1.融资业务的风险提示
存放抵押品而为交易取得融资的亏损风险可能极大。
阁下所蒙受的亏损可能会超过阁下存放于我司的抵押品(包括现金及任何其他资产)。阁下也可能会在短时间内被要求补仓。假如没法履行，我司有可能进行强制平仓，阁下需要为产生的任何欠款及利息负责。因此，阁下应该根据本身的财政状况及投资目标，仔细考虑这种融资安排是否适合阁下。
2.以下为我司当前可抵押股票的融资抵押率，抵押率可能周期性调整

股票代码	股票名称	抵押率
A	Agilent Technologies Inc	40.00%
AAL	American Airlines Group Inc	30.00%
AAP	Advance Auto Parts Inc	40.00%
AAPL	Apple Inc	60.00%
ABBV	AbbVie Inc	60.00%
ABC	AmerisourceBergen Corp	60.00%
ABMD	ABIOMED Inc	30.00%
ABT	Abbott Laboratories	50.00%
ACN	Accenture PLC	50.00%
ADBE	Adobe Inc	50.00%
ADI	Analog Devices Inc	50.00%
ADM	Archer-Daniels-Midland Co	50.00%
ADP	Automatic Data Processing Inc	50.00%
ADSK	Autodesk Inc	40.00%
AEE	Ameren Corp	50.00%
AEP	American Electric Power Co Inc	60.00%
AES	AES Corp/The	40.00%
AFL	Aflac Inc	40.00%
AIG	American International Group I	40.00%
AIZ	Assurant Inc	30.00%
AJG	Arthur J Gallagher & Co	50.00%
AKAM	Akamai Technologies Inc	40.00%
ALB	Albemarle Corp	40.00%
ALGN	Align Technology Inc	40.00%
ALK	Alaska Air Group Inc	30.00%
ALL	Allstate Corp/The	40.00%
ALLE	Allegion plc	30.00%
AMAT	Applied Materials Inc	50.00%
AMCR	Amcor PLC	30.00%
AMD	Advanced Micro Devices Inc	50.00%
AME	AMETEK Inc	40.00%
AMGN	Amgen Inc	50.00%
AMP	Ameriprise Financial Inc	40.00%
AMT	American Tower Corp	50.00%
AMZN	Amazon.com Inc	50.00%
ANET	Arista Networks Inc	40.00%
ANSS	ANSYS Inc	40.00%
ANTM	Anthem Inc	50.00%
AON	Aon PLC	50.00%
AOS	A O Smith Corp	30.00%
APA	APA Corp	40.00%
APD	Air Products and Chemicals Inc	50.00%
APH	Amphenol Corp	50.00%
APTV	Aptiv PLC	40.00%
ARE	Alexandria Real Estate Equitie	50.00%
ATO	Atmos Energy Corp	50.00%
ATVI	Activision Blizzard Inc	40.00%
AVB	AvalonBay Communities Inc	50.00%
AVGO	Broadcom Inc	50.00%
AVY	Avery Dennison Corp	30.00%
AWK	American Water Works Co Inc	40.00%
AXP	American Express Co	50.00%
AZO	AutoZone Inc	50.00%
BA	Boeing Co/The	40.00%
BAC	Bank of America Corp	50.00%
BAX	Baxter International Inc	50.00%
BBWI	Bath & Body Works Inc	40.00%
BBY	Best Buy Co Inc	40.00%
BDX	Becton Dickinson and Co	50.00%
BEN	Franklin Resources Inc	20.00%
BF/B	Brown-Forman Corp	30.00%
BIIB	Biogen Inc	40.00%
BIO	Bio-Rad Laboratories Inc	40.00%
BK	Bank of New York Mellon Corp/T	40.00%
BKNG	Booking Holdings Inc	50.00%
BKR	Baker Hughes Co	40.00%
BLK	BlackRock Inc	50.00%
BLL	Ball Corp	40.00%
BMY	Bristol-Myers Squibb Co	60.00%
BR	Broadridge Financial Solutions	40.00%
BRK/B	Berkshire Hathaway Inc	60.00%
BRO	Brown & Brown Inc	30.00%
BSX	Boston Scientific Corp	50.00%
BWA	BorgWarner Inc	20.00%
BXP	Boston Properties Inc	40.00%
C	Citigroup Inc	50.00%
CAG	Conagra Brands Inc	40.00%
CAH	Cardinal Health Inc	40.00%
