美国证券法域外管辖权研究

发布时间：2018-05-02 09:20

本文选题：美国 + 证券法　；参考：《浙江工商大学》2017年硕士论文

【摘要】：随着经济全球化和证券市场国际化的不断加强,越来越多的证券交易活动已经跨越国界,在跨国证券交易的过程中往往会产生各种各样的证券违法行为。出于维护本国证券市场的整体性和保护投资者利益的需要,各国开始纷纷扩大本国证券法的适用范围,由此产生了证券法上的域外管辖权问题。作为主张证券法上域外管辖权国家,美国在证券法域外管辖权的理论与实践上有着相当丰富的经验和研究价值。本文以美国证券法域外管辖权为研究对象,通过美国证券法域外管辖权的行使与限制两个方面对其进行深入探讨。本文除引言和结语外由三个部分构成。第一个部分对美国证券法域外管辖权进行了界定和分类,并阐述了美国证券法域外管辖权产生的原因以及理论和条文依据。第二个部分通过美国联邦法院的司法实践和美国证券交易委员会的执法实践两个实施途径对美国证券法域外管辖权的行使进行深入研究,其中联邦法院的司法实践为本部分研究的重点,笔者进行了大量的案例分析,并对由司法实践过程中产生的域外管辖权标准进行了评价;美国证券交易委员会的执法实践主要通过对其规则制定权和调查执行权两个方面进行了考察。最后一部分阐述了美国证券法域外管辖权的行使带来的域外执行方面的冲突以及限制的必要性,并对美国证券法域外管辖权的限制措施进行了考察与探讨。
[Abstract]:With the development of economic globalization and the internationalization of the securities market, more and more securities trading activities have crossed national boundaries. In the process of transnational securities trading, there are often a variety of securities illegal behavior. In order to protect the integrity of domestic securities market and the need to protect the interests of investors, countries began to expand the scope of application of their securities laws, resulting in the issue of extraterritorial jurisdiction in securities laws. As a country that advocates extraterritorial jurisdiction in securities law, the United States has rich experience and research value in the theory and practice of extraterritorial jurisdiction of securities law. This paper takes the extraterritorial jurisdiction of American securities law as the research object, and probes into it through two aspects: the exercise and limitation of the extraterritorial jurisdiction of the securities law of the United States. This paper consists of three parts except introduction and conclusion. The first part defines and classifies the extraterritorial jurisdiction of the United States Securities Law, and expounds the reasons for the emergence of the extraterritorial jurisdiction of the United States Securities Law, as well as the theory and the basis of the articles. In the second part, through the judicial practice of the United States Federal Court and the law enforcement practice of the Securities and Exchange Commission of the United States, the author makes an in-depth study of the exercise of extraterritorial jurisdiction over the securities laws of the United States. The judicial practice of the Federal Court is the focus of this part, the author has carried on a large number of case analysis, and has carried on the appraisal to the extraterritorial jurisdiction standard produced by the judicial practice process; The law enforcement practice of SEC is mainly investigated from two aspects: the power of making rules and the power of investigation and enforcement. In the last part, the author expounds the conflict of the extraterritorial enforcement and the necessity of the restriction brought by the exercise of the extraterritorial jurisdiction of the securities law of the United States, and makes an investigation and discussion on the restrictive measures of the extraterritorial jurisdiction of the securities law of the United States.
【学位授予单位】：浙江工商大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D971.2;DD912.28

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