Also known as: 稀土产业 · 930598 (CSI code) · .CSI930598 (RIC)
At a glance
- Review frequencySemi-annual
- Constituent count50
| Field | Value | Source text | Reading (model) |
|---|---|---|---|
| M1 Identity, objective, classification · 11 fields | |||
| Local short name | 稀土产业 | 指数名称：中证稀土产业指数指数简称：稀土产业英文名称：CSI Rare Earth Industry Index英文简称：CSI Rare Earth Industry指数代码：930598Open p.1 ↗ |
The local-language short name is 稀土产业. |
| Index name | CSI Rare Earth Industry Index | 指数名称：中证稀土产业指数指数简称：稀土产业英文名称：CSI Rare Earth Industry Index英文简称：CSI Rare Earth Industry指数代码：930598Open p.1 ↗ |
The official English index name is CSI Rare Earth Industry Index. |
| Index short name | CSI Rare Earth Industry | 指数名称：中证稀土产业指数指数简称：稀土产业英文名称：CSI Rare Earth Industry Index英文简称：CSI Rare Earth Industry指数代码：930598Open p.1 ↗ |
The official English short name is CSI Rare Earth Industry. |
| Local index name | 中证稀土产业指数 | 指数名称：中证稀土产业指数指数简称：稀土产业英文名称：CSI Rare Earth Industry Index英文简称：CSI Rare Earth Industry指数代码：930598Open p.1 ↗ |
The local-language index name is 中证稀土产业指数. |
| Index code | 930598 | 指数名称：中证稀土产业指数指数简称：稀土产业英文名称：CSI Rare Earth Industry Index英文简称：CSI Rare Earth Industry指数代码：930598Open p.1 ↗ |
The index code is 930598. |
| Index family | 中证稀土产业指数 | 中证稀土产业指数选取涉及稀土开采、稀土加工、稀土贸易和稀土应用等业务相关上市公司证券作为样本，以反映稀土产业上市公司证券的整体表现。Open p.1 ↗ |
The index belongs to the CSI rare-earth industry index family described by the methodology. |
| Base date | 2011-12-31 | 该指数以2011 年12 月31 日为基日，以1000 点为基点。Open p.1 ↗ |
The index base date is December 31, 2011. |
| Base value | 1,000 points | 该指数以2011 年12 月31 日为基日，以1000 点为基点。Open p.1 ↗ |
The index base value is 1000 points. |
| Objective | 反映稀土产业上市公司证券的整体表现 | 中证稀土产业指数选取涉及稀土开采、稀土加工、稀土贸易和稀土应用等业务相关上市公司证券作为样本，以反映稀土产业上市公司证券的整体表现。Open p.1 ↗ |
The index selects securities of listed companies involved in rare-earth mining, processing, trade, and applications to reflect the overall performance of listed securities in the rare-earth industry. |
| Market classification | China A | 同中证全指指数的样本空间Open p.1 ↗ |
The index covers listed company securities in China’s domestic CSI equity universe. |
| Index family type | Thematic | 中证稀土产业指数选取涉及稀土开采、稀土加工、稀土贸易和稀土应用等业务相关上市公司证券作为样本，以反映稀土产业上市公司证券的整体表现。Open p.1 ↗ |
The index is a thematic industry index focused on the rare-earth industry. |
| M2 Universe · 2 fields | |||
| Eligible universe | 同中证全指指数的样本空间 | 同中证全指指数的样本空间Open p.1 ↗ |
The eligible universe follows the sample space of the CSI All Share Index. |
| Parent universe index | 中证全指指数 | 同中证全指指数的样本空间Open p.1 ↗ |
The sample space is the same as that of the CSI All Share Index. |
| M4 Selection and constituent count · 6 fields | |||
| Liquidity bottom deletion | Screen: Rank bottom 10 percent removed; Metric: Average daily turnover; Window: Past one year | （1）对样本空间内证券按照过去一年的日均成交金额由高到低排名，剔除排名后10%的证券；Open p.1 ↗ |
Securities ranked in the bottom 10% by average daily turnover over the past year are excluded. |
| Insufficient eligible count rule | Include all if fewer than 50 | 选取排名前50 的证券作为样本，不足50 只时全部纳入。Open p.2 ↗ |
If fewer than 50 securities remain after the theme and ranking screens, all remaining securities are included. |
| Selection method | Rank by metric | （1）对样本空间内证券按照过去一年的日均成交金额由高到低排名，剔除排名后10%的证券； （2）对样本空间的剩余证券，选取涉及稀土开采、稀土加工、稀土贸易、 2020 年12 月更新 | 版本号V1.1稀土应用等相关业务的上市公司证券纳入稀土产业主题Open p.1 ↗ |
Securities are selected by liquidity and market-capitalization rankings after screening for rare-earth industry-related businesses. |
| Ranking metrics | Name: Average daily turnover; Window: Past one year; Direction: Descending; Step order: 1, Name: Average daily total market capitalization; Window: Past one year; Direction: Descending; Step order: 3 | （1）对样本空间内证券按照过去一年的日均成交金额由高到低排名，剔除排名后10%的证券；Open p.1 ↗ |
