本文選題：新三板　切入點(diǎn)：證券市場　出處：《河北大學(xué)》2015年碩士論文　論文類型：學(xué)位論文

【摘要】：隨著新三板市場的建立、擴(kuò)容和逐步繁榮,我國多層次資本市場也處于不斷完善的過程之中,新三板市場作為一個年輕的市場擁有更多的活力,無論是做市商交易制度的引入,還是發(fā)行審核權(quán)利的下放都從新三板開始,新三板在我國證券制度改革的過程中發(fā)揮著試點(diǎn)作用。即為試點(diǎn),資本市場轉(zhuǎn)板制度的建立也將會從新三板開始,不論是輿論傾向還是具體制度的出臺,都證實(shí)了這一點(diǎn);與證券發(fā)行注冊制改革相伴走入學(xué)者視野的公開主義立法理念,從信息披露制度原理方面為新三板轉(zhuǎn)板制度構(gòu)建提供了理論基礎(chǔ);此外,證券市場監(jiān)管模式變革迫在眉睫,新的模式下將發(fā)揮市場規(guī)律的作用,以企業(yè)、行業(yè)自律為主,以行政、司法事后監(jiān)管為輔,為新三板轉(zhuǎn)板制度的建立與健全提供了優(yōu)質(zhì)的制度土壤。本文以我國新三板轉(zhuǎn)板法律制度為研究對象分四部分進(jìn)行論述,第一部分從基本概念、分類、原則等方面介紹了新三板轉(zhuǎn)板制度的基本問題;第二部分從宏觀、微觀兩個層面論述了在我國建立、健全新三板市場轉(zhuǎn)板制度的原因,并分析了目前新三板市場轉(zhuǎn)板制度建立的契機(jī);文章第三部分,從現(xiàn)行法律法規(guī)入手,分析了新三板市場與其他資本市場,主要是場內(nèi)交易市場之間的區(qū)別,介紹了我國現(xiàn)行的轉(zhuǎn)板制度;文章最后從解決轉(zhuǎn)板制度的主要障礙和具體制度設(shè)計兩個方面給出了建立、健全我國新三板市場轉(zhuǎn)板法律制度的建議。本文力圖構(gòu)建出一個建立在公開主義立法理念下的相對完善的新三板市場轉(zhuǎn)板法律制度,這一制度應(yīng)當(dāng)以證券發(fā)行注冊制為前提,依賴信息披露制度的完善,充分相信市場,避免行政的過度監(jiān)管與不適當(dāng)保護(hù)。
[Abstract]:With the establishment, expansion and prosperity of the new third board market, our multi-level capital market is also in the process of continuous improvement. As a young market, the new third board market has more vitality, whether it is the introduction of the market maker trading system. Or the decentralization of the issuing and auditing authority starts with the new three boards, which are playing a pilot role in the process of the reform of China's securities system. That is, for the pilot, the establishment of the capital market conversion system will also begin with the new third board. Whether it is the tendency of public opinion or the introduction of specific systems, it has been confirmed that the public legislation concept, accompanied by the reform of the registration system of securities issuance, has entered the field of vision of scholars. The theory of information disclosure system provides a theoretical basis for the construction of the new three-board system, in addition, the reform of the securities market regulatory model is imminent, and the new model will play a role of market law, mainly enterprise and industry self-discipline. The administrative and judicial supervision after the event provides a high quality system soil for the establishment and improvement of the new three-board system. This paper discusses the legal system of the new three-board system in four parts, the first part of which is based on the basic concept. In the second part, the author discusses the reasons of establishing and perfecting the system of the new three boards in China from the macro and micro aspects, such as classification, principle and so on. The third part of the article, starting with the current laws and regulations, analyzes the difference between the new third board market and other capital markets, mainly the OTC market. This paper introduces the current system of turntable in our country, and at last, it gives the establishment of the system from two aspects: the main obstacle of solving the system and the design of concrete system. This paper tries to construct a relatively perfect legal system of the new third board market, which is based on the idea of open legislation, which should be based on the registration system of securities issuance. Rely on the perfection of information disclosure system, fully trust the market and avoid excessive supervision and improper protection of administration.
【學(xué)位授予單位】：河北大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2015
【分類號】：D922.287

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本文編號：1569348