| 美国券商佣金规制的若干分析及对我国的启示 |
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| 引用本文： | 原凯.美国券商佣金规制的若干分析及对我国的启示[J].华侨大学学报(哲学社会科学版),2014(4):125-133. |
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| 作者姓名： | 原凯 |
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| 作者单位： | 华侨大学法学院,福建泉州,362021 |
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| 基金项目： | 中央高校基本科研业务费资助项目·华侨大学哲学社会科学青年学者成长工程 |
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| 摘 要： | 随着证券市场格局、券商行业以及券商业务的不断变化,券商佣金的界定和规制也遇到了全新的挑战,表现在券商佣金合理标准的确定、券商返佣或利益输送规制以及券商佣金内部公平分配等三个方面。美国证券法通过NASD规则2440、软美元安全港例外和券商内控的指导性建议构建了券商佣金的规制体系,为我国券商佣金规制的转型提供了最佳范本。
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| 关 键 词： | 券商佣金 自律规则 软美元 |
Regulation of Commission of U.S Broker-Dealer:Analysis and Enlightenment |
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| YUAN Kai.Regulation of Commission of U.S Broker-Dealer:Analysis and Enlightenment[J].Journal of Huaqiao University(Humanities & Social Science),2014(4):125-133. |
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| Authors: | YUAN Kai |
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| Institution: | YUAN Kai (Law School, Huaqiao Univ. , Quanzhou, 362021, China) |
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| Abstract: | With the development of the securities market structure, broker-dealer industry and business model, the defini- tion and regulation of broker-dealer commission is challenged in a wholly new way, which reflected in the three aspects of determination of the reasonable standard of broker-dealer commission, rebates of commission and fair allocation of commis- sion. The U. S. legislator established the rule of NASD 2440, the safe harbor rule of soft dollar and the advisory rule for broker-dealer＇s internal control, which provides a good example of transition for China. |
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| Keywords: | broker-dealer commission self-regulation rule soft dollar |
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