Securities are first ranked by the past year's average daily turnover from high to low, and remaining securities are then ranked by the past year's average daily total market capitalization from high to low. |
| Target constituent count | 50 | （3）将（2）中剩余证券按照过去一年的日均总市值由高到低排名，选取排名前50 的证券作为样本，不足50 只时全部纳入。Open p.2 ↗ |
The index targets the 50 highest-ranked securities, and includes all eligible securities if fewer than 50 are available. |
| Industry neutrality rule | Rare earth industry theme inclusion | （2）对样本空间的剩余证券，选取涉及稀土开采、稀土加工、稀土贸易、 2020 年12 月更新 | 版本号V1.1稀土应用等相关业务的上市公司证券纳入稀土产业主题；Open p.1 ↗ |
Selection is restricted to listed companies involved in rare-earth mining, processing, trade, application, or related businesses, rather than applying industry neutrality. |
| M5 Weighting and capping · 3 fields | |||
| Free float factor | Method: Banded; Bands: To: 15; Method: Round the free-float ratio up to the nearest whole percentage value, From: 15; To: 20; Factor: 0.2, From: 20; To: 30; Factor: 0.3, From: 30; To: 40; Factor: 0.4, From: 40; To: 50; Factor: 0.5, From: 50; To: 60; Factor: 0.6, From: 60; To: 70; Factor: 0.7, From: 70; To: 80; Factor: 0.8, From: 80; Factor: 1; Examples: Security: A; Free float ratio (%): 9; Weighting ratio (%): 9; Adjusted shares: 9,000, Security: B; Free float ratio (%): 43.8; Weighting ratio (%): 50; Adjusted shares: 4,000, Security: C; Free float ratio (%): 82; Weighting ratio (%): 100; Adjusted shares: 5,000 | 除非特别说明，中证指数在计算自由流通股本时，采用分级靠档的方法，根据自由流通量所占证券总股本的比例（即自由流通比例）赋予证券总股本一定的加权比例From CSI Free Float Rules for Equity Indices ↗ |
Unless otherwise specified, a banded weighting factor is applied; free-float ratios up to 15% are rounded up to the nearest whole percentage, while higher bands use fixed factors from 20% to 100%. |
| Shares outstanding | Total issued shares of the security; free-float-adjusted share capital is total share capital multiplied by the banded weighting factor. | 自由流通量等于证券总股本剔除限售股份以及以下基本不流通的股份From CSI Free Float Rules for Equity Indices ↗ |
Free float is measured against the security's total share capital, and adjusted share capital is calculated using a weighting factor applied to total share capital. |
| Divisor adjustment rule | The new divisor equals the prior divisor multiplied by the post-adjustment adjusted market capitalization divided by the pre-adjustment adjusted market capitalization, calculated after the close before the change becomes effective. | 为保证指数的连续性，当指数样本、股本结构发生变化或样本的市值出现非交易因素的变动时，指数在变动生效日前一日收盘后采用除数修正法修正原除数。From CSI Calculation Rules for Equity Indices ↗ |
The divisor is corrected after the close before the effective date so that the new divisor equals the old divisor times the ratio of adjusted post-change market value to pre-change market value. |
| M6 Review and rebalance schedule · 6 fields | |||
| Review frequency | Semi-annual | 指数样本每半年调整一次，样本调整实施时间分别为每年6 月和12 月的第二个星期五的下一交易日。Open p.2 ↗ |
The index constituents are reviewed and adjusted once every six months. |
| Review types | Semi annual review, Ad hoc | 指数样本每半年调整一次，样本调整实施时间分别为每年6 月和12 月的第二个星期五的下一交易日。Open p.2 ↗ |
The index undergoes semi-annual scheduled reviews and may be adjusted on an ad hoc basis in special circumstances. |
| Review months | June, December | 指数样本每半年调整一次，样本调整实施时间分别为每年6 月和12 月的第二个星期五的下一交易日。Open p.2 ↗ |
Scheduled constituent adjustments are implemented in June and December each year. |
| Effective date rule | The next trading day after the second Friday of June and December. | 指数样本每半年调整一次，样本调整实施时间分别为每年6 月和12 月的第二个星期五的下一交易日。Open p.2 ↗ |
Scheduled constituent changes take effect on the next trading day after the second Friday of June and December. |
| Weight reset frequency | Semi-annual | 权重因子随样本定期调整而调整，调整时间与指数样本定期调整实施时间相同。在下一个定期调整日前，权重因子一般固定不变。Open p.2 ↗ |
Weighting factors are adjusted with the scheduled constituent review and generally remain fixed until the next scheduled adjustment date. |
