本文選題：美國(guó)證券法 + 公法��； 參考：《中國(guó)政法大學(xué)》2009年碩士論文

【摘要】： 隨著全球證券市場(chǎng)國(guó)際化和全球化程度不斷加深,證券交易活動(dòng)當(dāng)中的爭(zhēng)議出現(xiàn)也愈加頻繁,特別是以證券交易活動(dòng)當(dāng)中的虛假陳述、內(nèi)幕交易等欺詐活動(dòng)所導(dǎo)致的爭(zhēng)議更是不勝枚舉。于此情況下,各國(guó)對(duì)于國(guó)際證券交易活動(dòng)的法律規(guī)制所產(chǎn)生的與證券法相關(guān)的域外法律適用問(wèn)題也成為了司法界與理論界共同關(guān)注的重要課題。本文重點(diǎn)以美國(guó)證券法域外法律適用的理論與實(shí)踐的發(fā)展脈絡(luò)為論述主線,探討在證券法域外法律適用的基本原理以及一般規(guī)律,以發(fā)展而且開(kāi)放的觀點(diǎn)對(duì)證券法域外法律適用問(wèn)題進(jìn)行深入剖析,并得出筆者對(duì)該問(wèn)題的研究心得以及分析建議。 本文的基本體系是首先針對(duì)證券法域外法律適用的基本理論以及普遍規(guī)律予以介紹和分析,并將其必要性進(jìn)行闡釋,隨后介紹美國(guó)的相關(guān)實(shí)踐發(fā)展,并論述其理論的由來(lái)、優(yōu)點(diǎn)以及弊端,最后在美國(guó)實(shí)踐的基礎(chǔ)上探討其存在的合理性以及發(fā)展的趨勢(shì),并最終得出對(duì)中國(guó)的啟示。 論文第一章主要是介紹證券法域外法律適用的由來(lái)。筆者認(rèn)為證券法在一般意義上而言屬于經(jīng)濟(jì)法的范疇,即傳統(tǒng)意義上的公法,但是又不完全是公法,是公法和私法相結(jié)合的一個(gè)部門法,因而其域外法律適用便有其特殊性,同時(shí)證券法也是在借鑒其他相關(guān)經(jīng)濟(jì)法律的基礎(chǔ)上發(fā)展出其域外適用的理論,因而有必要對(duì)經(jīng)濟(jì)法這個(gè)上位概念的域外適用做出必要的闡釋,得出其一般規(guī)律和適用標(biāo)準(zhǔn),進(jìn)而導(dǎo)出證券法域外適用的必然性。 第二章是本文的主體。主要論述的是整個(gè)美國(guó)證券法域外適用的發(fā)展脈絡(luò)。首先第一節(jié)論述的美國(guó)證券法的規(guī)范基礎(chǔ),將域外適用當(dāng)中主要運(yùn)用的法律進(jìn)行總括性介紹。接著第二節(jié)和第三節(jié)便以美國(guó)證券法域外適用的實(shí)踐當(dāng)中的案例論述為例證,將“效果原則”、“行為原則”以及“合理性原則”一一詳細(xì)論述,并探討各種原則的存在的合理性以及弊端。最后再是對(duì)本章做出小結(jié),將美國(guó)證券法域外法律適用的理論與實(shí)踐發(fā)展做出筆者的評(píng)價(jià)。 第三章是本文主體思想的延續(xù),論述的是美國(guó)證券法域外法律適用理論與實(shí)踐的啟示。第一節(jié)是對(duì)其理論來(lái)源以及目前頗具爭(zhēng)議的對(duì)國(guó)際私法傳統(tǒng)理論造成沖擊的公法性質(zhì)的規(guī)范納入法律適用范圍的理性分析,以具體問(wèn)題具體分析的態(tài)度來(lái)對(duì)待理論發(fā)展的先行性,以及在處理具體問(wèn)題時(shí)的必要性,并提出筆者的觀點(diǎn),認(rèn)為要對(duì)其進(jìn)行合理的限制,得出具體的適用規(guī)則,不能一味的排斥,也不能讓其盲目地?cái)U(kuò)大。第二節(jié)論述的是美國(guó)證券法域外適用性對(duì)中國(guó)證券法域外效力的啟示,筆者提出若干立法建議和標(biāo)準(zhǔn)以供參考,以期能在未來(lái)的立法實(shí)踐和司法實(shí)踐當(dāng)中起到拋磚引玉的作用。
[Abstract]:With the internationalization and globalization of the global securities market, disputes in securities trading activities have become more and more frequent, especially with false statements in securities trading activities. Insider trading and other fraud caused by controversy is endless. In this case, the application of foreign laws related to the securities law has become an important issue that the judicial and theoretical circles pay attention to. This paper focuses on the development of the theory and practice of the extraterritorial application of securities laws in the United States, and probes into the basic principles and general laws of the application of extraterritorial laws in the securities laws. From the viewpoint of development and openness, this paper makes a thorough analysis of the application of foreign securities laws, and draws the author's research ideas and suggestions on this issue. The basic system of this paper is to first introduce and analyze the basic theory and general law of the application of foreign securities law, and explain its necessity, then introduce the development of relevant practice in the United States, and discuss the origin of its theory. Finally, on the basis of American practice, the rationality of its existence and the trend of its development are discussed, and the enlightenment to China is finally obtained. The first chapter mainly introduces the origin of the extraterritorial application of securities law. The author thinks that the securities law belongs to the category of economic law in general sense, that is, public law in the traditional sense, but it is not entirely public law, it is a branch law which combines public law with private law, so its application of extraterritorial law has its particularity. At the same time, the securities law also develops the theory of its extraterritorial application on the basis of other relevant economic laws. Therefore, it is necessary to make a necessary explanation of the extraterritorial application of the upper concept of economic law, and to obtain its general rules and applicable standards. Furthermore, the inevitability of the extraterritorial application of securities law is derived. The second chapter is the main body of this paper. This paper mainly discusses the development of the extraterritorial application of the securities law in the United States. The first section deals with the normative basis of American securities law. Then the second and third sections take the case study of the extraterritorial application of American securities law as an example. The "effect principle", "behavior principle" and "rationality principle" are discussed in detail. The rationality and malpractice of the existence of various principles are also discussed. In the end, the author evaluates the theory and practice of the extraterritorial application of American securities law. The third chapter is the continuation of the main body of this article, which discusses the enlightenment of the theory and practice of the extraterritorial application of securities law in the United States. The first section is the rational analysis of its theoretical sources and the current controversial norms of public law that impact the traditional theory of private international law into the scope of application of the law. Taking the attitude of concrete analysis to deal with the first nature of theoretical development and the necessity of dealing with specific problems, the author puts forward the author's point of view that it should be reasonably restricted and the concrete applicable rules should be obtained. Cannot blindly reject, also cannot let it blindly expand. The second section discusses the enlightenment of the extraterritorial applicability of American securities law to the extraterritorial effect of Chinese securities law. The author puts forward some legislative suggestions and standards for reference, in order to play a role in the future legislative practice and judicial practice.
【學(xué)位授予單位】：中國(guó)政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2009
【分類號(hào)】：DD912.28;D971.2

