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1、中国与美国证券私募法律制度的对比研究 中国与美国证券私募法律制度的对比研究 Comparative Study on China Private Placement Law and U.S. Private Placement Law【中文摘要】 证券私募是当今社会经济中一种重要的融资方式,但是在我国证券私募的法律规定还处于一种缺失的状态,而现实中却已经有了很多类似于私募的经济现象。为了能构建出适合中国的完善的证券私募法律制度,借鉴当今证券私募法律制度最为完善的美国的相关经验成为了最好的方法。本文通过对中国与美国证券私募法律制度的对比研究,为构建中国的证券私募法律制度提出了相关的建议。本文在论
2、述过程中主要运用了比较分析研究法、实证分析研究法和案例分析研究法。本文的基本结构框架为引言、结论再加上正文的四章:引言部分介绍了本文选题的背景、原因、意义、典型性案例以及写作过程和论文的结构逻辑关系第一章:证券私募的相关概念界定。本章先是通过对证券、证券发行审核制度、注册豁免和证券私募发行这四个基本概念进行了分析界定,再通过对私募与非公开发行、小额发行、私募基金、非法集资与民事借贷这些相似概念进行区别分析,来明确私募法律制度中的这些基本概念内涵与外延,为接下来的研究奠定理论基础。第二章:中国建立证券私募法律制度的意义及现状分析。本章首先探讨了证券私募制度的法律价值,接着通过对私募本身的发展过程
3、的研究介绍了私募的优点,并结合中国的具体现状说明了私募对于中国经济发展的意义。最后本章对现今我国私募的相关实践进行了具体考察,不仅罗列了中国现实中所有与私募相关的实践行为和其所依据的法规,并且在对这些实践行为与法规进行分析后,得出了我国现阶段的私募制度处于一个探索发展阶段的结论。第三章:美国证券私募法律制度的构建过程。本章首先对美国证券法律制度中与私募相关的概念进行了介绍,在此基础上按照时间顺序详细的介绍了整个美国证券私募法律制度的构建过程,通过时间顺序的排列方式可以清晰而直观的了解到美国证券私募法律制度构建过程中的标准变化及理念变化的过程。最后对美国的证券私募法律制度构建过程进行了整体上的评
4、价。第四章:中国建立证券私募法律制度的思考与建议。本章首先对中国和美国私募法律制度从总体层面和具体层面进行了详细的对比分析,并通过中美私募的对比来分析中国的私募前景。最后在基于上述研究的基础上提出了在证券定义、审核制度和豁免制度、发行人的资格标准、私募对象的资格标准及人数、私募规则的制定主体、私募证券的转销售规则、反欺诈条款和证券民事责任等八个方面的完善我国证券私募法律制度建设的建议。结论部分:结论对全文的内容进行了概括性总结,强调了在我国现实急需证券私募法律制度的情况下,应该通过借鉴美国证券私募法律制度构建的经验与对我国现实状况的实践分析,来构建出完善的适合我国的证券私募法律制度。【英文摘要
5、】 The Private placement is a important financing method nowadays. However,private placement legislation is far from perfect in China,while economic phenomenon similar with privet placement has already rise actually.It would be an ideal way to study U.S.private placement law experience which develop
6、most in the world,in order to outline Chinas relevant law.This thesis aims to give some suggestions on China private placement legislation by the Comparative Study on China Private Placement Law and U.S.Private Placement Law.Comparative and comparison study,empirical analysis and case analysis are t
7、he principal methods applied to the demonstration process in the thesis.The basic structure of the these includes the introduction,the body consisted of five chapters and the conclusion.Chapter 1:The definition of private placement.In this chapter, firstly the writer has analyzed the definitions of
8、security,private placement and exempted from registration.Secondly,the writer has outlined and discussed a series of similar concept including private placement,public offering,small issue and private offered fund by comparison study method so as to lay the theoretical foundation for further study i
9、n the next chapter.Chapter 2:The analysis on the meaning and present situation of China private placement legislation.In this chapter,firstly the writer has discussed the legal significance of private placement.Secondly the writer has explained the advantages of private placement with the study on t
10、he develop process of private placement,and has discussed the economic significance of private placement under Chinas contemporary situation. Thirdly the writer has specifically studied private placement practice in China by enumerating and analyzing all private placement activities and relevant reg