| Data cutoff rule | For commonly used periodic review cycles, the general data cutoff is normally the last calendar day of the second calendar month before the periodic adjustment effective date. | 通常情况下适用常用定期调整周期的指数的通用数据截止日为定期调整生效日前第二个自然月的最后一个自然日。From CSI Constituent Adjustment Rules for Equity Indices ↗ |
For commonly used review cycles, base data generally use the last calendar day of the second natural month before the adjustment effective date as the cutoff. |
| M7 Buffers and turnover control · 1 field | |||
| Maximum turnover per review | 20% of constituents | 每次调整的样本比例一般不超过20%。Open p.2 ↗ |
The proportion of constituents changed at each scheduled review generally does not exceed 20%. |
| M8 Corporate actions, IPOs, ad-hoc changes · 4 fields | |||
| Ad-hoc deletion | Delisting, Acquisition | 当样本退市时，将其从指数样本中剔除。样本公司发生收购、合并、分拆等情形的处理，参照计算与维护细则处理。Open p.2 ↗ |
A constituent is removed ad hoc when it is delisted, and acquisitions are among the corporate events handled under special adjustments. |
| Merger spinoff rules | Acquisitions, mergers and spin-offs are handled in accordance with the index calculation and maintenance rules. | 样本公司发生收购、合并、分拆等情形的处理，参照计算与维护细则处理。Open p.2 ↗ |
When constituent companies undergo acquisitions, mergers or spin-offs, the treatment follows the calculation and maintenance rules. |
| Corporate actions guide ref | 计算与维护细则 | 样本公司发生收购、合并、分拆等情形的处理，参照计算与维护细则处理。Open p.2 ↗ |
Corporate-event treatment refers to the separate index calculation and maintenance rules. |
| Deletion price | Default price: latest closing price; Major negative event suspended price: 0.00001; Currency for a share example: CNY | 原则上，以最新收盘价剔除指数样本。当决定剔除指数样本时，剔除证券处于停牌状态且停牌原因为触及交易类强制退市情形等重大负面事件的，一般以系统最低价格（目前为0.00001）剔除。From CSI Constituent Adjustment Rules for Equity Indices ↗ |
Constituents are generally removed at the latest closing price; if a removed security is suspended because of a trading-related mandatory delisting trigger or other major negative event, it is removed at the system minimum price, currently 0.00001. |
| M9 Calculation and return variants · 11 fields | |||
| Adjusted market capitalisation formula | Adjusted market capitalisation equals the sum of security price multiplied by adjusted share count multiplied by weight factor. | 调整市值＝ ∑(证券价格×调整股本数×权重因子)。Open p.2 ↗ |
Adjusted market capitalisation is the sum of each security's price, adjusted share count, and weight factor. |
| Weight factor bounds | Minimum: 0; Maximum: 1 | 权重因子介于0 和1 之间，以使单个权重样本的权重不超过15%，单个非权重样本的权重不超过5%。Open p.2 ↗ |
The weight factor is between 0 and 1. |
| Weighted sample definition | A weighted sample is a listed company whose revenue from rare-earth mining, processing, trade, or applications exceeded 30% over the past year. | 权重样本指过去一年在稀土开采、稀土加工、稀土贸易、稀土应用领域营业收入占比超过30%的上市公司。Open p.2 ↗ |
A weighted sample is a listed company with more than 30% of revenue from rare-earth mining, processing, trade, or applications in the past year. |
| Formula type | Divisor | 指数计算公式为：报告期指数= 报告期样本的调整市值 × 1000除数其中，调整市值＝ ∑(证券价格×调整股本数×权重因子)。Open p.2 ↗ |
The index is calculated as the adjusted market capitalisation of samples multiplied by 1,000 and divided by the divisor. |
| Price source | Real-time prices come from exchange market-data systems such as SSE and SZSE or from data vendors designated by CSI; the latest trade is used when traded and the opening reference price is used when there is no trade. | 指数的实时计算，样本实时成交价格来自上海证券交易所、深圳证券交易所等交易所行情系统，或来自由中证指数不时指定的数据供应商提供的交易行情。From CSI Calculation Rules for Equity Indices ↗ |
Real-time calculation uses exchange or designated-vendor market prices, taking the latest traded price or, if no trade occurs, the opening reference price. |
