我國(guó)證券商經(jīng)紀(jì)業(yè)務(wù)監(jiān)管法律問(wèn)題研究.pdf

1、山西財(cái)經(jīng)大學(xué)碩士學(xué)位論文我國(guó)證券商經(jīng)紀(jì)業(yè)務(wù)監(jiān)管法律問(wèn)題研究姓名：張學(xué)鋒申請(qǐng)學(xué)位級(jí)別：碩士專(zhuān)業(yè)：@指導(dǎo)教師：張旭娟2007我國(guó)證券商經(jīng)紀(jì)業(yè)務(wù)監(jiān)管法律問(wèn)題研究 II Abstract The article is divided into four parts : The first part is the theoretical basis of stockbrokering regulation.In t

2、he part,an analysis about the law and economic basis of securities firms stockbrokering regulation is made, which shows that our securities firms stockbrokering regulation has a profound theoretic

3、al basis. First, on the basis of the analysis of stockbrokering market’ s “market failure“,we think that the stockbrokering mark et needs administrative intervention.Second, through the analysis of

4、 order, equity, efficiency of the legal system of securities firms stockbrokering regulation and its attributes of social law, we think that there is a solid legal theoretical basis for securiti

5、es firms stockbrokering regulation. The second part is an analysis of stockbrokering violations. First, a detailed analysis of the type of stockbrokering violations is made.Second,five causes of stockbrok

6、ering violations are analyzed.Finally,the violations are analyzed from the perspectives of investors, dealers, capital market and society. The third part is an analysis of status and problems of stockbr

7、okering regulation.The part is divided into two parts.First,a summary analysis about the legal system and pratice of stockbrokering regulation is made.Second,there is a detailed analysis about the problems

8、 of the legal system and pratice of stockbrokering regulation. Part IV is the legal response to the securities firms stockbrokering regulation. In this part,six suggestions are put forward against the p