我国场外交易市场做市商监管法律问题研究

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1、上海交通大学硕士学位论文我国场外交易市场做市商监管法律问题研究姓名：宋杰申请学位级别：硕士专业：法律指导教师：许多奇20081130ShanghaiJiaoTongUniversityMaster’sThesisAbstractSTUDYONLEGALISSUEINMARKETMAKERSUPERVISIONOFCHINESEOVERTHECOUNTERMARKETABSTRACTAmaturesecuritiesmarketsystemshouldbeformedonthebasisofcomplementary

2、StockExchangemarketandtheOTCmarketwhichsupplementeachotherandmeetmulti-levelmarketdemandsofdifferentmarketparticipants.TheconstructionoftheOTCmarketisthekeylinktosetupthemulti-levelmarketinourcountry,butit'sstillamarketindesigning.Studyingonanddrawingfromother

3、country'ssuccessfulexperiencesofoperatingOTCmarket,andprobingintoasetoftheoperatingmodewithcharacteristics,andespeciallyintheaspectoftheexchangesystem,throughtheexplorationandpracticingoftheseyears,wecanpredictthattheintroductionofthemarket-makingsystemwillbea

4、ninevitabletrend.Butinourcountry，thescholars'currentlyresearchconcerningfieldmarketwithdiplomacyisaneconomicsbasicallyof,butseldomastoit'sdoessomeonecarryonaresearchfromthesupervisionangleoflaw.IIShanghaiJiaoTongUniversityMaster’sThesisAbstractInthisarticle,th

5、ecomparativeresearchmethodisappliedasthemainmethod.Accordingtothethinkingfromabstracttospecific,Ifirstintroducethedefinitionandfunctionofthemarket-makingsystemandbrieflyanalyzethenecessityofintroducingthemarket-makingsystemtotheOTCmarket.Consideringthepractice

6、sofChineseOTCmarketandthecorrespondinglegislation,Iputforwardseveralsupervisionlegalsystems,inthelightofthelegalsystemoftheU.S.OTCsecuritiesmarket.Thelegalsystemincludesqualification,behaviorofoperatingandriskregulation.Hopemyresearchwilloffernewthoughtforthed

7、evelopingofdepartmentofsupervisionandthetradersofourcountry.KEYWORDS:overthecountermarket,marketmaker,supervision,theSecuritiesAssociation,self-regulationIII上海交通大学学位论文原创性声明本人郑重声明：所呈交的学位论文，是本人在导师的指导下，独立进行研究工作所取得的成果。除文中已经注明引用的内容外，本论文不包含任何其他个人或集体已经发表或撰写过的作品成果。对本文

8、的研究做出重要贡献的个人和集体，均已在文中以明确方式标明。本人完全意识到本声明的法律结果由本人承担。学位论文作者签名：宋杰日期：2009年2月2日上海交通大学学位论文版权使用授权书本学位论文作者完全了解学校有关保留、使用学位论文的规定，同意学校保留并向国家有关部门或机构送交论文的复印件和电子版，允许论文被查阅和借阅。本人授权上海交通大学可以将本学位论文的全部