本文選題：美國統(tǒng)一商法典第九編 + 賒款擔(dān)保權(quán)益　； 參考：《華東政法學(xué)院》2004年碩士論文

【摘要】：蓬勃發(fā)展的市場經(jīng)濟(jì)對融資的大量需求,促進(jìn)了現(xiàn)代擔(dān)保制度的發(fā)展�，F(xiàn)代擔(dān) 保制度之領(lǐng)跑者——美國《統(tǒng)一商法典》第九編(動產(chǎn)擔(dān)保交易法)自其頒布之始, 即廣受各國學(xué)者重視,其中一些已經(jīng)影響到國際動產(chǎn)擔(dān)保領(lǐng)域的發(fā)展。賒款擔(dān)保制 度由美國《統(tǒng)一商法典》第九編中作出規(guī)定,它是從法典之前的附條件買賣制度(即 大陸法系上的所有權(quán)保留制度)演變而來,內(nèi)容上包括賒款擔(dān)保權(quán)益和賒款優(yōu)先權(quán) 兩部分。賒款擔(dān)保制度對于我國來講是一個全新的制度,為此,本文即以探討此制 度的應(yīng)有內(nèi)容為中心,分析了它的概念和制度特征,并深入論述了其制度構(gòu)造,并 對我國應(yīng)否采納此制度提出了自己的見解,以此期望自己能夠?yàn)槲覈?dāng)前的物權(quán)立 法作出理論上的貢獻(xiàn)。 本文除導(dǎo)言和結(jié)語之外,共分為四部分,第一部分為介紹美國《統(tǒng)一商法典》 第九編,第二部分為賒款擔(dān)保制度的歷史淵源及其制度概況,第三部分是賒款擔(dān)保 制度的運(yùn)行規(guī)則,第四部分為我國法律對賒款擔(dān)保制度的理性選擇。 第一部分首先介紹了美國《統(tǒng)一商法典》及其第九編的一個產(chǎn)生過程。美國是 一個典型的聯(lián)邦制國家,法律制度實(shí)施的是雙軌制,由于諸多原因,各州所頒布的 法律極不統(tǒng)一,法律沖突導(dǎo)致抑制州際貿(mào)易和異常增加社會發(fā)展成本。《統(tǒng)一商法典》 正是在這樣的大環(huán)境下醞釀而生的。美國統(tǒng)一州法委員會和美國法學(xué)會于 1945 年 1 -1- WP=4 月 1 日起開始起草該法典,1951 年批準(zhǔn)了法典的正式文本,并于 1952 年對外公布。 之后,《統(tǒng)一商法典》經(jīng)歷了多次修改,形成了較多的正式文本,法律日臻完善。而 其中的第九編還于 1998 年修訂并于 2001 年 7 月生效。其次文章論述了《統(tǒng)一商法 典》第九編的主要內(nèi)容及其制度特色。該編秉承了商法典的整體風(fēng)格,按照從總則 到分則的順序編排整個擔(dān)保交易涉及的內(nèi)容。法典第九編非常有特色,交易類型化 上的功能方法與擔(dān)保交易的一元化是其特質(zhì),同時也是吸引他國學(xué)者和立法者的獨(dú) 到之處。 第二部分對賒款擔(dān)保制度追根溯源,考證了判例法承認(rèn)賒款擔(dān)保及其優(yōu)先權(quán)規(guī) 則的最早判例。賒款擔(dān)保制度的形成經(jīng)歷了較長的演變過程,從法典之前的附條件 買賣發(fā)展成如今的賒款擔(dān)保制度,雖然附條件買賣類似于大陸法系的所有權(quán)保留制 度,但是賒款擔(dān)保制度與所有權(quán)保留制度卻有較大的不同�；诖�,筆者試用大陸 法系抽象性語言對賒款擔(dān)保權(quán)益和賒款優(yōu)先權(quán)所包含的定義進(jìn)行描述,重點(diǎn)指出賒 款擔(dān)保制度特征在于標(biāo)的物僅限于有形動產(chǎn)和軟件的前提下,賒款擔(dān)保債務(wù)必須是 因擔(dān)保物而生,同時債務(wù)人能夠占有、使用甚至處分擔(dān)保物,而擔(dān)保權(quán)人一旦履行 了完善擔(dān)保權(quán)益的手續(xù)即能夠獲得超優(yōu)先受償?shù)臋?quán)利。而所有權(quán)保留制度中債務(wù)人 僅能夠占有使用標(biāo)的物而無處分權(quán),債權(quán)人享有的所有權(quán)也不同于賒款擔(dān)保權(quán)人享 有的擔(dān)保權(quán)益,同時在其他一些地方,兩者也具有較多的不同之處。 第三部分探討了賒款擔(dān)保制度的運(yùn)行規(guī)則。分析了賒款擔(dān)保權(quán)益的設(shè)定主體、 設(shè)定形式和客體范圍。但是,賒款擔(dān)保權(quán)益的設(shè)定僅僅使得擔(dān)保權(quán)人取得了對抗債 務(wù)人的效力,為了能夠?qū)沟谌?