本文選題：證券市場 + 中小投資者　； 參考：《新疆財(cái)經(jīng)大學(xué)》2013年碩士論文

【摘要】：證券市場是資本市場的有機(jī)組成部分,證券市場為一國實(shí)體經(jīng)濟(jì)發(fā)展注入了活力,也是一國居民投資的有效途徑。一國證券市場發(fā)展成熟與否直接關(guān)系到一國經(jīng)濟(jì)的發(fā)展?fàn)顩r。國務(wù)院總理溫家寶在2010年政府工作報(bào)告中強(qiáng)調(diào)要不斷改進(jìn)人民群眾的收入構(gòu)成,增加居民財(cái)產(chǎn)性收入。我國證券市場全面建設(shè)于1990年,經(jīng)過20多年的發(fā)展在取得了成就的同時(shí)也存在許多缺點(diǎn)和不足。我國借鑒西方資本市場的經(jīng)驗(yàn)建造了自己的證券市場,希望通過證券市場可以為企業(yè)發(fā)展以及居民投資提供更多的融資投資渠道,以適應(yīng)企業(yè)多元化發(fā)展需要和居民多樣化投資的需要。20年證券市場發(fā)展給企業(yè)帶來更多便利融資的同時(shí)由于體制的不健全也導(dǎo)致我國中小投資者權(quán)益不斷遭受侵害。隨著我國金融體系改革的深化和創(chuàng)新,改革證券體制深化制度創(chuàng)新勢在必行。 本文主要從我國目前證券市場背景出發(fā),探討我國證券市場存在的問題,研究導(dǎo)致這些問題的深層次經(jīng)濟(jì)原因,并借鑒國外資本市場經(jīng)驗(yàn),從法律制度出發(fā)提出規(guī)范證券市場保護(hù)我國中小證券投資者合法權(quán)益的措施。 全文共分為四個(gè)部分：第一部分主要基于法律依據(jù)對我國證券市場的發(fā)展作了介紹,并對證券市場上中小投資者的概念以及權(quán)益的內(nèi)涵作了界定。對我國證券市場的發(fā)展論述以及相關(guān)概念的界定對于文章的闡述更為有益。 第二部分主要根據(jù)我國目前證券市場中小投資者的權(quán)益受侵害狀況進(jìn)行分析,研究受侵害的原因以及從經(jīng)濟(jì)學(xué)以及法學(xué)的角度分析產(chǎn)生這些侵害的具體原因是什么。 第三部分主要從比較視角的角度介紹了國外發(fā)達(dá)證券市場在中小投資者權(quán)益在立法、司法以及其他方面獲得保護(hù)等方面的經(jīng)驗(yàn)。 第四部分主要針對上述出現(xiàn)的侵害中小證券投資者權(quán)益的問題借鑒國外保護(hù)投資者權(quán)益的經(jīng)驗(yàn),主要從司法制度、舉證責(zé)任、完善監(jiān)管等方面提出符合我國保護(hù)投資者權(quán)益的建議。
[Abstract]:The securities market is an organic part of the capital market. It has injected vitality into the development of a country's real economy and is also an effective way for the residents of a country to invest.The maturity of a country's securities market is directly related to the development of a country's economy.In his 2010 government work report, Premier Wen Jiabao stressed the need to continuously improve the income composition of the people and increase property income.The stock market of our country was built in 1990. After 20 years of development, it has made many achievements, but also has many shortcomings and shortcomings.China has built its own securities market by using the experience of western capital markets for reference, hoping to provide more financing and investment channels for the development of enterprises and residents' investment through the securities market.In order to meet the needs of diversified development of enterprises and diversified investment of residents, the development of securities market for 20 years has brought more convenient financing to enterprises, at the same time, because of the imperfect system, the rights and interests of small and medium-sized investors in our country have been continuously infringed.With the deepening and innovation of China's financial system reform, it is imperative to reform the securities system.Based on the background of China's current securities market, this paper probes into the existing problems in China's securities market, studies the deep-seated economic reasons leading to these problems, and draws lessons from the experience of foreign capital markets.Based on the legal system, this paper puts forward some measures to standardize the securities market and protect the legal rights and interests of the small and medium-sized securities investors in our country.The paper is divided into four parts: the first part mainly introduces the development of China's securities market based on the legal basis, and defines the concept and the connotation of the rights and interests of the small and medium-sized investors in the securities market.It is more beneficial to expound the development of China's securities market and the definition of related concepts.The second part is mainly based on the analysis of the infringement of the rights and interests of the small and medium-sized investors in the current securities market in China, and studies the causes of the infringement and what are the specific reasons for the infringement from the angle of economics and law.The third part mainly introduces the experience of foreign developed securities markets in legislation, judicature and other aspects of protection of the rights and interests of small and medium-sized investors from the perspective of comparison.The fourth part mainly aims at the above problems of infringing the rights and interests of small and medium-sized securities investors, mainly from the judicial system, the burden of proof from the experience of foreign countries to protect the rights and interests of investors.Perfect supervision and other aspects put forward in line with China's protection of investors' rights and interests of the recommendations.
【學(xué)位授予單位】：新疆財(cái)經(jīng)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.287;D923

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