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2024 05 28*20240222 S1060520040001 BQC673 WANGWEIYI S1060520040002 LIBINGTING S1060122070023 WEIJIWEN 1+N 1 2 3 4 1970s 2022 3000 2008 31%NYSE CR10 60%1000 300 1 2 3 4 5 2/20.4.6 2.1.6 2.2.9 2.3.10 2.4.11.12.15.19 YWBYyRtOtQpOoQnOmRtMpOaQcMaQtRpPmOnRfQpPnQjMmOxO7NrRuMvPrNrPuOnNxO 3/20 1.4 2.5 3.7 4.8 5 SEC.9 6.9 7.10 8 401(K).11 9 401(K).11 10 IRAs.11 11 IRAs.11 12 FINRA.13 13 NYSE.13 14 NYSE.13 15 NYSE.13 16.14 17.14 18.14 19.16 20.16 21.16 22 2023.16 23.16 24 2024Q1.17 25.19 4/20 1+N 1+N 2024 4 2004 2014 1+N 1.5 2 6000 1 1 2 10 15 6000 8000 1 3,3 1.5,6000,3 1 10;3,3 2,1,3 2 15;50,6,3 1.5;50,6,3 2.5;80,8 100,10,5000;,1,6000;10,1;15,4;,4:,4:()5%,6000;(1)5%,8000;()10%;(2)10%;()5;(3)7;()20%,3(4)25%,3(),+QMOTRKpgeVp1HF7x8ncn5KvZxvDHl7CnYBIQwX/6MPjTfNOqwIbFymwEURMY5Wx 5/20 50()50 ST 15 6 3 1 3 2 3 3,2,5,2 50%;“+”1 2 30%2 3 20%2,5,2 50%2 30%ST*ST ST*ST 1 1 1 3;1 1“”“1”“1”“6/20 1”“”20 3 A A+B 3 5 ETF 5 10 2035 2 3 2.1 SEC 1993 1993 SEC 1 SEC 1996 IPO 1 7/20 1948 2006 JPX-R 1993 SEC SEC SEC S-K S-X C 21 2002-SEC SEC 3 S-B S-K S-X-SEC S-B S-K 2012 JOBS 2 SEC 2 8/20 SEC 3 2023 10-k 7 37 29 SEC Plain English SEC SEC Division of Corporation Finance 12 25-35 80%3 SEC 3-4 FACEBOOK TWITTER SEC 3 4 4 SEC SEC 5 SEC SEC SEC SEC SEC 6/SEC SEC SEC SEC 7 SEC 2023 2022/10/1-2023/9/30 SEC 5325 1512 1222 2024 5329 2025 5621 2023 21.94 2024 2025 21.49 25.94 SEC/2022 3590 2022 21.80 3 4 5 6 IPO 7 9/20 5 SEC 6 SEC 8 1966 NERA 2018-2023 300 2023 228 31%29%2013 9 2.2-SEC SEC 2 144 SEC 6 8 9 19.5420.2421.9421.4925.94420044004600480050005200540056005800051015202530FY2021 FY2022 FY2023 FY2024E FY2025E年度支出/预算支出（亿美元）员工数（人，右）20.0921.8022.4728.073250330033503400345035003550360036500510152025302021 2022 2023E 2024E年度支出/预算支出（亿元人民币）员工数（人，右）10/20 1%12 3 5000 5 SEC 144 3 10-20 11 1980-2017 2.6 1.4 50%56%15%9%7 400 1.1200 100,000 2.60 10%3.30 1 4.1934 30 1500 5.“”30 5000 5000 6.“+”30 3.75 12 1500 30 1 7.8.30 7500 7500 9.10.2.3 1996 10 11 11/20 2000 12 70 401(K)IRAs 401(K)IRAs ICI 2023 401(K)7.4 65%87%IRA 13.6 43%75%70 Wind 2023 13F 1 56%8 401(K)9 401(K)ICI ICI 10 IRAs 11 IRAs ICI ICI 2.4 12 30405060700100020003000400050006000199719981999200020012002200320042005200620072008200920102011201220132014201520162017201820192020202120222023401(K)%0%20%40%60%80%100%19911993199519971999200120032005200720092011201320152017201920212023 30354045505502000400060008000199719981999200020012002200320042005200620072008200920102011201220132014201520162017201820192020202120222023IRA%0%20%40%60%80%100%19911993199519971999200120032005200720092011201320152017201920212023 12/20-JP 20 20 30 1933 20 70 SEC 13/12 1975 1999 2010-2018-60 1965 1968 1962 2928 1969 1844 14 1967 1980 