CARR	Carrier Global Corp	40.00%
CAT	Caterpillar Inc	50.00%
CB	Chubb Ltd	50.00%
CBOE	Cboe Global Markets Inc	30.00%
CBRE	CBRE Group Inc	40.00%
CCI	Crown Castle International Cor	50.00%
CCL	Carnival Corp	30.00%
CDAY	Ceridian HCM Holding Inc	20.00%
CDNS	Cadence Design Systems Inc	40.00%
CDW	CDW Corp/DE	40.00%
CE	Celanese Corp	40.00%
CEG	Constellation Energy Corp	40.00%
CERN	Cerner Corp	50.00%
CF	CF Industries Holdings Inc	40.00%
CFG	Citizens Financial Group Inc	40.00%
CHD	Church & Dwight Co Inc	40.00%
CHRW	CH Robinson Worldwide Inc	40.00%
CHTR	Charter Communications Inc	50.00%
CI	Cigna Corp	50.00%
CINF	Cincinnati Financial Corp	30.00%
CL	Colgate-Palmolive Co	60.00%
CLX	Clorox Co/The	40.00%
CMA	Comerica Inc	30.00%
CMCSA	Comcast Corp	50.00%
CME	CME Group Inc	50.00%
CMG	Chipotle Mexican Grill Inc	40.00%
CMI	Cummins Inc	40.00%
CMS	CMS Energy Corp	50.00%
CNC	Centene Corp	50.00%
CNP	CenterPoint Energy Inc	50.00%
COF	Capital One Financial Corp	40.00%
COO	Cooper Cos Inc/The	40.00%
COP	ConocoPhillips	50.00%
COST	Costco Wholesale Corp	50.00%
CPB	Campbell Soup Co	40.00%
CPRT	Copart Inc	40.00%
CRL	Charles River Laboratories Int	40.00%
CRM	salesforce.com Inc	50.00%
CSCO	Cisco Systems Inc	50.00%
CSX	CSX Corp	50.00%
CTAS	Cintas Corp	50.00%
CTLT	Catalent Inc	30.00%
CTRA	Coterra Energy Inc	40.00%
CTSH	Cognizant Technology Solutions	50.00%
CTVA	Corteva Inc	50.00%
CTXS	Citrix Systems Inc	40.00%
CVS	CVS Health Corp	50.00%
CVX	Chevron Corp	50.00%
CZR	Caesars Entertainment Inc	40.00%
D	Dominion Energy Inc	60.00%
DAL	Delta Air Lines Inc	40.00%
DD	DuPont de Nemours Inc	40.00%
DE	Deere & Co	50.00%
DFS	Discover Financial Services	40.00%
DG	Dollar General Corp	50.00%
DGX	Quest Diagnostics Inc	40.00%
DHI	DR Horton Inc	40.00%
DHR	Danaher Corp	50.00%
DIS	Walt Disney Co/The	50.00%
DISCA	Discovery Inc	40.00%
DISCK	Discovery Inc	40.00%
DISH	DISH Network Corp	20.00%
DLR	Digital Realty Trust Inc	50.00%
DLTR	Dollar Tree Inc	40.00%
DOV	Dover Corp	40.00%
DOW	Dow Inc	50.00%
DPZ	Domino's Pizza Inc	40.00%
DRE	Duke Realty Corp	40.00%
DRI	Darden Restaurants Inc	40.00%
DTE	DTE Energy Co	50.00%
DUK	Duke Energy Corp	60.00%
DVA	DaVita Inc	30.00%
DVN	Devon Energy Corp	40.00%
DXC	DXC Technology Co	20.00%
DXCM	Dexcom Inc	40.00%
EA	Electronic Arts Inc	50.00%
EBAY	eBay Inc	40.00%
ECL	Ecolab Inc	40.00%
ED	Consolidated Edison Inc	60.00%
EFX	Equifax Inc	40.00%
EIX	Edison International	50.00%
EL	Estee Lauder Cos Inc/The	50.00%
EMN	Eastman Chemical Co	40.00%
EMR	Emerson Electric Co	50.00%
ENPH	Enphase Energy Inc	40.00%
EOG	EOG Resources Inc	50.00%
EPAM	EPAM Systems Inc	40.00%