【相似文獻(xiàn)】

相關(guān)期刊論文 前10條

1 鄒志臣;;行政契約的法律控制研究[J];經(jīng)濟(jì)縱橫;2006年14期

2 鄭敬蓉;;圖書(shū)館法“權(quán)利本位”的思考——以公、私法劃分理論為視角[J];山東圖書(shū)館季刊;2008年04期

3 謝桂生;市場(chǎng)經(jīng)濟(jì)與公法、私法的劃分——一個(gè)需要重新認(rèn)識(shí)的問(wèn)題[J];法學(xué);1994年05期

4 楊亞非;公法與私法劃分歷史的啟示[J];吉林大學(xué)社會(huì)科學(xué)學(xué)報(bào);1995年03期

5 喬洪武,喬紅軍;亞當(dāng)·斯密的法學(xué)思想評(píng)介[J];法學(xué)評(píng)論;2001年04期

6 陳勤;;利益:公法與私法的背后[J];中國(guó)民營(yíng)科技與經(jīng)濟(jì);2006年07期

7 朱熹洋;;政府能源儲(chǔ)備的公法初探[J];行政法學(xué)研究;2007年01期

8 鄭曉琴;;公法、私法的劃分及其意義[J];榆林學(xué)院學(xué)報(bào);2008年01期

9 李子云;;通過(guò)軟法的權(quán)力控制[J];唯實(shí);2008年Z1期

10 王繼軍;李鋒;;論公法和私法在我國(guó)市場(chǎng)經(jīng)濟(jì)中的作用[J];山西大學(xué)學(xué)報(bào)(哲學(xué)社會(huì)科學(xué)版);2008年06期