80 80 90 CR10 60%1970s 2020 15 30%10 70%SIMFA 2022 FINRA Broker-Dealers 3378 2008 4896 31%2022 NYSE 3799 2008 55%2004-2018 TOP10 TOP11-TOP25 60%20%20%TOP10 TOP11-TOP25 65%25%10%13 14 13/20 12 FINRA 13 NYSE SIMFA SIMFA 14 NYSE 15 NYSE SIMFA SIMFA E*Trade State Street Private Asset LAZARD 48963378010002000300040005000600020082009201020112012201320142015201620172018201920202021202205001000150020002500300035004000200820092010201120122013201420152016201720182019202020212022NYSE NYSE 0%10%20%30%40%50%60%70%80%90%100%200420052006200720082009201020112012201320142015201620172018 TOP11-25 TOP100%10%20%30%40%50%60%70%80%90%100%200420052006200720082009201020112012201320142015201620172018 TOP11-25 TOP10 14/20 16 2020 1000 300 33 50%1949 1152 1959 508 1949 36.8 1959 106 1949 1.5 1959 2.6 60 1962 564 1968 255 15 80 JSDA 2022 273 9 264 1000 33 33 2013FY-2022FY 2022FY 2022/4/1-2023/3/31 46%17 18 JSDA JSDA SMBC 1000 15 02004006008001000120014001949195919621968200820092010201120122013201420152016201720182019202020212022证券公司数量（家）0%10%20%30%40%50%60%70%80%90%100%2013FY2014FY2015FY2016FY2017FY2018FY2019FY2020FY2021FY2022FY 15/20 Fintertech 1965 30 60 1985 29 17 15 SMBC 1916 1983 32 12 90 SBI 2023 145 2019 12 2024 1+N 2024 4 2024 3 19.15%5 15.11%Wind 2023 283 109 43 23 42 391 43 18 20%2023 8.7 24%25%2023 3534 0.5%16/20 19 20 Wind Wind 2024 5 46 100%Wind 2023 181 158 43 35 38 340 43 21 50%21 22 2023 Wind 23 2024 5 A 46 100%2024 4 4.61%2024 4 5%0%10%20%30%40%50%60%70%80%90%100%2021 2022 2023 2021 2022 2023 2,1414,535 3,534127,141111,61886,8850200004000060000800001000001200001400002021 2022 2023 2021 2022 2023浙商基金 中欧基金净利润（万元）-20%0%20%40%60%80%100%2021 2022 2023 2021 2022 2023 010203040506070江苏 广东 北京 上海 其他 河南 北京 江苏 浙江 其他国联证券 民生证券分公司及营业部数量（家）17/20 46.81%2024 3 8.63 15.6%2024 3 20%2024 3 29.81%20.81%9%2024 3 2023 12 2023 11 56%24 2024Q1()17.67%78.67%AMC 45.00%23.55%46.38%30.17%40.11%47.43%25.15%26.34%34.12%()26.09%26.63%21.35%56.77%35.81%11.06%33.53%54.79%29.16%15.21%24.33%19.21%25.01%21.70%24.24%18/20 20.49%27.89%18.13%35.65%32.62%31.77%25.52%13.84%()25.74%32.44%36.96%23.33%30.81%27.90%19.31%64.46%24.13%14.69%()22.31%14.89%5.35%10.92%33.42%28.71%Wind 2019 beta 19/20 25 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 CR5 25%41%27%35%42%35%30%27%27%26%33%45%32%29%31%39%33%CR10 43%58%44%52%63%57%52%46%45%44%49%66%51%48%52%61%54%CR20 56%71%58%66%77%72%68%62%60%58%62%81%64%61%65%75%67%1321 482 933 776 394 329 440 966 2448 1234 1130 666 1231 1575 1911 1423 1378 106 107 106 106 109 114 115 120 125 129 131 131 133 138 140 140 145 Wind 5/10/20 1/2 1 2 3 4 5 :6 20%6 10%20%6 10%6 10%:6 5%6 5%6 5%2024 4008866338 5023 B 25 1333 26 4 1 B 25
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