe)(zhe)算(suan)(suan)(suan)率按100%计算(suan)(suan)(suan)）

    维持担保比(bi)例(li)是指客(ke)户担保物(wu)价值与其(qi)融资(zi)融券(quan)债务之间(jian)的比(bi)例(li)。计(ji)算(suan)公式：维持担保比(bi)例(li)=(现金+信用证(zheng)券(quan)账户内(nei)证(zheng)券(quan)市值总和(he))/(融资(zi)买(mai)入(ru)金额+融券(quan)卖出证(zheng)券(quan)数量×当(dang)前(qian)市价＋利(li)息及(ji)费(fei)用总和(he))×100%。