11、ulations in China and has made the conclusion that Chinas private placement law is still in chaos at present.Chapter 3:The construction process of U.S.private placement law. In this chapter,firstly the writer has explained the construction process of U.S.private placement law chronically on the basi
12、s of a brief introduction to the concept of private placement in U.S.security law.So it is presented directly and clearly that how the standard and philosophy changed during the construction process of U.S.private placement law.Secondly the writer has commented on the construction process of U.S.pri
13、vate placement law.Chapter 4:Opinions and suggestions on China private placement law construction.In this chapter,firstly the writer has particularly made a comparison on the system for examining and verifying the issuance of securities,the different types of securities and the respective definition
14、s,the definition of private placement and the private placement practice based on the prior introduction to private placement in China and U.S.Secondly the writer has made the conclusion that it is possible for China to construct mature private placement law system in the future.the writes has given
15、 his suggestions about private placement legislation on security definition, examining and verifying the issuance of securities,exemption from registration,distributor qualification,the object qualification of private placement and the legislator of private placement.Conclusion:The conclusion portio
16、n has generalized and summarized the thesis main idea,and has emphasized the necessary to learn from U.S. private placement experience and combined Chinas situation in order to construct Chinas private placement law in respond to the urgent need in China at present. 【中文关键词】 证券; 私募发行; 注册豁免; 私募发行对象 【英
17、文关键词】 security; private placement; exempted from registration; object of private placement 【毕业论文目录】摘要 4-6 ABSTRACT 6-7 引言 10-13 第一章 证券私募的相关概念界定 13-20 一、概念定义 13-16 (一) 证券 13 (二) 证券发行审核制度 13-14 (三) 注册豁免 14 (四) 证券私募发行 14-16 二、相关概念的区分 16-20 (一) 证券私募发行与非公开发行 16 (二) 证券私募发行与小额发行 16 (三) 证券私募与私募基金 16 (四) 证券私
18、募与非法集资、民事借贷 16-20 第二章 中国建立证券私募法律制度的意义及现状分析 20-29 一、证券私募制度的法律价值 20-21 (一) 证券私募制度的效率价值 20 (二) 证券私募制度的公平价值 20-21 二、私募的意义 21-24 (一) 私募的起源 21-22 (二) 私募的优势 22-24 三、我国私募的现状 24-29 第三章 美国证券私募法律制度的构建过程 29-42 一、美国证券制度相关背景 29-30 (一) 注册制 29 (二) 豁免制度 29-30 (三) 证券范围 30 二、制度构建过程 30-40 三、对美国证券私募法律制度构建过程的评价 40-42 第四章
19、 中国建立证券私募法律制度的思考与建议 42-57 一、中美私募法律制度的对比分析 42-50 (一) 总体层面的对比分析 42-44 (二) 具体层面的对比分析 44-49 (三) 通过中美私募的对比来分析中国私募的前景 49-50 二、对于建立我国证券私募法律制度的建议 50-57 (一) 完善中国证券法中证券的定义和种类 50-51 (二) 完善中国证券审核制度和豁免制度 51-53 (三) 完善证券私募中发行人的资格标准 53 (四) 完善证券私募中私募对象的资格标准 53-54 (五) 完善证券私募中私募对象的人数标准 54-55 (六) 完善私募规则的制定主体的关系 55 (七) 完善反欺诈条款和证券民事责任 55-56 (八) 完善私募证券的转销售规则 56-57 结论 57-59 参考文献 59-60