相關(guān)會(huì)議論文 前10條

1 沈巋;;因開(kāi)放、反思而合法——探索中國(guó)公法變遷的規(guī)范性基礎(chǔ)[A];北京論壇（2004）文明的和諧與共同繁榮：“法治文明的承繼與融合”法律分論壇論文或提要集[C];2004年

2 |!屒修;;消n攀斃У木媒峁褂肫湓詮ㄉ系睦嗤茞i用[A];2009年度（第七屆）中國(guó)法經(jīng)濟(jì)學(xué)論壇論文集[C];2009年

3 朱維究;徐文星;;英國(guó)公法傳統(tǒng)中的“功能主義學(xué)派”及其啟示——兼論中國(guó)21世紀(jì)“統(tǒng)一公法學(xué)”的走向[A];中國(guó)行政法之回顧與展望——“中國(guó)行政法二十年”博鰲論壇暨中國(guó)法學(xué)會(huì)行政法學(xué)研究會(huì)2005年年會(huì)論文集[C];2005年

4 李光宇;馬凌;;論完善經(jīng)濟(jì)立法[A];全國(guó)高等財(cái)經(jīng)院�！顿Y本論》研究會(huì)2009年度（第26屆）學(xué)術(shù)年會(huì)論文集[C];2009年

5 袁曙宏;;服務(wù)型政府呼喚公法轉(zhuǎn)型——論通過(guò)公法變革優(yōu)化公共服務(wù)[A];中國(guó)法學(xué)會(huì)行政法學(xué)研究會(huì)2008年年會(huì)論文集（上冊(cè)）[C];2008年

6 楊欣;;論我國(guó)事業(yè)單位存在的表象問(wèn)題與本源問(wèn)題——基于公法的觀察視角[A];中國(guó)法學(xué)會(huì)行政法學(xué)研究會(huì)2008年年會(huì)論文集（上冊(cè)）[C];2008年

7 王小鋼;;排除危害類公益訴訟理論、制度和實(shí)踐[A];水污染防治立法和循環(huán)經(jīng)濟(jì)立法研究——2005年全國(guó)環(huán)境資源法學(xué)研討會(huì)論文集（第三冊(cè)）[C];2005年

8 ;編寫(xiě)說(shuō)明[A];第四屆全國(guó)公法學(xué)博士生論壇論文集[C];2009年

9 柳硯濤;;行政法中的私法適用研究[A];中國(guó)行政法之回顧與展望——“中國(guó)行政法二十年”博鰲論壇暨中國(guó)法學(xué)會(huì)行政法學(xué)研究會(huì)2005年年會(huì)論文集[C];2005年

10 文正邦;;公法哲學(xué)視野中的行政管理體制改革[A];行政管理體制改革的法律問(wèn)題——中國(guó)法學(xué)會(huì)行政法學(xué)研究會(huì)2006年年會(huì)論文集[C];2006年

相關(guān)重要報(bào)紙文章 前10條

1 鄭瑞志;采購(gòu)合同，，公法？私法？[N];中國(guó)財(cái)經(jīng)報(bào);2001年

2 高家偉;法學(xué)理論新亮點(diǎn)“公法名著譯叢”[N];中華讀書(shū)報(bào);2003年

3 本報(bào)記者 王坤寧;《公法名著譯叢》展現(xiàn)國(guó)際公法研究碩果[N];中國(guó)新聞出版報(bào);2002年

4 劉隆亨;我國(guó)當(dāng)代稅法基本理論的創(chuàng)新[N];法制日?qǐng)?bào);2003年

5 鄒云翔;對(duì)于刑事優(yōu)先的反思[N];人民法院報(bào);2002年

6 李詠;公法、私法與民法典[N];工人日?qǐng)?bào);2003年

7 楊海坤;小康社會(huì)和現(xiàn)代公法中的契約精神[N];法制日?qǐng)?bào);2004年

8 朱曉U

本文編號(hào)：1846062