本篇论文目录导航：
【题目】自律监管在中国证券市场中的应用
【第一章】证券业自律监管制度探究引言
【第二章】证券市场自律监管概述
【第三章】国外证券自律监管制度的考察及启示
【第四章】我国证券行业自律监管现状及存在的问题
【第五章】我国证券市场自律监管制度的完善
【结论/参考文献】证券自律监督管理体制构建结论与参考文献
摘 要
随着经济的不断发展，各国的证券市场取得了进一步的发展。但由于证券市场涉及证券、股票和债券等金融相关内容，因此证券市场相当复杂。对于证券市场的监管也自然成为了证券市场的重要内容，证券市场的监管分为证券市场自律监管和证券市场政府监管。观察分析各个国家的证券市场监管模式，大部分国家主要采取政府监管模式。对于证券市场自律监管的研究及文章却很少涉及。考察这些证券市场自律监管的文章我们不难发现对其在法律层面的研究分析就更少。当前，在国际上各国对于证券市场的监管越来越倾向于一致性。即对于证券市场的监管开始运用政府监管和自律监管两种模式。
由于我国完整的证券市场的产生和发展都是政府基于对国有企业进行改革而进行的。因此，对于证券市场的监管主要由政府监管机构监督管理，证券市场自律监管组织只是一种形式，并没有发挥自律监管职能。而观察国际上成功的证券市场监管模式，不仅重视证券市场的政府监管，而且还都越来越重视证券市场自律监管的发展。由于我国的证券市场政府监管经过一段时期的发展已经相当成熟，但是作为证券市场的自律监管体系却未得到发展。我国应该更加重视证券市场自律监管模式的完善。我国的证券市场自律监管组织主要包括证券业协会和证券交易所。这两个证券自律监管组织的相关职能权力要得以完善。现在国际上不仅仅重视证券市场监管的一种模式，而是逐渐将两种监管模式结合起来，因此，我国不仅要进一步完善我国的证券市场政府监管，更要加强我国的证券市场自律监管模式的进一步完善。
文章分为四部分：
第一部分主要是对证券市场的自律监管的基本内容进行研究分析。首先介绍证券市场自律监管的相关基础知识即对其的基本界定，这一部分主要研究证券市场自律监管的概念定义、自律监管的特征和目前世界上最主要的自律监管模式类型。其次简单地分析证券市场自律监管和证券市场政府监管之间的联系和区别，两种监管模式在当代证券市场中都应发挥其作用更好地为证券市场发展服务。最后研究分析证券市场自律监管的利弊问题。作为证券市场的自律监管即有其优点也必然有其缺点。
第二部分主要考察分析主要几个国家的证券市场自律监管制度和对于我国的证券市场自律监管制度的启示。这一章主要分成两部分，首先分别考察分析英国、美国、德国和日本的证券市场的自律监管的产生背景、发展过程以及现状问题。最后，考察各个国家证券市场自律监管制度可以带给我们以下启示：重视培养证券市场自治文化的产生发展以及自律理念的形成；依据我国证券市场的发展现状来制定相对完善的证券法律法规，也应完善我国证券市场自律监管的证券法规定以及与其相配套的证券自律监管法规的完善；证券市场自律监管和证券市场自律监管两种模式监管权限应该明确划分。
第三部分分析我国证券市场自律监管的现状及存在的问题。首先这一章的第一部分我国证券市场监管的历史演进过程；其次本章的第二部分主要研究分析我国证券市场自律监管现阶段的发展情况，包括证券市场自律监管的法律基础和证券市场自律监管的职能；最后的内容主要介绍我国证券市场自律监管存在问题。
最后一部分研究如何完善我国的证券市场自律监管制度。上一章已经研究分析了我国的证券市场自律监管存在的问题，在最后一部分本人针对这些问题提出了自己的完善建议对策。
关键词：证券市场 自律监管 证券交易所 证券业协会
Abstract
With the development of economy, the securities market has made further development.
But because of the security market and related content of securities, stocks and bonds andother financial securities, market is quite complex, so. For the supervision of the securitiesmarket has naturally become an important part of the securities market, securities marketregulation into the securities market self-regulation and government securities marketregulation. Observation and analysis of each country's securities market regulation, most ofcountries adopt the government supervision mode. For research and the self-regulation of thesecurities markets are rarely involved. Investigation of the self-regulation of the securitiesmarkets in the US is not difficult to find in the study of legal analysis on less. At present,countries in the world for the supervision of the securities market are more and more inclinedto consistency. For the supervision of the securities market began to use governmentregulation and self-regulation of two modes. The emergence and development of China'ssecurities market full of government are based on the reform of state-owned enterprises andthe. Therefore, regarding the stock market supervision by government regulatory agencies,securities market self-regulation organization is a kind of form, and did not playself-regulatory functions. The observation of successful international securities marketsupervision mode, not only pay attention to the government regulation of securities market,but also more and more importance to the development of the securities marketself-regulation. As China's securities market government regulation after a period ofdevelopment is already quite mature, but as the stock market supervision system has not beendeveloped. Our country should improve pay more attention to the securities marketself-regulation mode. China's securities market self-regulatory organizations including theSecurities Industry Association and the stock exchange. Power functions of the two securitiesself-regulatory organization to improve. Now the international attention not only a mode ofregulation of securities market, but also to combine, two models of supervision so, ourcountry not only to further improve China's securities market government regulation, but alsoto strengthen China's securities market self-regulation mode.
