证券自律规则效力的司法审查  

Judicial Review of Legal Validity of Securities Self-Regulation Rules

作　　者：李志君 LI Zhijun(Law School,Dalian Minzu University,116600,Dalian,Liaoning,China)

机构地区：[1]大连民族大学法律系,辽宁大连116600

出　　处：《特区经济》2024年第1期49-52,共4页Special Zone Economy

基　　金：辽宁省社科规划基金一般项目“证券自律组织自律监管的正当程序问题研究”(L14BFX012)。

摘　　要：证券自律规则无论系行政规则属性抑或民事规则属性,司法实践中都绕不开对其效力的审查。司法审查存在宪法、行政法、民商法多个维度,基于自律规则的不同属性,司法审查可能采取行政诉讼或民事诉讼的方式。基于专业尊重的考量,司法审查应原则上穷尽自律组织内部救济,但行政救济不应作为诉讼的前置程序。司法审查应遵循合法性原则和正当程序原则,不同诉讼模式下对自律规则效力的司法审查存在不同效果。Whether it is an administrative rule or a civil rule,securities self-regulation rules cannot be separated from the review of their effectiveness in judicial practice.Judicial review has multiple dimen-sions:constitution,administrative law,civil and commercial law,based on the different attributes of self-regulation rules,judicial review may take the form of administrative litigation or civil litigation.Based on the consideration of professional respect,judicial review should,in principle,exhaust internal remedies of self-regulatory organizations,but administrative remedies should not be used as a pre litiga-tion procedure.Judicial review should follow the principle of legality and due process.There are different effects of judicial review of the effectiveness of self-regulatory rules under different litigation models.

关 键 词：证券自律规则 司法审查 法律效力 穷尽救济 

分 类 号：DF438.7[政治法律—经济法学]