本文選題：搶先交易操縱行為 + 投資者權(quán)益保護(hù)��； 參考：《首都經(jīng)濟(jì)貿(mào)易大學(xué)》2013年碩士論文

【摘要】：近年來，搶先交易操縱案件在證券市場層出不窮，但“黑嘴”股評人受到的往往只是行政或刑事處罰，中小投資者因誤信“黑嘴”薦股而受到的經(jīng)濟(jì)損失尚無法得到補(bǔ)救，這不僅嚴(yán)重影響了中小投資者的信心，還影響了我國證券市場的健康、長遠(yuǎn)發(fā)展。本文通過比較研究、舉例研究等方法，旨在探尋在搶先交易操縱案件中，如何有效保護(hù)中小投資者的合法權(quán)益。文章共分為五個部分：第一部分對搶先交易操縱的概念進(jìn)行了界定，交代了研究問題的背景，闡明了本研究的目的、意義和基本思路。第二部分是搶先交易行為概述，，交代了這一行為的特點及相關(guān)法律規(guī)定。第三部分分析了在搶先交易行為中，投資者訴訟索賠難的現(xiàn)狀及原因。第四部分是關(guān)于在搶先交易行為中，保護(hù)中小投資者合法權(quán)益必要性和解決措施的分析。第五部分綜合整篇文章的觀點和論述，形成了結(jié)論，并指出了研究的不足。證券市場是信心市場，中小投資者是證券市場健康、長遠(yuǎn)發(fā)展的動力源泉，在證券投資過程中，切實保護(hù)投資者合法權(quán)益意義重大，我希望本文能夠起到拋磚引玉的作用，為這一問題的研究盡綿薄之力。
[Abstract]:In recent years, cases of preemptive trading manipulation have emerged in an endless stream in the stock market, but the "black mouth" stock evaluators are often subject to administrative or criminal penalties, and the economic losses suffered by small and medium-sized investors due to their false belief in "black mouth" stocks have yet to be remedied. This not only seriously affects the confidence of small and medium investors, but also affects the healthy and long-term development of our securities market. This paper aims to explore how to effectively protect the legitimate rights and interests of small and medium-sized investors in cases of preemptive transaction manipulation by means of comparative studies and examples. The paper is divided into five parts: the first part defines the concept of preemptive transaction manipulation, explains the background of the research, and clarifies the purpose, significance and basic thinking of this study. The second part is an overview of preemptive transaction, explaining the characteristics of this behavior and relevant legal provisions. The third part analyzes the current situation and causes of investor litigation in preemptive transaction. The fourth part is the analysis of the necessity and solution of protecting the legal rights and interests of small and medium investors in preemptive transactions. The fifth part synthesizes the whole article's viewpoint and exposition, has formed the conclusion, and has pointed out the research insufficiency. The securities market is the confidence market, and the small and medium-sized investors are the driving force for the healthy and long-term development of the securities market. In the process of securities investment, it is of great significance to protect the legitimate rights and interests of investors. I hope this article can serve as a source of inspiration. Make a modest contribution to the study of this problem.
【學(xué)位授予單位】：首都經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.287

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