论证券自律规则的法律属性  

Research on the Legal Attribute of the Securities Self-regulation Rule

作　　者：李志君 张夫兰 LI Zhi-jun;ZHANG Fu-lan(College of Chinese and Law,Dalian Minzu University,Dalian Liaoning 116605,China)

机构地区：[1]大连民族大学文法学院,辽宁大连116605

出　　处：《大连民族大学学报》2019年第2期163-167,180,共6页Journal of Dalian Minzu University

基　　金：辽宁省教育厅人文社会科学研究一般资助项目(W2015088);辽宁省社会科学规划基金资助项目(L14BFX012)

摘　　要：证券自律规则法律属性的判断取决于证券自律管理权系公权力抑或私权利的认识。证券监管部门的审批不会使得自律规则成为规章,但经证券监管部门审批的规则具有了准行政规范性文件的属性,应经证券监管部门审批而未审批的证券自律规则不具有法律效力。无需审批的证券自律规则具有民事规则的属性,但实践中哪些自律规则需经审批还需进一步界定。The judgment of the legal attribute of the securities self-regulation rule depends onthe securities self-regulation rule depends on the attribute of the securities self-regulation right. The approval of the securities regulatory authorities will not make the self-regulatory rules which is for the administrative regulation, but the rules approved by the securities regulatory authorities have the attributes of quasi-administrative normative documents. Securities self-regulation rules that have not been approved by the securities regulatory authority have no legal effect. Securities self-regulation rules that do not require approval are civil rules, but in practice, which self-regulation rules need to be approved still need to be further defined.

关 键 词：证券自律规则 法律属性 准行政规范性文件 民事规则 

分 类 号：DF438.7[政治法律—经济法学]