论证券之“思想”与“表达”  

On the “Idea”and “Expression”of Securities

作　　者：李振宁[1] 

机构地区：[1]中国人民大学法学院,北京100872

出　　处：《商业研究》2014年第11期179-184,共6页Commercial Research

基　　金：中国人民大学科学研究基金(中央高校基本科研业务费专项资金资助)项目;项目编号:14XNH018

摘　　要："思想与表达二分"是著作权法中的一项重要原则,在方法论意义上提供了将权利的内容与形式加以区分的研究方法。对于证券而言,其"思想"即证券权利,其"表达"即证券的表彰方式。在实物证券时期,证券的"思想"与"表达"具有一体性,可以用对实物"券"的物权保护方式来保护证券。无纸化证券改变了传统的证券"表达方式",证券账户成为证券的权利凭证而具有系统重要性。在无纸化证券环境下,应以证券账户为核心创制保护账户持有人权益、保证证券权利流转的证券法制。The theory of “idea-expression dichotomy” is an important principle in the field of Copyright Law , which, in the sense of methodology , provides a research method to distinguish the content and the form of rights .For securities, the“idea” is securities right , the “expression” is the way that represents securities .In the era of physical securities , securities′“idea” and “expression” have oneness , the protection of securities could be realized through the protection of coupons with Property Law .Paperless securities changes the traditional “expression” of securities , securities account becomes the document of title with systematic importance , there should be a securities legal system with the core of securities account to protect securities account holder′s rights and interests and guarantee the transfer of securities rights .

关 键 词：思想与表达二分法 证券权利 权利凭证 证券账户 

分 类 号：F830.91[经济管理—金融学]