| Calculation frequency | Real-time index updates follow the interface definition used by CSI, the exchange, or another third-party market-data system; closing indices are published every index trading day. | 实时指数计算和发布：指数更新频率以中证指数通、交易所或其他第三方行情发布系统接口定义为准。收盘指数计算和发布：指数发布频率为指数交易日每日发布。From CSI Calculation Rules for Equity Indices ↗ |
Real-time indices are updated according to the relevant publication interface, and closing indices are calculated and published on each index trading day. |
| Return variants | PR, GTR, NTR | 价格指数以样本的市场价格，计算指数的表现。为满足投资者的需要，中证指数同时计算部分指数的全收益指数和净收益指数。From CSI Calculation Rules for Equity Indices ↗ |
The rulebook identifies price, gross total return, and net total return indices, with gross and net versions calculated for some indices. |
| Withholding tax basis | A 10% cash-dividend tax rate is generally used for Shanghai, Shenzhen, Beijing, and Hong Kong securities. | 对沪深京港证券，现金分红的税率一般设置为10%。From CSI Calculation Rules for Equity Indices ↗ |
For Shanghai, Shenzhen, Beijing, and Hong Kong securities, the cash-dividend tax rate is generally set at 10%. |
| Dividend treatment | Gross total return indices reinvest pre-tax cash dividends and net total return indices reinvest after-tax cash dividends on the ex-dividend date; the price index does not adjust the divisor for cash dividends. | 全收益指数和净收益指数是价格指数的辅指数，与价格指数的区别在于全收益指数、净收益指数的计算中考虑了样本税前、税后现金红利的再投资收益，不会在样本除息日按照样本分红金额自然回落From CSI Calculation Rules for Equity Indices ↗ |
Gross and net total return indices assume reinvestment of pre-tax and after-tax cash dividends on the ex-dividend date, while the price index falls naturally on cash dividends. |
| Divisor adjustment | Cash dividend for gross and net total return indices, Bonus issue, Rights issue, Stock split, Reverse stock split, Other share changes at or above 5 percent, Accumulated small share changes in semi annual adjustment, Periodic or ad hoc constituent adjustment | 当样本现金分红时，价格指数除数不予修正，任其自然回落。全收益指数、净收益指数在样本除息日前一交易日收盘后修正指数除数。当样本送股、配股、拆股或缩股时，价格指数、全收益指数、净收益指数在样本除权日前一交易日收盘后修正指数除数。From CSI Calculation Rules for Equity Indices ↗ |
Divisor adjustments are triggered by total-return cash dividends, bonus issues, rights issues, splits, reverse splits, qualifying other share changes, scheduled small share-change updates, and constituent adjustments. |
| Recalculation policy | Where recalculation or republication is involved, CSI will promptly notify index clients; in complex cases CSI reserves discretion to recalculate the index or republish related data products. | 公司保留在复杂情况下自行决定重新计算指数或重新发布相关数据产品的权利。涉及指数重新计算或发布的情形，公司将及时向指数客户发布通知。From CSI The Primary Policy of Index Management ↗ |
If an index is recalculated or related data products are republished, CSI will promptly notify index clients, with the decision reserved to CSI in complex situations. |
| M10 Governance, change policy, disclosure · 10 fields | |||
| Oversight body | Index Business Supervisory Committee, Index Expert Committee | 指数业务监督委员会负责定期对指数编制方案审阅工作进行监督。From CSI The Primary Policy of Index Management ↗ |
The Index Business Supervisory Committee supervises methodology review, rule changes, index terminations, and complaint reports; the Index Expert Committee provides recommendations and discusses Category I index terminations. |
| Discretion points | decide whether and how to correct an index error within six months, decide whether to recalculate an index or republish related data products in complex cases, terminate an index after prudent evaluation, consider providing a replacement index when regulatory requirements and feasibility permit, issue emergency notices depending on the impact of a calculation abnormality, use targeted rather than public consultation where appropriate for material changes | 对于六个月以内的指数错误，需综合评估指数错误影响、指数产品情况、距离下次指数调整时间、指数可投资性与可复制性等因素，慎重决定处理方案。From CSI The Primary Policy of Index Management ↗ |
CSI retains discretion over error handling and recalculation, index termination after evaluation, replacement-index considerations, emergency notification based on impact, and consultation format in appropriate cases. |
