【摘要】：自上世紀八十年代我國證券市場建立以來，證券內(nèi)幕交易現(xiàn)象就相伴而生，而且呈現(xiàn)出愈演愈烈之勢。證券內(nèi)幕交易不僅涉案金額大，影響面廣，而且還嚴重地損害了投資者的合法權(quán)益，擾亂了證券市場正常的秩序。為了規(guī)范證券發(fā)行和證券交易行為，保護投資者的合法權(quán)益，維護社會經(jīng)濟秩序和公共利益，促進社會主義市場經(jīng)濟健康發(fā)展，我國1997年《刑法》將證券內(nèi)幕交易納入刑法視界，雖經(jīng)1999年《刑法修正案（一）》和2009年《刑法修案(七)》對該罪的兩次修改，但是刑法對該罪的規(guī)定還有很多不完善之處。因此，本文以國家關(guān)于證券內(nèi)幕交易的法律法規(guī)和前人的研究成果為基礎(chǔ)，對內(nèi)幕信息、內(nèi)幕交易行為、擁有內(nèi)幕信息的主體、主觀故意及明知的認定等作進一步分析。在證券內(nèi)幕交易中，實質(zhì)性受到損失的是廣大的投資者。刑法的目的不是懲罰實施犯罪的人，而是保護廣大的投資者的利益通過考察域外立法，歸納我國的立法概況，對比中外關(guān)于該罪的立法，，借鑒國外立法的有益經(jīng)驗，以期對該罪的立法模式、罪名和刑事責任的完善等有所裨益。
[Abstract]:Since the establishment of China's securities market in 1980's, the phenomenon of insider trading in securities has been accompanied and has become increasingly fierce. Insider trading not only involves a large amount of money and has a wide range of influence, but also seriously damages the legitimate rights and interests of investors and disturbs the normal order of the securities market. In order to standardize the issuance and trading of securities, protect the legitimate rights and interests of investors, safeguard social and economic order and public interests, and promote the healthy development of the socialist market economy, China's 1997 Criminal Law brought securities insider trading into the horizon of the criminal law. Although it was amended twice by the Criminal Law Amendment (1) in 1999 and the Criminal Law Amendment (7) in 2009, there are still many imperfections in the provisions of the Criminal Law on the crime. Therefore, based on the national laws and regulations on securities insider trading and the previous research results, this paper makes a further analysis of the insider information, insider trading behavior, the subject of insider information, the subjective intention and the cognizance of knowledge. In securities insider trading, the substantial loss is the vast number of investors. The purpose of the criminal law is not to punish those who commit the crime, but to protect the interests of the vast number of investors. By investigating the extraterritorial legislation, the purpose of the criminal law is to sum up the general legislative situation of our country, to compare the legislation on the crime between China and foreign countries, and to learn from the beneficial experience of foreign legislation. With a view to the legislative model of the crime, the crime and the perfection of criminal responsibility and so on.
【學位授予單位】：上海師范大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：D922.287;D924.33

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