EQIX	Equinix Inc	50.00%
EQR	Equity Residential	50.00%
ES	Eversource Energy	40.00%
ESS	Essex Property Trust Inc	40.00%
ETN	Eaton Corp PLC	50.00%
ETR	Entergy Corp	40.00%
ETSY	Etsy Inc	40.00%
EVRG	Evergy Inc	50.00%
EW	Edwards Lifesciences Corp	50.00%
EXC	Exelon Corp	60.00%
EXPD	Expeditors International of Wa	40.00%
EXPE	Expedia Group Inc	40.00%
EXR	Extra Space Storage Inc	40.00%
F	Ford Motor Co	40.00%
FANG	Diamondback Energy Inc	40.00%
FAST	Fastenal Co	50.00%
FB	Meta Platforms Inc	50.00%
FBHS	Fortune Brands Home & Security	20.00%
FCX	Freeport-McMoRan Inc	40.00%
FDS	FactSet Research Systems Inc	40.00%
FDX	FedEx Corp	40.00%
FE	FirstEnergy Corp	50.00%
FFIV	F5 Inc	40.00%
FIS	Fidelity National Information	40.00%
FISV	Fiserv Inc	40.00%
FITB	Fifth Third Bancorp	40.00%
FLT	FleetCor Technologies Inc	40.00%
FMC	FMC Corp	30.00%
FOX	Fox Corp	30.00%
FOXA	Fox Corp	40.00%
FRC	First Republic Bank/CA	40.00%
FRT	Federal Realty Investment Trus	30.00%
FTNT	Fortinet Inc	40.00%
FTV	Fortive Corp	40.00%
GD	General Dynamics Corp	50.00%
GE	General Electric Co	50.00%
GILD	Gilead Sciences Inc	60.00%
GIS	General Mills Inc	50.00%
GL	Globe Life Inc	30.00%
GLW	Corning Inc	40.00%
GM	General Motors Co	40.00%
GNRC	Generac Holdings Inc	40.00%
GOOG	Alphabet Inc	50.00%
GOOGL	Alphabet Inc	50.00%
GPC	Genuine Parts Co	30.00%
GPN	Global Payments Inc	40.00%
GRMN	Garmin Ltd	40.00%
GS	Goldman Sachs Group Inc/The	50.00%
GWW	WW Grainger Inc	40.00%
HAL	Halliburton Co	40.00%
HAS	Hasbro Inc	30.00%
HBAN	Huntington Bancshares Inc/OH	40.00%
HCA	HCA Healthcare Inc	50.00%
HD	Home Depot Inc/The	50.00%
HES	Hess Corp	40.00%
HIG	Hartford Financial Services Gr	40.00%
HII	Huntington Ingalls Industries	30.00%
HLT	Hilton Worldwide Holdings Inc	40.00%
HOLX	Hologic Inc	40.00%
HON	Honeywell International Inc	50.00%
HPE	Hewlett Packard Enterprise Co	40.00%
HPQ	HP Inc	40.00%
HRL	Hormel Foods Corp	40.00%
HSIC	Henry Schein Inc	30.00%
HST	Host Hotels & Resorts Inc	30.00%
HSY	Hershey Co/The	60.00%
HUM	Humana Inc	40.00%
HWM	Howmet Aerospace Inc	30.00%
IBM	International Business Machine	50.00%
ICE	Intercontinental Exchange Inc	50.00%
IDXX	IDEXX Laboratories Inc	40.00%
IEX	IDEX Corp	30.00%
IFF	International Flavors & Fragra	40.00%
ILMN	Illumina Inc	40.00%
INCY	Incyte Corp	40.00%
INTC	Intel Corp	50.00%
INTU	Intuit Inc	50.00%
IP	International Paper Co	40.00%
IPG	Interpublic Group of Cos Inc/T	40.00%
IPGP	IPG Photonics Corp	20.00%
IQV	IQVIA Holdings Inc	40.00%
IR	Ingersoll Rand Inc	30.00%
IRM	Iron Mountain Inc	30.00%
ISRG	Intuitive Surgical Inc	50.00%
IT	Gartner Inc	40.00%
