美国证券法

美国证券法强制披露制度的经济分析

An Economic Analysis on the Mandated Disclosure System in American Securities Law

论美国证券法的域外适用及其必然性

The Extraterritorial Application of the Securities Laws of the USA and its Inevitability

美国证券法中的控制人责任

Control Person Liability of American Securities Laws

第四-七章的目的在于揭示美国证券法域外管辖权实践及其法理。

Chapter 4-7 centers on the extraterritorial jurisdiction practices of the United States insecurities laws .

美国证券法与萨班斯法的比较研究&基于注册会计师法律责任视角

Comparative Research on Securities Law and Sarbanes Oxley Law & Based on CPA 's legal responsibility perspective

美国证券法对衍生交易市场风险披露的监管及借鉴&以SEC305规则体制的监管要求为视角

Supervision of Disclosure of Financial Derivatives ' Market Risk in American Securities Law and its Implication for China

信息披露制度作为证券法最为重要的一项制度，肇始于英国，也是证券法最发达的国家&美国证券法的核心。

As one of the most important system in Securities Law , Disclosure System of Information could be trailed back to Britain .

作为协议的一部分，摩根大通将向房利美和房地美公司支付40亿美元，以解决其违反美国证券法的指控。

As part of the agreement , JP Morgan will pay 4 billion dollars to Fannie Mae and Freddie Mac to settle claims that it violated US securities law .

在美国证券法确立以来，短线交易归入权制度纷纷为其他国家和地区证券立法所借鉴。

Since liability for short-swing trading profits was set up in Securities Exchange Act of USA , it has been used for reference by many states or local security legislations .

第三章详细介绍了莫里森案及其法院裁决，并总结了该案对美国证券法域外管辖司法判例的改革和发展。

Chapter ⅲ gave a detailed introduction of the Morrison case and its judicial rulings , as well as the reformation and development it had upon the extraterritorial jurisdiction system .

在美国证券法中，域外管辖权具有立法、司法和行政上的三层含义，其中司法管辖权和立法管辖权是美国法院拓展其对涉外证券诉讼管辖范围的最主要依据。

In the American security law , extraterritorial jurisdiction has meanings of legislative jurisdiction , judicial jurisdiction and administrative jurisdiction , among which the subject matter jurisdiction of judicial jurisdiction is a key part .

自美国证券法颁布以来，审计独立性一直是会计职业界、学术界和证券市场监管界普遍关注的热点问题。

Since the American securities law has been put out , auditor independence is all along the hot question which the accountant professional , academe and securities supervising department generally put great attention to .

本文在深入分析美国证券法和各种司法判例的基础上创造性提出了信息披露民事责任的构成要件为适格的责任主体、证券信息的重要性和因果关系三方面。

In this part , author creatively put forwards the constitution requisites of civil liability concerning disclosure are proper liability subjects , materiality of information and causation on the basis of deep analysis of U.S statutory regulation and case law .

诉讼方式上可以效仿美国证券法上的集团诉讼制度。一方面保护了投资者的合法权益不受侵害，另一方面也是一种规制违法行为有效的方法。

The class action which is originated from USA would be a good choice in lawsuit mode . On the one hand protection legitimate rights and interests of investors are not violated , on the other hand is also a regulatory offense effective .

他还支持废除美国证券法中关于评级机构在证券承销前的评级免受投资者诉讼的保护条款，目前，他们受到的保护比银行或会计师大得多。

He also argues in favour of removing the protection that ratings agencies enjoy under US Securities Law from investor lawsuits relating to securities they rate before they are underwritten . At the moment , they are far more protected than banks or accountants .

在这部分中，通过对美国证券法对发行市场的虚假陈述的民事责任的研究中，确立并完善我国证券发行市场的虚假陈述的民事责任的构成要件和民事赔偿。

Through the research work of America 's Security Legislations governing civil liability of misstatement in the security issuing market , the author defines the constitutive requirements that lead to the identification of civil liability of misstatement and associated civil compensation in China 's security issuing market .

1934年美国证券交易法对非雇员董事作了如下定义，目前不是股票发行者的雇员，除了作为董事以外不直接或者间接的获得报酬。

The Securities Exchange Act of1934 defines a non-employee director as one who is not currently employed by the stock issuer , the person does not receive compensation directly or indirectly other than as a director .

通过探究美国联邦证券法对委托书征集界定适当收缩背后的社会经济背景，分析其立法政策的转变，并由此提出我国立法界定委托书征集应采取的方案。

Analyzing the social and economic background for the " proper shrinkage " in defining " proxy solicitation ", the author interprets the conversion of legislative policies underpinning this phenomenon and gives some advice for our legislation .

SOX法案是美国公司法和证券法的新发展，强调了公司内部控制的重要性。

The introduction of SOX Act is a new development of company laws and securities laws in the United States . This paper introduces the background of its origination , analyzes its sections on internal control .

美国《1933年证券法》明确了政府在金融市场中职能、作用的定位。

The status of government 's function in the financial market had been established by Securities Law in 1993 of America .

美国是世界上证券法最为完善和健全的国家，其规制内幕交易立法也是最早的。

The United States is the country with the most advanced and complete securities laws in the world and it is also the first to start regulating inside trading .