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1、.34 / 34.论商品房认购书之法律效力内容摘要商品房认购书效力之争由来已久,理论界和实务界都未能取得共识。笔者试图运用合同的基本理论,探讨认购书之性质,并以此为基础,论证认购书之法律效力。本文第一部分通过商品房认购书之界定,认为认购书是以将来订立商品房买卖预售合同为目的的预约合同。实践中,根据认购书中是否锁定房号将认购书分为锁定房号的认购书和未锁定房号的认购书。根据开发商在签订认购书时是否取得商品房预售许可证,将认购书分为内部认购书和外部认购书。之所以对认购书作出如此区分,是因为实践中其效力判断有些不同。预约的理论基础为诚实信用原则、意思自治原则和经济效益原则。法国学者在理论上将预约分为优
2、先性协议、订立合同的单方允诺、原则同意性协议,美国学者根据预约的实际意义则将预约分为将行谈判的预约和带未决条款的预约。预约的效力在理论上有必须缔约说和必须磋商说,笔者以为,预约究竟产生何种效力,则视预约的种类而定。本文第二部分主要研究商品房认购书的识别问题。商品房认购书的性质为预约,但是也有些名为预约而不是预约的协议合同,实践中主要识别以下几种情形： 一 意向书、意向性初步协议、备忘录等,这类文件因为缺乏当事人合意,或者当事人没有接受意愿拘束的意思表示,该类协议不为预约。二当事人借认购书之名,行房屋买卖之实的协议,这类协议必须排除在本文要探讨的认购书之外。具体方法为：如果认购书已经全部具备买卖
3、合同必备条款,该认购书直接认定为买卖合同；如果认购书中具备了买卖合同主要条款,当事人也未明确约定未决条款,该认购书也应当认定为买卖合同；如果认购书中具备了买卖合同的核心条款,当事人也清楚的约定买卖合同的未决条款,那么该认购书为带未决条款的预约。预售许可证的取得与否,不影响认购书的性质和效力。三在我国实践中存在锁定房号的认购书和未锁定房号的认购书。一般而言,未锁定房号的认购书为预约,而锁定房号的认购书则具体情形具体分1.析：如果锁定房号的认购书中对买卖合同的核心条款都已经相当具体完善,该合同实质上就是一个完备的买卖合同；如果认购书中虽然约定了买卖合同的核心条款,但同时也明确约定了未决条款待将来订
4、立本约时再行确定,那么该锁定房号的认购书为带未决条款的预约。本文第三部分主要讨论商品房认购书的效力之判断。实践中争议较大的问题就是商品房的预售许可证取得与否对商品房认购书效力是否产生影响,这一点在理论界也未取得共识。笔者认为,商品房预售许可证是否取得并不会影响商品房认购书之效力。本文第四部分主要讨论商品房认购书的效力内容,即商品房认购书主要赋予当事人何种履行义务,是诚信磋商义务还是必须缔约义务。认购书根据其所属的预约类型不同,其效力内容也有所不同。如果认购书为将行谈判的预约,其履行义务应当采必须磋商说,至于是否缔结本约在所不问。如果认购书为带未决条款的预约,其履行义务采必须缔约说为宜,当事人对
5、本约的缔结虽负有诚信磋商义务,但又不仅限于诚信磋商义务。本文第五部分讨论商品房认购书的法律责任,即违反商品房认购书后当事人可采取的救济方式问题。在这部分集中探讨了两个问题。第一个问题是预约的违约责任和本约的缔约过失责任能否竞合的问题。预约的内容在特定情形下可以转化为本约的内容,预约中规定的本约条款与本约中规定内容冲突时,以本约条款为准。违反预约产生的违约责任与违反本约的缔约过失责任救济的对象一致,会产生竞合,允许当事人择一主张。第二个问题是预约的违约责任中是否包含强制履行的问题。如果认购书为将行谈判的预约,该预约为依性质不可强制履行,违约责任的救济方式不包含强制履行,如果认购书为带未决条款的预
6、约,其违约责任的救济方式包含有强制履行。本文第六部分根据我国现行立法及司法现状,具体探讨我国商品房认购书效力之判定路径,指出我国现行立法缺陷及司法实践之困境,并对我国立法及司法实践提出一些浅薄意见,以期对我国立法及司法实务有所帮助。关键词:商品房认购书；预约；违约责任；缔约过失责任2.AbstractThe effectiveness of Commercial housing subscription book has been disputed for a longtime, and theoretical and practical field are unable to reach a
7、 consensus. The author attemptsto use the basic theory of the contract, to explore the nature of the subscription book, and onthis basis,to demonstrate the legal effect of the subscription book.The first part of this article has made the definition of commercial housing subscriptionbook, that the su
8、bscription book appointment contracts are a pre-contract of real estate contract for the purpose of a real commercial housing contract.In practice,.according to the subscription book is a locked room number or not ,the subscription book isdivided into the locked room number subscription book and unl
9、ocked room number of thesubscription book. Whether the real estate developers.has got a administrative permission forpre-sale, the subscription book is divided into the internal the subscription book and externalsubscription book. The reason why we to make this distinction is that effectiveness of t
10、hesubscription book is somewhat different. The theoretical basis for the pre-contract is theprinciple of the autonomy principle and economic benefits.t The French scholar, intheory,divided the subscription book into priority agreement,a unilateral promise for thecontract, agreed principle agreements
11、. American scholars according to the appointment of theactual significance of the appointment will be divided into negotiations appointment of theline and with the appointment of the outstanding provisions. Contracting said in theory, theeffectiveness of the appointment and must negotiate said, I th
12、ink that what is theeffectiveness of the reservation exactly depending on the type of appointment.The second part of this paper focus on the identification of the real estate subscriptionbook. The nature of the real estate subscription book is a pre-contract, but in practice ,thereare some so-called
13、 pre-contract which has made the identification more congfusing. Forexample,The first Letter of intent, preliminary agreement of intent, memorandum andother such documents ,they are excluded for lack of parties consensual, or the wishes to makean appointment.The second Some so-called subscription bo
14、oks,which in fact are the contractof the business, must be ruled out from this article.The third, in China ,practically we dividethe subscription book into two parts-the locked room number of the subscription book and the3.unlocked . Generally, unlocked the room number of the subscription book is a
15、pre-contract,locked room number subscription book ,which ,in fact, depends on the Specific conditions.The third part of this article focuses on the judgment of the effectivness of the real estatesubscription book. The controversial is wether the pre-sale of real estate license has the effecton the effectiveness of the subscription book, which has not reached a consensus intheoretical field. The author believes that the pre-sale licence will not affect the validity of thesubscription book of commercial housing.The fourth part of this article fo