ITW	Illinois Tool Works Inc	50.00%
IVZ	Invesco Ltd	30.00%
J	Jacobs Engineering Group Inc	30.00%
JBHT	JB Hunt Transport Services Inc	40.00%
JCI	Johnson Controls International	40.00%
JKHY	Jack Henry & Associates Inc	40.00%
JNJ	Johnson & Johnson	60.00%
JNPR	Juniper Networks Inc	40.00%
JPM	JPMorgan Chase & Co	50.00%
K	Kellogg Co	40.00%
KEY	KeyCorp	40.00%
KEYS	Keysight Technologies Inc	40.00%
KHC	Kraft Heinz Co/The	50.00%
KIM	Kimco Realty Corp	40.00%
KLAC	KLA Corp	40.00%
KMB	Kimberly-Clark Corp	50.00%
KMI	Kinder Morgan Inc	50.00%
KMX	CarMax Inc	40.00%
KO	Coca-Cola Co/The	60.00%
KR	Kroger Co/The	40.00%
L	Loews Corp	30.00%
LDOS	Leidos Holdings Inc	30.00%
LEN	Lennar Corp	40.00%
LH	Laboratory Corp of America Hol	40.00%
LHX	L3Harris Technologies Inc	40.00%
LIN	Linde PLC	50.00%
LKQ	LKQ Corp	20.00%
LLY	Eli Lilly & Co	50.00%
LMT	Lockheed Martin Corp	50.00%
LNC	Lincoln National Corp	30.00%
LNT	Alliant Energy Corp	40.00%
LOW	Lowe's Cos Inc	50.00%
LRCX	Lam Research Corp	50.00%
LUMN	Lumen Technologies Inc	40.00%
LUV	Southwest Airlines Co	40.00%
LVS	Las Vegas Sands Corp	30.00%
LW	Lamb Weston Holdings Inc	20.00%
LYB	LyondellBasell Industries NV	40.00%
LYV	Live Nation Entertainment Inc	30.00%
MA	Mastercard Inc	50.00%
MAA	Mid-America Apartment Communit	40.00%
MAR	Marriott International Inc/MD	40.00%
MAS	Masco Corp	40.00%
MCD	McDonald's Corp	60.00%
MCHP	Microchip Technology Inc	40.00%
MCK	McKesson Corp	50.00%
MCO	Moody's Corp	40.00%
MDLZ	Mondelez International Inc	60.00%
MDT	Medtronic PLC	50.00%
MET	MetLife Inc	40.00%
MGM	MGM Resorts International	40.00%
MHK	Mohawk Industries Inc	30.00%
MKC	McCormick & Co Inc/MD	40.00%
MKTX	MarketAxess Holdings Inc	20.00%
MLM	Martin Marietta Materials Inc	40.00%
MMC	Marsh & McLennan Cos Inc	50.00%
MMM	3M Co	50.00%
MNST	Monster Beverage Corp	40.00%
MO	Altria Group Inc	50.00%
MOH	Molina Healthcare Inc	40.00%
MOS	Mosaic Co/The	40.00%
MPC	Marathon Petroleum Corp	40.00%
MPWR	Monolithic Power Systems Inc	40.00%
MRK	Merck & Co Inc	60.00%
MRNA	Moderna Inc	40.00%
MRO	Marathon Oil Corp	40.00%
MS	Morgan Stanley	50.00%
MSCI	MSCI Inc	40.00%
MSFT	Microsoft Corp	60.00%
MSI	Motorola Solutions Inc	40.00%
MTB	M&T Bank Corp	40.00%
MTCH	Match Group Inc	40.00%
MTD	Mettler-Toledo International I	40.00%
MU	Micron Technology Inc	50.00%
NCLH	Norwegian Cruise Line Holdings	30.00%
NDAQ	Nasdaq Inc	40.00%
NDSN	Nordson Corp	40.00%
NEE	NextEra Energy Inc	50.00%
NEM	Newmont Corp	40.00%
NFLX	Netflix Inc	50.00%
NI	NiSource Inc	50.00%
NKE	NIKE Inc	50.00%
NLOK	NortonLifeLock Inc	40.00%
NLSN	Nielsen Holdings PLC	30.00%
NOC	Northrop Grumman Corp	50.00%
