Core Viewpoint - The latest evaluation results of securities firms' professional quality reveal significant changes in rankings, with Guojin Securities taking the top spot, indicating a shift in competitive dynamics within the industry [1][2]. Group 1: Evaluation Results - A total of 103 securities firms participated in the third quarter evaluation, with the scoring based on professional service quality, compliance quality, and other influential factors [2]. - The top ten rankings saw a major reshuffle, with only four firms maintaining their positions from the previous quarter, while six new firms entered the top ten [2][4]. - Notable improvements were seen in the rankings of Northeast Securities (from 29th to 2nd), Zheshang Securities (from 65th to 6th), and Minsheng Securities (from 97th to 7th) [2][4]. Group 2: Business Performance - The evaluation results indicate a divergence in the strengths of large and small securities firms, with large firms excelling in brokerage and market-making, while smaller firms are more active in research [1][6]. - The top five firms in market-making for the Beijing Stock Exchange were dominated by large firms, while the New Third Board market-making was led by smaller firms [6]. - In brokerage services, large firms like Dongfang Caifu and Huatai Securities performed significantly well, while smaller firms excelled in research services [6]. Group 3: Compliance Quality - Guojin Securities had the highest compliance quality deductions but still ranked first overall due to strong performance in underwriting and advisory services [7]. - The firms with the most compliance quality deductions included Guojin Securities, CITIC Securities, and Zhongjin Securities, primarily due to issues in their underwriting and advisory services for the Beijing Stock Exchange and New Third Board [7].

近日，北京证券交易所、全国股转公司发布2024年度证券公司执业质量评价结果，从投行、经纪、做市、研究等业务维度，全面反映证 券公司在北交所、新三板市场业务开展情况。 二是参与积极性逐步提高。2024年度，59家券商参与新三板推荐挂牌业务，其中13家为2023年以来首次参与。做市商扩容稳步推进，多 家券商完成北交所做市交易业务评估测试。研究业务参与度提升，超三成券商发布北交所、新三板研究报告。 三是"看门人"责任进一步压实。2024年度，证券公司合规质量平均扣分较前一年度增长27%，保荐上市、推荐挂牌等投行业务负面行为 记录条数较前一年度增长39%，严监严管要求得到有效落实。 下一步，北交所、全国股转公司将进一步完善执业质量评价工作，引导证券公司更好发挥自身功能、不断增强规范执业意识，持续提高 创新型中小企业服务质效。（记者姚均芳） 2024年度，103家证券公司由高到低分别被评为一、二、三、四档，其中，一档为中信建投等20家证券公司，二档为国新证券等41家证 券公司，三档为德邦证券等21家证券公司，四档为五矿证券等21家证券公司。 北交所表示，整体看，2024年证券公司执业情况呈现三方面特点： 一是服务覆盖面 ...