|本期目录/Table of Contents|

[1]郭升选.证券监管理论变迁、评价及启示[J].长安大学学报(社科版),2009,11(01):80-85.
　GUO Sheng-xuan.Changes of security regulation theory, evaluation and enlightenment[J].Journal of Chang＇an University(Social Science Edition),2009,11(01):80-85.
点击复制

证券监管理论变迁、评价及启示(PDF)
分享到：

《长安大学学报（社科版）》[ISSN:1671-6248/CN:61-1391/C]

卷:
第11卷
期数:
2009年01期
页码:
80-85
栏目:
法学
出版日期:
2009-03-20

文章信息/Info

Title:
Changes of security regulation theory, evaluation and enlightenment
作者:
郭升选1; 2
1. 西北大学 经济管理学院,陕西 西安 710069; 2. 西北政法大学 民商法学院,陕西 西安 710063
Author(s):
GUO Sheng-xuan
1. School of Economics and Management, Northwest University, Xi'an 710069, Shaanxi, China; 2. School of Civil and Commercial Law, Northwest University of Political Science & Law, Xi'an 710063, Shaanxi, China
关键词:
福利经济学;  规制经济学;  证券市场;  证券监管
Keywords:
theory of welfare economy;  theory of regulatory economy;  security market;  security regulation
分类号:
F830.91
DOI:
-
文献标志码:
A
摘要:
为了在不断变迁的理论中,找到完善和创新中国证券监管机制的理论钥匙,运用文献分析的方法,对证券监管理论的演进脉络进行了梳理和评价。分析指出,证券监管理论萌生于福利经济学的公共利益理论,成型于规制经济学的利益集团理论,长成于法经济学监管与法的理论; 单个理论都有其历史的局限和不足,证券监管理论将走向综合; 法律不完备理论关于监管机构分享执法权和相应立法权的观点,对中国证券监管权的配置和行使具有较强的启示意义。
Abstract:
In order to find the right theory for the perfection and innovation of China'ssecurity regulatory mechanism in the ever-changing theories, this paper, with the help ofanalytical method of literature, reviews and evaluates theories of the securityregulation. The analysis shows that the security regulatory theory originates from thepublic interest theory of welfare economics, forms the regulation-interest group theoryunder regulatory economics, and grows into the regulation and legal theory under the lawand economics. Each theory has its own historical limitations and shortcomings, andtherefore theories of security regulation will move towards integration. The viewpoint ofthe regulatory agencies to share legal enforcement powers and the discretionary legislativeauthority under the incomplete law theory is of great significance for the devolopment andimplementation of China's security regulatory powers.

参考文献/References:

[1] 洪伟力.证券监管:理论与实践[M].上海:上海财经大学出版社,2000.
[2]胡寄窗.1870年以来的西方经济学说[M].北京:经济科学出版社,1988.
[3]Nicholas Kaldor.Welfare proposition of economics and interpersonal comparisons of utility[J].Economic Journal,1939,195:549-552.
[4]丹尼斯·缪勒.公共选择理论[M].杨春学,李绍荣,译.北京:中国社会科学出版社,1999.
[5]戈登·塔洛克.寻租:对寻租活动的经济学分析[M].李政军,译.成都:西南财经大学出版社,1999.
[6]罗杰·巴克豪斯.现代经济分析史[M].晏智杰,译.成都:四川人民出版社,1992.
[7]Gary S B.Crime and punishment:An economic approach[J].Journal of Political Economics,1968,76:169-217.
[8]Posner R A.Theories of economic regulation[J].Journal of Economics and Management Science,1974(5):335-358.
[9]肖兴志.自然垄断产业规制改革模式研究[M].大连:东北财经大学出版社,2003.
[10]George J S.The theory of economic regulation[J].The Bell Journal of Economic and Management,1971(2):3-21.
[11]Peltzman S.Towards a more general theory of regulation[J].The Journal of law and Economics,1976(19):211-241.
[12]Joseph E S.The inefficiency of the stock market equilibrium[J].Review of Economic Studies,1982,49(2):241-261.
[13]Joseph E S.Markets,Market failures,and development[J].American Economic Review,1989,19(2):197-203.
[14]约瑟夫·斯蒂格利茨.政府为什么干预经济:政府在市场经济中的角色[M].郑秉文,译.北京:中国物资出版社,1998.
[15]让·雅克·拉丰,让·梯若尔.政府采购与规制中的激励理论[M].石 磊,王永钦,译.上海:上海三联书店,2004.
[16]张红凤.激励性规制理论的新发展[J].经济理论与经济管理,2005,25(8):65-70.
[17]钱颖一.市场与法治[J].经济社会体制比较,2000,16(3):1-11.
[18]爱德华·格莱泽,西蒙·约翰逊,安德烈·施莱弗.科斯对科斯定理:波兰与捷克证券市场规制的比较[J].班颖杰,译.经济社会体制比较,2001,17(2):1-12.
[19]Edward Glaeser,Andrei Shleifer.The rise of the regulatory state[J].Journal of Economic Literature,2003,41(2):401-425.
[20]Djankov Simeon,Edward Glaeser,Rafael La Porta,Florencio Lopez-de-Silanes,Andrei Shleifer.The new comparative economics[J].Journal of Comparative Economics,2003,31:595-619.
[21]卡塔琳娜·皮斯托,许成钢.不完备法律:一种概念性分析框架及其在金融监管发展中的应用(上)[J].比较,2002,3:127-134.
[22]卡塔琳娜·皮斯托,许成钢.不完备法律:一种概念性分析框架及其在金融监管发展中的应用(下)[J].比较,2003,4:116-125.
[23]许成钢.法律、执法与金融监管:介绍“法律的不完备性”理论[J].经济社会体制比较,2001,17(5):1-12.
[24]鹤光太郎.用“内生性法律理论”研究法律制度与经济体系[J].比较,2003,8:117-129.

相似文献/References:

[1]盂宏斌.陕西小城镇社会保障制度创新[J].长安大学学报(社科版),2006,8(02):19.
　MENG Hong-Bin.Innovation of social security system for Shaanxi small towns[J].Journal of Chang＇an University(Social Science Edition),2006,8(01):19.

备注/Memo

备注/Memo:
收稿日期:2008-11-17 作者简介:郭升选(1965-),男,陕西铜川人,西北政法大学副教授,西北大学经济学博士研究生。
更新日期/Last Update: 2009-03-20