賒款擔(dān)保權(quán)人必須完善已經(jīng)設(shè)定的擔(dān)保權(quán)益。 法律規(guī)定不同的擔(dān)保物具有不同的完善方式。此外,債務(wù)人違約的可能性實(shí)在難以 避免,因而賒款擔(dān)保權(quán)人可以采取包括自力救濟(jì)和公力救濟(jì)在內(nèi)的兩種救濟(jì)方式, 從而實(shí)現(xiàn)賒款擔(dān)保權(quán)人的權(quán)益。接著本文重點(diǎn)指出,法律規(guī)定賒款擔(dān)保權(quán)益最終的 目的在于采用精心設(shè)計(jì)的賒款優(yōu)先權(quán)規(guī)則,因?yàn)槌瑑?yōu)先受償?shù)臋?quán)利使得擔(dān)保權(quán)人的 利益真正的得到保障。作為一項(xiàng)現(xiàn)代市場經(jīng)濟(jì)發(fā)達(dá)的美國建立的制度,賒款擔(dān)保制 度顯示了其優(yōu)勢,它實(shí)現(xiàn)了公平價值,適應(yīng)了資金融通和商品流通的需求,當(dāng)事人 -2- WP=5 享有的較大自主權(quán)和手續(xù)簡便又不乏安全性的制度優(yōu)勢贏得了眾多人的喜愛。另外, 本部分還對賒款擔(dān)保制度中各方當(dāng)事人之間的利益沖突及如何平衡問題作出了簡單 的論述。 第四部分對我國是否可以采用賒款擔(dān)保制度提出了建議。本部分以法律移植理 論為切入點(diǎn),分析了我國引進(jìn)賒款擔(dān)保制度的可能性和必要性。文章最后,筆者粗 淺的設(shè)計(jì)了賒款擔(dān)保制度在我國的立法框架,期望其能夠在我國發(fā)揮完美的保護(hù)債 權(quán)人權(quán)益和交易安全的功效,實(shí)現(xiàn)物之價值最大化。 結(jié)語對我國建立賒款擔(dān)保制度提出幾點(diǎn)建議,認(rèn)為我國的法律制度應(yīng)當(dāng)適應(yīng)大 力發(fā)展的信用經(jīng)濟(jì),并且突破物權(quán)法定主義。同時,還應(yīng)在《民事訴訟法》中補(bǔ)充 新的配套內(nèi)容,以有利于賒款擔(dān)保制度的規(guī)范施行。
[Abstract]:The booming demand of financing in the market economy has promoted the development of the modern guarantee system.
The leader of the protection system, the ninth part of the United States commercial code (movables secured transaction act), was issued at the beginning of its promulgation.
That is, widely recognized by scholars from various countries, some of which have affected the development of international chattel guarantee. Credit guarantee system
It is stipulated in the ninth edition of the unified commercial code of the United States, which is conditional sale system before the code.
The ownership reservation system in the continental law system has evolved from content to security interest and credit priority.
The two part. Credit guarantee system is a brand new system for our country.
The content of the degree should be centered, its concept and institutional characteristics are analyzed, and its institutional structure is discussed in depth.
