美國證券民事責(zé)任制度研究.pdf

1、復(fù)旦大學(xué)碩士學(xué)位論文美國證券民事責(zé)任制度研究姓名：鄭南琴申請學(xué)位級(jí)別：碩士專業(yè)：法律史指導(dǎo)教師：李昌道20030512AbstractAsasignificantcomponentofmarketeconomv’securitiesmarkethasplayedamoreandmoreimportantroleSecuritiesmarket’Svigororiginatesfromjnvestor’Sactiveparticipati

2、onProtectionofinvestor’SlegitimaterightsandinterestsisprerequisiteofestablishmentanddevelopmentofsecuritiesmarketManycountrieshaveregulatedthesystemofsecuritiescivilliabilitySOthatinvestor’Slegitimaterightsandinterestsco

3、uldberelievedlegallywhenencroachedonInChinasecuritiesindustryisanewlyemergingthingThefirststockexchangewasemergedin1990andthefirstSecuritiesActemergedin1998DuetonewbornsecuritiesmarketregulationsoncivilliabilityinSecurit

4、iesActwerequiteimperfectAccordinglyinvestor’SbenefitscouldnotbesatisfactorilyprotectedInthissenseitiSnecessaryforChinatousethesuccessfullegislationexperienceofothercountriesforreference，andconsummateitsownsecuritiescivil

5、liabilitysystemSecuritiesmarketintheUnitedStatesiSthemostadvancedonejntheworldanditscivilliabilitysysteminsecuritiesactsiSalsomostdevelopedTheperfectcivilliabilitysystemismadeupofaseriesoflaws，suchasSecuritiesActof1933，S

6、ecuritiesExchangeActof1934，InvestmentAdvisersACtof1940，SecuritiesInvestorProtectionActof1970，InsiderTradingSanctionsActof1984andInsiderTradingandSecuritiesFraudEnforcementActof1988AtthesametimetheUSSecuritiesandExchangeC

7、ommissionhasadaptedtonewproblemsinthepracticeofadministrativelegislationandenforcement，andmanyoriginalsettlementprogramstothesenewproblemshavebeenputforwardIntrialpractice，thejudgesarecogitativeandhavecreatedaseriesofcla

8、ssicalcasesthathavesubstantiallydevelopedthelegislationAsaresult，aseriesofstatues，casesandadministrativeregulationsconstitutealegalsystemwithcompactandmeticulousstructureUndoubtedly，theperfectlawhassetanexampleforsomecou