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1、密 级： 学校代码：10075 分类号： 学 号： 20100214 法律硕士学位论文 非法发行股票民事赔偿 法律问题研究 学 位 申 请 人 ： 张筠 指 导 教 师 ： 王昆江 副教授 麻胜利 教授 学 位 类 别 ： 法律专业硕士 学 科 专 业 ： 法律硕士（非法学） 授 予 单 位 ： 河北大学 答 辩 日 期： 二一三年六月 Classified Index: CODE: 10075 U.D.C.: NO: 20100214 A Dissertation for the Degree of J.M Research on the Civil Compensation of the
2、Unauthorized Issuing of Shares Candidate: Zhang Jun Supervisor: Vice Prof. WangKunjiang Prof. Ma Shengli Academic Degree Applied for: Juris Master Specialty: Juris Master（Non-Law） University: Hebei University Date of Oral Examination: June，2013 摘 要 I摘 要 近几十年，我国制定了改革开放的基本国策，市场经济也曾借助国内外的大好形势获得长足发展，同时，
3、我国的证券市场从无到有，证券法规也从不甚规范到一步步得到完善。由国企改革掀起的股份制改革使得“股票”这种证券形式深入人心，证券市场也借此契机得以发展壮大，并得到不断的改进和优化，在这个阶段中，不乏有通过“炒股”一夜暴富的个例。而不法分子则正是抓住了人们追逐财富的心理，设下非法发行股票的陷阱，诱惑广大不具备丰富投资知识的群众购买。20 世纪 90 年代非法发行原始股案件初露头角，可是时至 20 年后的今天，此类案件不但没有得到有效遏制，反而有愈演愈烈的趋势。同时，此类案件因为其涉案人数众多，且受害人分布较为分散，同时又有个人受害数额较小而总体金额巨大的特点，审理起来十分不易。而且，在证券市场飞速
4、发展的同时，相关法律法规的建设却并不尽如人意。此类案件在审理时，依然面临着法律规定不明确的尴尬局面。同时，在进行非法发行股票民事赔偿维权时，我们常面临各种各样的问题：取证难、立案难、审理期限长、判决难执行。在实际中，这几个对于民事赔偿来说非常重要的问题，却一直很难解决。文章分析表明，通过立法及对国外先进经验的借鉴，可以更好的解决非法发行股票的民事赔偿问题，从而也验证了本文提出的改进方法的实用性。本文以完善非法发行股票民事赔偿为重点，第一章对非法发行股票行为进行界定；第二章结合相关案例分析了此类案件屡禁不止的原因及危害；第三章着重阐述非法发行股票民事赔偿重点几个难点问题，并在第四章一一给出解决办
5、法。 关键词 非法发行股票 民事赔偿 证据调查令 预防机制 集团诉讼Abstract IIAbstract In recent decades, China has developed the basic state policy of reform and opening up, the market economy also with the excellent situation at home and abroad to obtain rapid development. Stock as a form of securities became known by the public
6、because of the reform of state-owned enterprises. At the same time, Chinas security market improved step by step. And security market would also like to take this opportunity to develop and grow, and gain continuous improvement and optimization. At this stage, there were people gain great wealth for
7、m stock markets. In 1990s, unauthorized issuing of shares were found in many places. Now, 20 years after had passed, such cases still have no effectively solution ways. And these kinds of cases usually involve a large number of money, and the victims usually in many different places. And in such cas
8、es, the single victims damage is small but the overall amount is huge. Moreover, the construction of the relevant laws and regulations cannot satisfactory the rapid development of the security market,. Such cases in the trial, is still facing the law is unclear embarrassment. When we deal with the c
9、ases about civil compensation of the unauthorized issuing of shares, we can easily find many problems such as investigation difficulty, lawsuit filed difficulty, long trial period and the difficulties of civil execution. In practice, these are very important issues for civil compensation of the unau
10、thorized issuing of shares, but there were no solutions to end such problems. And this paper focused on these problems and eager to find several ways to solve them. With the introduction of many advanced concept of civil compensation at home and abroad and some typical cases, this paper elaborated s
11、ome ways to improve the existing provisions. The article analyses showed that through learning from the advanced experience of foreign countries which had been proved useful and successful, we can solve such problems. This paper analyzed that, through legislation and learns from the advanced experie
12、nce of foreign countries, the civil compensation of unauthorized issuing of shares can be solved. This paper focused on the improvement of civil compensation of unauthorized issuing of shares, and the first chapter defined the definition and behavior of the unauthorized issuing of shares; the second
13、 chapter analyzed the reasons for repeated and Abstract IIIhazards of such cases; the third chapter focused on several key problems of unauthorized issuing of shares; and the solution was given in the last Chapter. Key words Unauthorized Issuing of Shares Civil Compensation Evidence Investigation Order Prevention Mechanism Class Action目 录 IV目 录 引 言1 第 1 章 非法发行股票行为界定 3 1.1 非法发行股票行为概念和特点3 1.1.1 非法发行股票行为概念 3 1.1.2 非法发行股票行为特点 3 第 2 章 非法发行股票行为原因及其危害6 2.1 非法发行股票行为原因分析 6 2.1.1 相关法律规范缺失
