證券交易法之規範內容及體系～以規範目的之貫串為中心

The Content and System of Securities Exchange Law-The Legislative Purpose of the Securities Exchange Law as the Center

李永瑞(Yung-Ruey Lee)

《國立臺中科技大學通識教育學報》 2期 (2013/12) Pp. 109-129

https://doi.org/10.7052/JGE.201312_(2).0006

摘要

證券交易法乃就公司企業透過公開發行股票、債券等有價證券向投資大眾募集公司營運所需資金，依此直接金融形成證券市場、資本市場，所為的規範。既然證券交易法其規範目的在維持證券市場之健全發展，俾保障投資並發展國民經濟，則證券交易法之規範內容，即應對此設立制度規範，加以適當規範。如有證券市場參與人違反此等制度規範者，必要時即應予以制裁課予責任，自應有制裁規範的配套措施。本文即擬藉證券交易法之規範目的的核心精神，就其制度規範、制裁規範之規範內容的貫串考察，期能彰顯出證券交易法的規範體系，並藉其規範效果的簡要檢討，期能對證券交易法的規範方式賦予展望。

關鍵字

資本性有價證券 ； 保障投資 ； 發展國民經濟 ； 證券市場健全發展 ； 資訊公開 ； 禁止欺騙

並列摘要

The Securities Exchange Act is the norm which regulate companies public offering his shares, bonds and other securities to the public investors through this direct financial form to raise funds in the Securities market (i.e. Capital market). Since the legislative purpose of the Securities Exchange Law is maintain the securities market sound to protect the public investors and promote the national economic development, the Securities Exchange Law should establish the content regulations and sanction regulations. Any securities market participants who violate these regulations, if necessary there shall be sanction regulations to make him responsible for it. This article intends to inspect these content regulations and sanction regulations throughout the legislative purpose of the Securities Exchange Law to highlight the framework of the Securities Exchange Law, and inspect its actual effect, hoping to give prospect on the legislative means of the Securities Exchange Law.

並列關鍵字

Capital Securities ； the protection of Investors ； the promotion of National Economic Development ； Maintain the Securities Market Sound ； Disclosure ； Anti-Fraud

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