美国证券仲裁制度研究

发布时间：2018-01-18 00:08

本文关键词：美国证券仲裁制度研究　出处：《贵州大学》2009年硕士论文　论文类型：学位论文

【摘要】： 中国的证券业在进入2000年以后发展势头突飞猛进,尤其进入2007年以及2008年的上半年,中国的证券业更是红火兴旺,百姓掀起了一浪高过一浪的炒股人潮。但是,在2008年底席卷世界的金融危机使中国证券业的发展受到严重考验,大量证券纠纷的出现,使法院不堪负累。加之证券纠纷本身的自由化和全球化,以及证券纠纷的复杂性和专业性,使得法院在解决纠纷时不尽人意。相比之下,远在大洋彼岸的美国,在解决证券纠纷时却显得游刃有余。原因很简单,因为美国拥有世界最为先进的解决证券纠纷的证券仲裁制度。虽然,中国仲裁贸易委会已经制定了《金融仲裁规则》,并且已经有一些城市建立了金融仲裁机构,开始少量的解决证券纠纷,但是,和美国证券仲裁制度相比,我国的证券仲裁还处在初级发展阶段,没有形成相应的制度体系,因此,笔者强烈建议仿效美国经验建立我国证券仲裁制度。本文共分为四章。第一章主要从美国证券仲裁的概述入手,介绍美国证券仲裁的概念、美国证券仲裁的范围以及美国证券仲裁制度的建立与演进。其中,最为重要的是笔者将以时间为主线介绍美国证券仲裁制度的发展历史,并引出美国证券仲裁史上最为重要的判例,为之后成功经验的借鉴打下伏笔。文章的第二章主要是从具体的介绍美国证券仲裁制度的相关机构和相关规则入手,并深入介绍美国证券仲裁与普通仲裁的不同之处即证券仲裁员和证券仲裁一般程序,以此来凸现美国证券仲裁制度的具体优势。文章的第三章是一个承上启下的过渡章节,重要性不容忽视。笔者在此总结出美国证券仲裁的具体特点,并且充分分析了美国证券仲裁制度成功的原因,为下文的具体借鉴作了整理归纳。本文的第四章,是文章的核心章节。笔者首先介绍了中国证券仲裁的现状,并在此基础上充分分析论证在中国建立证券仲裁的必要性和可行性。最后提出笔者的观点即明确中国证券仲裁制度的立法体例、相关法律规则的构建建议、建立中国证券仲裁机构、建立中国证券仲裁制度的监督体系以及如何更好的支持证券仲裁制度的建立和发展。最后,本文认为,证券仲裁法律制度对于构建我国证券争议解决机制具有重要的作用,其独特的意义和价值值得注意,我国应该下大力来开展相关研究和实践工作。
[Abstract]:In the first half of 2008 , China ' s securities industry has soared , especially in the first half of 2007 and in the first half of 2008 . However , China ' s securities industry has been severely tested by the financial crisis at the end of 2008 . In contrast , China ' s securities arbitration commission has set up financial arbitration rules , and has set up financial arbitration institutions to start small settlement of securities disputes . However , China ' s securities arbitration is still in the primary stage of development and has not formed the corresponding system system . This paper is divided into four chapters . The first chapter begins with the introduction of American securities arbitration , introduces the concept of American securities arbitration , the scope of American securities arbitration and the establishment and evolution of American securities arbitration system . The second chapter begins with the detailed introduction of the relevant institutions and relevant rules of the American securities arbitration system , and introduces the differences between the American securities arbitration and the ordinary arbitration , namely , the securities arbitrator and the securities arbitration general procedure , so as to highlight the specific advantages of the American securities arbitration system . The third chapter of this paper is a transitional section which is under the open and open , and the importance cannot be ignored . The author summarizes the specific characteristics of American securities arbitration , and fully analyzes the reasons for the success of the American securities arbitration system , and summarizes the specific references below . The fourth chapter of this paper is the core of the article . Firstly , the author introduces the current situation of China ' s securities arbitration and analyzes the necessity and feasibility of the establishment of securities arbitration in China . Finally , the author puts forward the author ' s viewpoint that the legislative body of China ' s securities arbitration system , the construction suggestion of relevant legal rules , the establishment of China ' s securities arbitration institution , the establishment of the supervision system of China ' s securities arbitration system and how to support the establishment and development of the securities arbitration system are better . Finally , this paper holds that the legal system of securities arbitration plays an important role in the construction of our country ' s securities dispute settlement mechanism , its unique meaning and value are worth noting , and our country should energetically carry out relevant research and practical work .

【学位授予单位】：贵州大学
【学位级别】：硕士
【学位授予年份】：2009
【分类号】：D971.2;DD912.28

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