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題名：國會議員與內線交易--兼論證券交易法「基於職業關係獲悉消息之人」之範圍
書刊名：興大法學
作者：江朝聖 引用關係
作者(外文)：Chiang, Chao-sheng
出版日期：2016
卷期：19
頁次：頁201-236
主題關鍵詞：內線交易；內部人；國會；停止利用國會見聞交易法；Insider trading；Insider；Congress；STOCK act
原始連結：連回原系統網址new window
相關次數：
  • 被引用次數被引用次數:期刊(4) 博士論文(0) 專書(0) 專書論文(0)
  • 排除自我引用排除自我引用:2
  • 共同引用共同引用:45
  • 點閱點閱:21
國會議員執行職務時常接觸各項法案、政策，這些訊息往往足以影響個別公司的股票價格。若國會議員利用此訊息進行股票交易時，是否構成內線交易？在美國法之下，學者間爭辯已久，二○一二年經參、眾兩院通過，並由總統簽署公布「停止利用國會見聞交易法」（Stop Trading on Congressional Knowledge Act, STOCK），澄清國會議員利用國會見聞進行證券交易並不豁免內線交易責任，長久以來的爭議終告平息。我國雖尚未有國會議員因利用國會見聞進行證券交易而遭起訴、判決之案例，但基於相同的人性，亦有發生的可能，則我國證券交易法內線交易規定可否規範這類行為？本文由美國法制之介紹、適用與爭議出發，再介紹「停止利用國會見聞交易法」內容。接著再以我國與美國法加以比較，探討我國法制如何適用於國會議員利用國會見聞從事證券交易，並評估是否應引進美國「停止利用國會見聞交易法」。
It has long been suspected that members of Congress frequently trade on material nonpublic information that they learned from their position. However, it has also been controversial whether Rule 10b-5 and other insider trading regulations can be applied to these acts among scholars. In 2012, Stop Trading on Congressional Knowledge Act (STOCK act) has been adopted by Congress and signed by President; the above dispute seems to be ceased. In Taiwan, securities regulations have long been impacted by U.S. laws. Should we consider transplanting STOCK act from U.S.? In the article, the author compare the differences of insider trading regulations between Taiwan and U.S. Based on that, this article finds that the difficulties to implement insider trading regulations are also different between Taiwan and U.S. In sum, this article concludes that we do not have to transplant STOCK act, but the insider trading regulations should be amended to fill loophole in laws.
期刊論文
1.劉連煜(20110800)。企業併購時董事之受任人（受託）義務--農民銀行與合庫合併案最高法院九十九年度臺上字第二六一號判決及其歷審判決評析。月旦法學，195，225-243。new window  延伸查詢new window
2.賴英照(20131200)。證券詐欺與資訊平等的拔河--評美國內線交易法制的發展。法令月刊，64(12)，48-66。new window  延伸查詢new window
3.賴英照(20071200)。公務員是不是內部人？。高大法學論叢，3(1)，125-165。new window  延伸查詢new window
4.林志潔(20110900)。美國聯邦最高法院判決與內線交易內部人定義之發展--以O'Hagan案為核心。歐美研究，41(3)，849-883。new window  延伸查詢new window
5.陳俊仁(20110600)。處罰交易或處罰未揭露？--內線交易規範法理基礎之檢視與規範之解構與再建構。月旦民商法雜誌，32，21-38。  延伸查詢new window
6.黃朝琮(20131200)。美國案例法上內線交易責任主體範圍之變遷與啟示。中華國際法與超國界法評論，9(2)，287-315。new window  延伸查詢new window
7.Austin, Danielle A.(2013)。We the People or We the Legislature?: The STOCK Act's Compromise Between Politically-Motivated Accountability and Keeping Congress above the Law。Hofstra Law Review，42，267-301。  new window
8.Bainbridge, Stephen M.(2011)。Insider Trading Inside the Beltway。The Journal of Corporation Law，36，281-307。  new window
9.Nagy, Donna M.(2011)。Insider Trading, Congressional Officials, and Duties of Entrustment。B. U. L. Rev.，91，1105-1163。  new window
10.Schroeder, Jeanne L.(2014)。Taking Stock: Insider and Outsider Trading by Congress。William & Mary Business Law Review，5，159-239。  new window
11.Ziobrowski, Alan J.、Cheng, Ping、Boyd, James W.、Ziobrowski, Brigitte J.(2004)。Abnormal Returns from the Common Stock Investments of the U. S. Senate。Journal Financial & Quantitative Analysis，39，661-676。  new window
12.Kim, Sung Hui(2013)。The Last Temptation o f Congress: Legislator Insider Trading and the Fiduciary Norm Against Corruption。CORNELL L. REV.，98，845。  new window
13.Perino, Michael A.(2015)。A Scandalous Perversion of Trust: Modem Lessons from the Early History of Congressional Insider Trading。RUTGERS U. L. REV.，67，335。  new window
14.Scheppele, Kim Lane(1993)。"It's Just not Right": The Ethics of Insider Trading。SUM LAW & CONTEMP. PROBS，56，123。  new window
15.Pear, Robert(20120322)。Insider Trading Ban for Law Makers Clears Congress。N.Y. TIMES。  new window
16.廖大穎(20090300)。資訊不正流用理論與證券交易法第157條之1。月旦財經法雜誌，16，77-114。  延伸查詢new window
圖書
1.Abraham, Kenneth S.(2002)。The Forms and Functions of Tort Law。Foundation Press。  new window
2.Coffee, John C. Jr.、Seligman, Joel、Sale, Hillary A.(2007)。Securities Regulation, Cases and Materials。Foundation Press。  new window
3.劉連煜(2011)。內線交易構成要件。元照出版有限公司。  延伸查詢new window
4.賴英照(2014)。最新證券交易法解析。賴英照。  延伸查詢new window
5.曾宛如(2011)。公司法基礎理論之再建構。曾宛如。new window  延伸查詢new window
6.賴英照(2009)。最新證券交易法解析。賴英照。  延伸查詢new window
7.Cox, James D.、Hillman, Robert W.、Langevoort, Donald C.(2013)。Securities Regulations Cases and Materials。  new window
8.賴英照(1992)。證券交易法逐條釋義。賴英照。  延伸查詢new window
9.Bainbridge, Stephen M.(2009)。Corporate Law。  new window
10.王志誠、邵慶平、洪秀芬、陳俊仁(2011)。實用證券交易法。新學林。  延伸查詢new window
11.王澤鑑(2014)。民法總則。王澤鑑。  延伸查詢new window
其他
1.Vardi, Nathan(20130421)。Did Obama and Congress Use National Security Fears to Gut the Stock Act?，http://www.forbes.com/sites/nathanvardi/2013/04/21/did-obama-and-congress-use-national-securityfears-to-gut-the-stock-act/。  new window
2.Kim, Jane J.(20041026)。U.S. Senators' Stock Picks Outperform the Pros'。  new window
3.Mullins, Brody(20060328)。Bill Seeks to Ban Insider Trading by Lawmakers and Their Aides。  new window
4.Mullins, Brody(20101011)。Congressional Staffers Gain from Trading in Stocks。  new window
圖書論文
1.曾宛如(2012)。公司及其負責人於資本市場之義務與責任--內線交易與忠實義務（受任人義務）之關連。公司法制基礎理論之再建構。臺北：曾宛如。  延伸查詢new window
 
 
 
 
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