我国《证券法》修改背景下“证券”概念的界定

发布时间：2018-03-20 10:43

本文选题：证券　切入点：立法模式　出处：《广西大学》2017年硕士论文　论文类型：学位论文

【摘要】：我国现行《证券法》在对“证券”一词的界定上狭窄有余而宽放不足,已经无法满足我国资本市场发展的需求,给我国投资者权益的保护、资本形成机制的效率、监管体系的架构等等带来了负面的影响,此次《证券法》的修订,扩大“证券”的概念已经成为必然。本文首先回顾了学界在1998年《证券法》立法过程中存在的争论并结合立法界对“证券”概念的不同意见,评析现行《证券法》中“证券”的范围,详细阐述界定“证券”这一概念的意义;然后对域外的立法模式以及立法内容进行分析,结合我国证券市场的实际,找出界定“证券”这一概念的方法:在立法模式上,我国应在类型化列举的同时加上概括性的描述;在立法内容上,应该将各种债券统一纳入《证券法》,增加集合投资计划份额、融资性票据、资产支持证券、证券衍生品以及投资合同证券,并将授权条款更改为证监会认定,国务院批准的形式。
[Abstract]:The current Securities Law of our country has more than a narrow definition of the term "securities", which can no longer meet the needs of the development of the capital market in our country, and gives protection to the rights and interests of investors and the efficiency of the capital formation mechanism in our country. The structure of the regulatory system and so on has had a negative impact. This revision of the Securities Law, It is inevitable to expand the concept of "securities". Firstly, this paper reviews the controversy existing in the legislative process of the Securities Law in 1998 and combines the different opinions of the legislative circles on the concept of "securities". This paper analyzes the scope of "securities" in the current Securities Law, expounds in detail the significance of defining the concept of "securities", and then analyzes the legislative models and contents of the legislation abroad, combining with the reality of the securities market in our country. Find out the method of defining the concept of "securities": in the legislative model, we should add a general description along with the typological enumeration, and in the legislative content, All kinds of bonds should be unified into the Securities Law to increase the share of pooled investment plans, financing instruments, asset-backed securities, securities derivatives, and investment contract securities, and to change the terms of authorization to be determined by the Securities Regulatory Commission. The form approved by the State Council.
【学位授予单位】：广西大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

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