本文選題：經(jīng)紀-交易商 + 員工私人證券買賣��； 參考：《證券市場導(dǎo)報》2012年01期

【摘要】：在美國,證券經(jīng)紀-交易商從業(yè)人員的私人證券交易受《證券交易法》和NASD Rule 3040的約束。法律未禁止證券公司從業(yè)人員買賣證券,但為防范利益沖突,證券公司員工應(yīng)遵守開戶申報、下單審批等程序性規(guī)定。對于容易接觸重大非公開信息的投行人員及存在突出利益沖突的研究分析師,美國制定了專門的證券買賣規(guī)則。我國有必要借鑒美國的做法,對《證券法》第43條進行相應(yīng)修改,并由證監(jiān)會或證券業(yè)協(xié)會制定證券公司從業(yè)人員買賣證券的規(guī)則,對投行人員和分析師的證券買賣行為做出禁止、限制及披露方面的規(guī)定。
[Abstract]:In the United States, the private trading of securities broker-dealer practitioners is governed by the Securities Exchange Act and NASD Rule 3040. The law does not prohibit the employees of securities companies from buying and selling securities, but in order to prevent conflicts of interest, the employees of securities companies should abide by the procedural provisions such as filing accounts and issuing orders for approval. For investment bankers with easy access to material private information and research analysts with prominent conflicts of interest, the United States has established specific rules for securities trading. It is necessary for China to draw lessons from the practice of the United States and amend Article 43 of the Securities Law accordingly, and the Securities Regulatory Commission or the Securities Industry Association shall formulate rules for securities companies' practitioners to buy and sell securities. Ban, limit and disclose securities trading by investment bankers and analysts.
【作者單位】： 東華大學(xué)人文學(xué)院;海通證券;
【分類號】：D971.2;DD912.28;F832.51

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