| Methodology review frequency | periodic internal review | 公司负责根据内部定期审阅、审视市场环境、听取指数专家委员会建议、接受市场反馈、外部投诉等途径对指数规则进行必要的修订。From CSI The Primary Policy of Index Management ↗ |
Index rules are revised based on periodic internal reviews, market developments, expert committee advice, market feedback, and complaints; the review interval is not specified. |
| External review | Material changes: Market opinions must be sought in advance; Category I indices: Public consultation is the principle; targeted consultation may be used with scope commensurate with the index's actual impact; Non Category I indices: Targeted consultation is the principle | 指数规则修订涉及的重大变更应事先征求市场意见。其中，一类指数1的重大变更原则上采用公开征求意见的形式，若采用定向方式的，征求范围应与指数的实际影响相适应；非一类指数的重大变更原则上采用定向征求意见的形式。From CSI The Primary Policy of Index Management ↗ |
Material rule changes require prior market consultation: Category I indices normally use public consultation, while non-Category I indices normally use targeted consultation. |
| Material change definition | Material changes are referenced as major changes to index rules, but the document does not define the criteria for materiality. | 指数规则修订涉及的重大变更应事先征求市场意见。From CSI The Primary Policy of Index Management ↗ |
The rulebook requires market consultation for material index-rule changes but does not state a definition or criteria for materiality. |
| Consultation procedure | Material changes are consulted with the market before implementation; Category I indices normally use public consultation, non-Category I indices normally use targeted consultation, and targeted scope must match the index's actual impact. | 其中，一类指数1的重大变更原则上采用公开征求意见的形式，若采用定向方式的，征求范围应与指数的实际影响相适应；非一类指数的重大变更原则上采用定向征求意见的形式。From CSI The Primary Policy of Index Management ↗ |
CSI conducts prior market consultation for material changes, normally publicly for Category I indices and on a targeted basis for other indices, with targeted scope aligned to impact. |
| Notice period | 1 business day | 第十七条 指数规则的修订根据指数分类不同须在正式实施前至少一个交易日于公司官网进行公告，公告内容包括指数规则修订的背景、内容及实施时间表。From CSI Measures for the Implementation of Change of Index Methodologies ↗ |
Unless otherwise specified, rule revisions must be announced on the company website at least one trading day before formal implementation. |
| Error correction policy | Error definition: A published index level deviates from the correct level; Causes: data errors, maintenance errors, software or hardware technical failures, other causes; Older than six months: generally not handled; Within six months factors: impact of the error, index-linked products, time until the next index adjustment, index investability and replicability; Complex cases: CSI reserves the right to decide whether to recalculate the index or republish related data products | 指数错误指已向市场发布的指数点位与正确点位发生偏离。引起指数错误的原因包括但不限于：数据错误、维护错误、软硬件技术故障等。公司经过审慎评估，可能对指数错误进行修正，并遵循以下原则：如指数错误发现时距离发生已超过六个月，一般不予处理。From CSI The Primary Policy of Index Management ↗ |
Errors are deviations between published and correct levels; errors older than six months are generally not addressed, while newer errors are assessed by impact, linked products, timing, investability, and replicability, and complex cases may be recalculated or republished at CSI's discretion. |
| Change announcement | market disclosure before formal implementation of rule revisions, CSI Index Express, Exchanges, other third-party market-data publication systems, CSI website, CSI data service platform, notices to index clients for recalculation or republication | 指数规则修订经内部评审后，将在正式实施前向市场披露。From CSI The Primary Policy of Index Management ↗ |
CSI discloses rule revisions to the market before implementation, publishes levels through market-data systems and its website or data platform, and notifies clients for recalculations or republication. |
