探讨抢先交易中投资者权益保护问题

发布时间：2018-05-02 04:35

本文选题：抢先交易操纵行为 + 投资者权益保护　；参考：《首都经济贸易大学》2013年硕士论文

【摘要】：近年来，抢先交易操纵案件在证券市场层出不穷，但“黑嘴”股评人受到的往往只是行政或刑事处罚，中小投资者因误信“黑嘴”荐股而受到的经济损失尚无法得到补救，这不仅严重影响了中小投资者的信心，还影响了我国证券市场的健康、长远发展。本文通过比较研究、举例研究等方法，旨在探寻在抢先交易操纵案件中，如何有效保护中小投资者的合法权益。文章共分为五个部分：第一部分对抢先交易操纵的概念进行了界定，交代了研究问题的背景，阐明了本研究的目的、意义和基本思路。第二部分是抢先交易行为概述，，交代了这一行为的特点及相关法律规定。第三部分分析了在抢先交易行为中，投资者诉讼索赔难的现状及原因。第四部分是关于在抢先交易行为中，保护中小投资者合法权益必要性和解决措施的分析。第五部分综合整篇文章的观点和论述，形成了结论，并指出了研究的不足。证券市场是信心市场，中小投资者是证券市场健康、长远发展的动力源泉，在证券投资过程中，切实保护投资者合法权益意义重大，我希望本文能够起到抛砖引玉的作用，为这一问题的研究尽绵薄之力。
[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.
【学位授予单位】：首都经济贸易大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287

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