NOW	ServiceNow Inc	50.00%
NRG	NRG Energy Inc	40.00%
NSC	Norfolk Southern Corp	50.00%
NTAP	NetApp Inc	40.00%
NTRS	Northern Trust Corp	30.00%
NUE	Nucor Corp	40.00%
NVDA	NVIDIA Corp	50.00%
NVR	NVR Inc	30.00%
NWL	Newell Brands Inc	20.00%
NWS	News Corp	10.00%
NWSA	News Corp	20.00%
NXPI	NXP Semiconductors NV	40.00%
O	Realty Income Corp	60.00%
ODFL	Old Dominion Freight Line Inc	40.00%
OGN	Organon & Co	20.00%
OKE	ONEOK Inc	40.00%
OMC	Omnicom Group Inc	40.00%
ORCL	Oracle Corp	50.00%
ORLY	O'Reilly Automotive Inc	50.00%
OTIS	Otis Worldwide Corp	50.00%
OXY	Occidental Petroleum Corp	40.00%
PARA	Paramount Global	40.00%
PAYC	Paycom Software Inc	40.00%
PAYX	Paychex Inc	50.00%
PBCT	People's United Financial Inc	20.00%
PCAR	PACCAR Inc	50.00%
PEAK	Healthpeak Properties Inc	40.00%
PEG	Public Service Enterprise Grou	50.00%
PENN	Penn National Gaming Inc	40.00%
PEP	PepsiCo Inc	60.00%
PFE	Pfizer Inc	50.00%
PFG	Principal Financial Group Inc	30.00%
PG	Procter & Gamble Co/The	50.00%
PGR	Progressive Corp/The	50.00%
PH	Parker-Hannifin Corp	50.00%
PHM	PulteGroup Inc	40.00%
PKG	Packaging Corp of America	40.00%
PKI	PerkinElmer Inc	40.00%
PLD	Prologis Inc	50.00%
PM	Philip Morris International In	50.00%
PNC	PNC Financial Services Group I	50.00%
PNR	Pentair PLC	20.00%
PNW	Pinnacle West Capital Corp	30.00%
POOL	Pool Corp	40.00%
PPG	PPG Industries Inc	40.00%
PPL	PPL Corp	40.00%
PRU	Prudential Financial Inc	40.00%
PSA	Public Storage	50.00%
PSX	Phillips 66	40.00%
PTC	PTC Inc	20.00%
PVH	PVH Corp	30.00%
PWR	Quanta Services Inc	40.00%
PXD	Pioneer Natural Resources Co	40.00%
PYPL	PayPal Holdings Inc	50.00%
QCOM	QUALCOMM Inc	50.00%
QRVO	Qorvo Inc	40.00%
RCL	Royal Caribbean Cruises Ltd	30.00%
RE	Everest Re Group Ltd	30.00%
REG	Regency Centers Corp	30.00%
REGN	Regeneron Pharmaceuticals Inc	50.00%
RF	Regions Financial Corp	40.00%
RHI	Robert Half International Inc	30.00%
RJF	Raymond James Financial Inc	40.00%
RL	Ralph Lauren Corp	30.00%
RMD	ResMed Inc	40.00%
ROK	Rockwell Automation Inc	50.00%
ROL	Rollins Inc	30.00%
ROP	Roper Technologies Inc	50.00%
ROST	Ross Stores Inc	40.00%
RSG	Republic Services Inc	50.00%
RTX	Raytheon Technologies Corp	50.00%
SBAC	SBA Communications Corp	40.00%
SBNY	Signature Bank/New York NY	40.00%
SBUX	Starbucks Corp	50.00%
SCHW	Charles Schwab Corp/The	50.00%
SEDG	SolarEdge Technologies Inc	40.00%
SEE	Sealed Air Corp	20.00%
SHW	Sherwin-Williams Co/The	50.00%
SIVB	SVB Financial Group	40.00%
SJM	J M Smucker Co/The	40.00%
SLB	Schlumberger NV	40.00%
SNA	Snap-on Inc	30.00%
SNPS	Synopsys Inc	40.00%
SO	Southern Co/The	60.00%