The article is divided into four parts:
The first part is the basic content of the securities market supervision to carry on theresearch analysis. Basic knowledge of first introduced the securities market self-regulation isthe basic definition, this part mainly studies the definition of the concept, the securitiesmarket self-regulation characteristics and the main mode of type. The relationship anddifference between second simply analysis between the stock market self-regulation andgovernment securities market regulation, two models of supervision should play its rolebetter for the development of the securities market service in modern securities market.
Finally, analysis of advantages and disadvantages of self-regulation of securities market. Asthe securities market self-regulation has its advantages must also has its disadvantages.
The second part mainly on the analysis of some major countries of the securities marketsupervision system and for China's securities market self-regulation system and itsenlightenment. This chapter is divided into two parts, the first analysis of the United States ofAmerica, England, respectively to study German and Japanese stock market self-regulation inthe background, development process and current problems. Finally, the influences ofdifferent national stock market self-regulation system can bring us the followingenlightenment: pay attention to the training of autonomous cultural securities marketdevelopment and the formation of self-discipline idea; according to the development statusquo of China's securities market to develop a relatively perfect securities laws and regulations,should also be securities laws and regulations of China's securities market supervision andimprove their matching securities self-regulatory regulation; securities market supervisionand market self-discipline two modes should be a clear division of authority.
The third part analyses current situation of China's securities market self-regulation andproblems. The first part of this chapter in the history of the evolution of China's securitiesmarket regulation process; secondly, the second part focuses on the analysis of China'ssecurities market development situation of self-discipline supervision at the present stage,including securities market self-regulation of the legal basis and the self-regulation of thesecurities markets function; finally, the main contents of the Chinese securities marketdiscipline regulatory problems.
The last part studies how to improve China's securities market supervision system. Thelast chapter has analyzed China's securities market supervision existing problem, in the lastpart I perfect countermeasures put forward to solve these problems.
Key words: Stock market Self-regulation Stock exchange The Securities Industry Association
目 录
摘 要
ABSTRACT
1 引言
1.1 选题背景及意义
1.1.1 选题背景
1.1.2 研究意义
1.2 国内外研究现状
1.2.1 国外研究现状
1.2.2 国内研究现状
1.3 研究思路、方法和创新点
1.3.1 研究思路、方法
1.3.2 创新点
2 证券市场自律监管概述
2.1 证券市场自律监管的界定
2.1.1 证券市场自律监管的定义
2.1.2 证券市场自律监管的特征
2.1.3 证券市场自律监管的模式
2.2 证券市场自律监管与政府监管的关系
2.2.1 证券市场自律监管与政府监管的区别
2.2.2 证券市场自律监管与政府监管的联系
2.3 证券市场自律监管的利弊分析
3 国外证券市场自律监管制度的考察及启示
3.1 国外证券市场自律监管制度的考察
3.1.1 英国证券市场自律监管制度的考察
3.1.2 美国证券市场自律监管制度的考察
3.1.3 德国证券市场自律监管制度的考察
3.1.4 日本证券市场自律监管制度的考察
3.2 国外证券市场自律监管制度的比较及启示
4 我国证券市场自律监管现状及存在的问题
4.1 我国证券市场监管组织体系的历史演进
4.2 我国证券市场自律监管现状
4.2.1 自律监管的法律基础
4.2.2 证券市场自律监管机构的监管职能
4.3 我国证券市场自律监管存在的问题
4.3.1 证券市场自律监管理念的缺乏
4.3.2 证券市场自律监管机构本身的问题
4.3.3 政府监管和自律监管的关系不平衡
5 我国证券市场自律监管制度的完善
5.1 树立正确证券监管理念
5.1.1 以保护投资者利益为证券监管的首要目标
5.1.2 转变证券市场证券监管的思路
5.2 完善我国证券市场自律监管的职能
5.2.1 完善证券交易所的自律监管职能
5.2.2 完善证券业协会的自律监管职能
5.3 明确证券市场自律监管和政府监管的关系
结 论
参考文献
后 记