| Cessation policy | After prudent evaluation, CSI may terminate an index, meaning cessation of calculation, maintenance, and external publication; factors outside CSI's control may, in extreme cases, lead to termination. | 公司经过审慎评估后，可能会进行指数终止的操作，即终止指数的计算、维护和对外发布。From CSI The Primary Policy of Index Management ↗ |
An index may be terminated after prudent evaluation, stopping its calculation, maintenance, and external publication; extreme market, data, liquidity, environmental, or geopolitical factors may also result in termination. |
Open points · 31Model-written, for reference
- 1ISIN is not stated.
- 2Third-party vendor tickers for Bloomberg, Refinitiv, Wind, or other platforms are not stated.
- 3Administrator and calculation agent are not explicitly identified.
- 4Launch date is not stated.
- 5Calculation currency is not stated.
- 6Methodology version and methodology date are not stated.
- 7Benchmark regulation status is not stated.
- 8Stated intended uses are not provided in the sections.
- 9Size segment is not specified.
- 10Factor exposures and limitations are not stated.
- 11Specific markets, exchanges, boards, security types, nationality rule, and universe exclusions are not detailed beyond alignment with the CSI All Share sample space.
- 12Eligibility screens for trading history, liquidity, size, free float, foreign room, voting rights, price, financial quality, ESG or business exclusions, suspension, and abnormal price movement are not included.
- 13No tie-breaking rule is stated for securities with identical turnover or market-capitalization rankings.
- 14No reserve list size or replacement-candidate rule is stated.
- 15Weighting scheme, free-float treatment, share-count source, caps, and divisor adjustment are not stated in the selection and constituent count section.
- 16No data cut-off or reference date rule for semi-annual reviews was stated.
- 17No announcement timing or disclosure channel for review results was stated.
- 18No rank buffer, size-segment buffer, or liquidity buffer for existing constituents was stated.
- 19No fast-entry rule for large new listings was stated.
- 20No replacement policy or reserve-list rule for ad hoc deletions was stated.
- 21No deletion price for suspended or removed securities was stated.
- 22No threshold for interim share or free-float changes was stated.
- 23The document references the calculation and maintenance rules but does not provide that guide's full title or detailed corporate-action treatments.
- 24M9-指数计算 does not specify the price source or treatment when no traded price is available.
- 25M9-指数计算 does not specify the calculation frequency or real-time publication interval.
- 26M9-指数计算 does not specify the number of decimal places in the published index level.
- 27M9-指数计算 does not specify whether price, gross total return, or net total return variants are published.
- 28M9-指数计算 does not specify withholding-tax basis or cash-dividend treatment.
- 29M9-指数计算 does not specify market-disruption, exchange-closure, suspended-security, or recalculation policies.
- 30The calculation and return variants section contains no governance, oversight, consultation, disclosure, cessation, methodology-review, or error-correction rules.
- 31Not coveredM3 Eligibility screens: not covered by this edition
Read by a language model (doubao-seed-2.1-pro) on 2026-10-03 · prompt 1.2 · schema 1 · 54 of 54 quotes found word for word in the PDF · includes general rules: Calculation Rules for Equity Indices v1.1, Free Float Rules for Equity Indices v1.1, Constituent Adjustment Rules for Equity Indices v1.2, The Primary Policy of Index Management v3.0, Measures for the Implementation of Change of Index Methodologies v3.0
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