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Analysis on the Legal Problems of Securities Exchange

Abstract

证券交易所是有组织的进行证券集中交易的场所和证券市场的一线监管者,居于证券交易的枢纽和核心地位。证券交易所是证券市场中最主要的自律组织,以证券交易所为核心所形成的证券市场是一国重要的财富。2005年10月27日颁布的新《证券法》使得我国理论界和实务界对证券交易所相关问题的讨论再次掀起热潮。本文顺应这个潮流,结合新《证券法》的规定,针对证券交易所的组织模式、自律监管以及与上市公司、会员公司的关系等问题进行讨论,对当前证券交易所的改革实践发表自己的见解。本文除前言与结论外共分四章:第一章阐述了证券交易所的一些相关的基本理论。首先介绍证券交易所两大基本组织模式:会员制证券交易所以及公司制证券交易所,...Securities exchanges are the places at which centralized trades of securities are carried out in an organized way and are the front line regulator of security market. Securities exchanges are the most important self-discipline organization in the security market. The security market which is formed by taking the securities exchanges as the cores is important treasure of a country. The new Security...学位:法学硕士院系专业:法学院法律系_民商法学(含劳动法学、社会保障法学)学号:20030806

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