美国禁止一般性劝诱规则研究——兼论我国禁止一般性劝诱规则的存废  

The US Ban Against General Solicitation: Concurrent Discussions on the Maintainance or Abolishment the Chinese General Ban Against General Solicitation

作　　者：陈颖健[1] 

机构地区：[1]上海政法学院,上海201701

出　　处：《证券市场导报》2017年第11期61-68,共8页Securities Market Herald

基　　金：上海市法学类高原学科金融法方向资助

摘　　要：美国禁止一般性劝诱规则发展和演进的过程表明,一个国家投资者的成熟程度和合格投资者制度的完善程度决定了禁止一般性劝诱规则作用和地位。这对我国完善证券私募制度具有重要的启示意义。在我国证券市场投资者普遍不成熟和合格投资者制度不健全的现状下,我国在证券私募领域必须坚持严格的禁止一般性劝诱规则。The evolvement of the US ban against general solicitation indicates that the sophistication of investors and the system of qualified investors determine the role and status of the ban against general solicitation. Due to the less sophistication of investors and the qualified investor institution in China, the ban against general solicitation should be maintained in the Chinese private placement regulation.

关 键 词：证券私募 一般性劝诱 投资者保护 私募基金 合格投资者 

分 类 号：DF438[政治法律—经济法学]