美国封闭公司立法研究

发布时间：2018-01-20 09:58

本文关键词： 美国封闭公司封闭公司立法公司法　出处：《中国政法大学》2011年硕士论文　论文类型：学位论文

【摘要】：在美国,封闭公司是早期公司的基本形式。随着社会化大生产和十九世纪末二十世纪初的公司大合并运动,大型公众公司不断涌现,并凭借其巨大的经济效益和代表的公众利益逐渐成为公司法的宠儿,而封闭公司则变成“公司法的孤儿”。直到半个多世纪前,判例法才首先发现封闭公司的特殊性。随后各州立法机构各出奇招,将封闭公司融入普通公司法。本文首先回溯美国公司发展历史及立法沿革,继而探索各州封闭公司立法现状,试图发现隐藏在繁杂法律条文下的封闭公司立法的宗旨和理念,为我国封闭公司的立法改革提供借鉴。本文具体分为引言和五章: 引言是本文研究起源、研究意义的初步探讨,及美国与中国对封闭公司研究情况的简单介绍。第一章是封闭公司概述,包括两节:第一节是封闭公司的概念、特点及与类似企业组织形式的比较;第二节则结合封闭公司的特点谈研究意义。第二章是美国公司立法沿革,根据公司设立原则,分为两节。第一节是特许设立时期的“公司”法律——“公司”的设立依据是特许状,“公司”的突出特点是独立于成员永久存续,但其成员不享有有限责任;第二节是准则设立时期的公司立法,包括现代商事公司初期的立法和封闭公司立法的背景,展示法律适合、不适合又适合封闭公司的三个不同历史阶段。第三章是封闭公司立法现状,由三节组成:立法模式、立法侧重和立法的问题。第一节将美国五十个州的立法模式分为三类——统一调整模式,分散调整模式和专章调整模式,阐明各模式的特点、使用情况和优缺点;第二节从公司内部治理特殊性出发,阐述各模式在公司机关设置、议事方式和股东关系安排和僵局解决三方面的规定,展示美国公司立法适应封闭公司需求的制度设计,体现公司法对封闭公司人合性和股东自治的尊重;最后一节则揭示封闭公司立法过分注重内部治理可能带来的外部问题。第四章是对中国立法的借鉴。首先对比中美公司分类,继而根据第三章第二节阐述的三方面,分析我国公司法对有限责任公司和非上市股份公司的规定,指出问题、提出建议。第五章对全文进行总结,指出美国封闭公司立法的特点、不足及启示。
[Abstract]:In the United States, closed companies were the basic form of early companies, with the emergence of large public companies as a result of socialized mass production and the corporate merger movement in late 19th century and early 20th century. And with its enormous economic benefits and on behalf of the public interest gradually become the favorite of the Company Law, and closed companies become "orphans of the Company Law" until more than half a century ago. Case law first found the particularity of closed company. Then the legislature of each state took extraordinary measures to incorporate the closed company into ordinary company law. Firstly, this paper traces back to the history and legislative evolution of American companies. Then it explores the current state of the state closed company legislation, trying to find the hidden in the complicated legal provisions of closed company legislation purposes and ideas. This article is divided into two parts: introduction and five chapters. The introduction is a preliminary discussion of the origin and significance of this study, and a brief introduction to the study of closed companies in the United States and China. The first chapter is an overview of closed company, including two sections: the first section is about the concept of closed company, the characteristics of closed company and the comparison with similar enterprise organization form; the second section discusses the significance of research combined with the characteristics of closed company. The second chapter is the evolution of American company legislation, which is divided into two sections according to the principle of company establishment. The first section is the foundation of "company" law-"company" during the period of franchise establishment. The outstanding feature of "company" is that it is independent of the permanent existence of its members, but its members do not enjoy limited liability; The second section is the company legislation during the establishment of the standard, including the background of the initial legislation of the modern commercial company and the legislation of the closed company, showing that the law is suitable, not suitable and suitable for the three different historical stages of the closed company. The third chapter is the current situation of closed company legislation, which consists of three sections: legislative model, legislative emphasis and legislative issues. Decentralized adjustment model and chapter adjustment model, clarify the characteristics of each model, the use of the situation and advantages and disadvantages; The second section starts from the particularity of the company's internal governance and expounds the three provisions of each mode in the establishment of the company's organs, the way of discussion, the arrangement of shareholder relations and the settlement of the deadlock. To show the system design of American company legislation to meet the needs of closed company, and to show the respect of company law to closed company's personality and shareholder's autonomy; The last section reveals that closed company legislation pays too much attention to external problems caused by internal governance. Chapter 4th is the reference to Chinese legislation. Firstly, it compares the classification of Chinese and American companies, then according to the three aspects elaborated in the second section of Chapter 3, it analyzes the provisions of China's Company Law on limited liability companies and non-listed joint stock companies. Point out the problem and make suggestions. Chapter 5th summarizes the full text, pointing out the characteristics, deficiencies and enlightenment of American closed company legislation.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D971.2;DD912.29

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