It puts forward our own views on whether or not our country should adopt this system.
The contribution of the law to the theory is made.
In addition to the introduction and conclusion, this article is divided into four parts. The first part is the introduction of the unified commercial code of the United States.
The ninth part, the second part is the historical origin of credit guarantee system and the general situation of the system. The third part is credit guarantee.
The fourth part is the rational choice of China's credit guarantee system.
The first part introduces the birth process of the unified commercial code and the ninth part of the United States.
In a typical Federalist state, the dual system is applied to the legal system. For many reasons, the States promulgated the system.
The law is extremely ununited, and the conflict of laws leads to the suppression of inter state Trade and the abnormal increase of the cost of social development.
It was in such a big environment that the United States State Law Commission and the American law society were 1 in 1945.
-1-
WP=4
The code was drafted on 1 June, and the official version of the code was approved in 1951. It was released in 1952.
After that, the uniform commercial code has undergone many revisions, forming more formal texts and improving the law.
The ninth part was revised in 1998 and came into effect in July 2001.
The main contents and characteristics of the ninth part of the code.
The contents of the whole secured transaction are arranged in a sequence. The ninth part of the code is very distinctive and typed.
The functional method and the centralization of secured transactions are their characteristics. They are also the only ones that attract other countries' scholars and legislators.
Where is it.
The second part of the credit guarantee system traced back to the source, verified the case law recognized credit guarantees and priority rules.
The earliest precedent, the formation of the credit guarantee system went through a long process of evolution.
Trading has developed into a current credit guarantee system, though conditional sale is similar to the ownership reservation system in the continental law system.
But the credit guarantee system is different from the ownership reservation system. Based on this, I try the mainland.
The abstract language of the legal system describes the definition of credit guarantee interest and credit priority, focusing on credit.
The guarantee system is characterized by the fact that only if the subject matter is limited to tangible movable property and software, credit guarantee must be secured.
When the guarantor is born, the debtor can occupy, use or even dispose of the guaranty, and the guarantor once fulfil it.
In order to improve the security rights and interests, the right of super priority compensation can be obtained, while the debtor in the ownership retention system.
It can only occupy the use of the subject matter without decentralization, and the ownership enjoyed by the creditor is different from that of the credit guaranty holder.
Some security interests are also different in some other places.
The third part discusses the operation rules of the credit guarantee system, analyzes the main body of the guarantee interest.
Set the form and the scope of the object. However, the setting of the guarantee interest of credit only makes the guaranty person obtain the debt of confrontation.
In order to fight against the third party, the guarantor of credit must improve the established security interest.
The law stipulates that different collateral has different ways of perfection. In addition, the possibility of default by debtors is very difficult.
Therefore, the guaranty holders of credit can take two REMEDIES including self-help and public relief.
In order to realize the rights and interests of the guaranty right of the credit guarantee, this article points out that the law stipulates the final guarantee of the interest on credit.
The purpose is to adopt the carefully designed credit priority rule, because the right of super priority compensation makes the guaranty holder's right.
Interest is truly guaranteed. As a modern market economy developed by the United States, credit guarantee system.
It shows its advantages. It achieves fair value and adapts to the needs of financial intermediation and commodity circulation.
-2-
WP=5
The system advantages of greater autonomy and simple procedures and safety have won the favor of many people.
This part also makes a simple analysis of the conflicts of interests between the parties in the credit guarantee system and how to balance them.
Discussion.
The fourth part puts forward suggestions on whether credit guarantee system can be adopted in our country.
As a breakthrough point, this paper analyzes the possibility and necessity of introducing credit guarantee system in China.
In the light of the legislative framework of credit guarantee system in China, we hope that it can play a perfect protective obligation in our country.
The rights and interests of the owner and the safety of the transaction will maximize the value of the property.
The conclusion puts forward several suggestions for establishing credit guarantee system in our country.
The credit economy that develops vigorously will break through the doctrine of real right. At the same time, it should also be supplemented in the civil procedure law.
The new supporting content is conducive to the standardized implementation of credit guarantee system.

【學(xué)位授予單位】：華東政法學(xué)院
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2004
【分類號】：D971.2

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