SPG	Simon Property Group Inc	40.00%
SPGI	S&P Global Inc	50.00%
SRE	Sempra Energy	60.00%
STE	STERIS PLC	40.00%
STT	State Street Corp	40.00%
STX	Seagate Technology Holdings PL	40.00%
STZ	Constellation Brands Inc	40.00%
SWK	Stanley Black & Decker Inc	40.00%
SWKS	Skyworks Solutions Inc	40.00%
SYF	Synchrony Financial	40.00%
SYK	Stryker Corp	50.00%
SYY	Sysco Corp	40.00%
T	AT&T Inc	50.00%
TAP	Molson Coors Beverage Co	20.00%
TDG	TransDigm Group Inc	40.00%
TDY	Teledyne Technologies Inc	30.00%
TECH	Bio-Techne Corp	30.00%
TEL	TE Connectivity Ltd	40.00%
TER	Teradyne Inc	40.00%
TFC	Truist Financial Corp	50.00%
TFX	Teleflex Inc	40.00%
TGT	Target Corp	50.00%
TJX	TJX Cos Inc/The	50.00%
TMO	Thermo Fisher Scientific Inc	50.00%
TMUS	T-Mobile US Inc	50.00%
TPR	Tapestry Inc	40.00%
TRMB	Trimble Inc	30.00%
TROW	T Rowe Price Group Inc	40.00%
TRV	Travelers Cos Inc/The	50.00%
TSCO	Tractor Supply Co	40.00%
TSLA	Tesla Inc	50.00%
TSN	Tyson Foods Inc	40.00%
TT	Trane Technologies PLC	40.00%
TTWO	Take-Two Interactive Software	40.00%
TWTR	Twitter Inc	30.00%
TXN	Texas Instruments Inc	50.00%
TXT	Textron Inc	20.00%
TYL	Tyler Technologies Inc	20.00%
UA	Under Armour Inc	20.00%
UAA	Under Armour Inc	30.00%
UAL	United Airlines Holdings Inc	30.00%
UDR	UDR Inc	30.00%
UHS	Universal Health Services Inc	30.00%
ULTA	Ulta Beauty Inc	40.00%
UNH	UnitedHealth Group Inc	50.00%
UNP	Union Pacific Corp	50.00%
UPS	United Parcel Service Inc	50.00%
URI	United Rentals Inc	40.00%
USB	US Bancorp	50.00%
V	Visa Inc	50.00%
VFC	VF Corp	40.00%
VLO	Valero Energy Corp	40.00%
VMC	Vulcan Materials Co	40.00%
VNO	Vornado Realty Trust	20.00%
VRSK	Verisk Analytics Inc	50.00%
VRSN	VeriSign Inc	40.00%
VRTX	Vertex Pharmaceuticals Inc	50.00%
VTR	Ventas Inc	40.00%
VTRS	Viatris Inc	30.00%
VZ	Verizon Communications Inc	60.00%
WAB	Westinghouse Air Brake Technol	30.00%
WAT	Waters Corp	40.00%
WBA	Walgreens Boots Alliance Inc	50.00%
WDC	Western Digital Corp	40.00%
WEC	WEC Energy Group Inc	50.00%
WELL	Welltower Inc	50.00%
WFC	Wells Fargo & Co	50.00%
WHR	Whirlpool Corp	40.00%
WM	Waste Management Inc	50.00%
WMB	Williams Cos Inc/The	50.00%
WMT	Walmart Inc	60.00%
WRB	W R Berkley Corp	30.00%
WRK	Westrock Co	30.00%
WST	West Pharmaceutical Services I	40.00%
WTW	Willis Towers Watson PLC	40.00%
WY	Weyerhaeuser Co	40.00%
WYNN	Wynn Resorts Ltd	30.00%
XEL	Xcel Energy Inc	60.00%
XOM	Exxon Mobil Corp	50.00%
XRAY	DENTSPLY SIRONA Inc	30.00%
XYL	Xylem Inc/NY	40.00%
YUM	Yum! Brands Inc	50.00%
ZBH	Zimmer Biomet Holdings Inc	40.00%
ZBRA	Zebra Technologies Corp	40.00%
ZION	Zions Bancorp NA	30.00%
ZTS	Zoetis Inc	50.00%