证券交易所制度研究

2003.12.050085123451678MOU2..................................1...........................................................................................1...............................................................1....................................3...................................................................................3...................................................................6...................................................................8....................................8...................................................................................9.........................................................................................11.............................................................12.....................................13.............................................................................................................13.....................................................................................................14...........................17.....................................................................................................18.......................................................................................19.................................................................................................................21.................................................................23.....................................................25.....................................................................................................................25.................................................................................................26.................................................................................................30.........................................................33.....................34.........................................36...........................42KLSE...........51...............................................54ASXASC............................................................56...........................................................61122IOSCOSROs3“ObjectivesandPrinciplesofSecuritiesRegulation”,ReportofIOSCOin1998100“ObjectivesandPrinciplesofSecuritiesRegulation”,ReportofIOSCOin19983441102000SGXSFCNASDFSA1519331934SECCFTCNASDSECCFTCNASDNYSEAMEXNASDAQCME2000FSA11FSAISSROLSETSEOSE2001MASSGX20012001ASICASX)IDARSTSE198319931965SCROCKLSEKLSE6NYSELSETSEASXSGXDemutualization72090FIBV199952151415SECCFTC(SGX-ST)SECNASDMembershipandRegistrationRules(Rules1000-1140),NASDManual.10MASSGX-STresignationSGX-STCDPCDP3ASICASXParticipatingOrganisationASXSEATSCHESSAppealTribunal4TSEOSEOSE5SC11KLSE1002000DealingMembersSC(SGX-ST)123SGX-ST1234ASX1ASIC23TSEMemorandum&ArticlesofAssociationandRulesofKualumpurStockExchange12111711912112267812317213SGX-STKLSENYSEKLSEKLSEKLSE14ASXNYSESECDesignatedSelf-RegulatoryOrganizationDSRONASDAQNASDNASDRegulationNASDRNASDRMOU1ASXRules5B.7250160152501NASDR2NASDR2NASDR11223346NASDRegulation,Inc2Aa.b.c.BC316CRD4AabcBCDEFGH2300SIPC17ASXSECNASDNASDR181NYSEalliedmember19342ASXASXASXRule1.4,Rule13.1,Rule13.2193SGXSGXCDPMASASXSGX33Rule7.4andRule7.3,SGX-STRules&Bye-Laws.4764771934Section19(d)20NYSESECASXASX30AMEXSGXMASMAS21SEC22NYSE1ClassActionClaimsShareholderDerivativeActions250002025000152321242200125200311959698992623423121MOU1272SFCHKExASICASX3456ASICASX78ASICASX23281234abcd456729830911234562123134312344123451234561237323312002-2003SpecialExaminations,MemberFirmRegulation,NYSE2ArticlesofIncorporationTokyoStockExchange,Inc.3ASXBusinessRules4BrokerageAgreementStandards(Feb.2003)TokyoStockExchange,Inc.5HearingBoardProcedures,NYSE6DiscussionPaperonStockExchangeDemutualizationIOSCO7MembershipandRegistrationRules(Rules1000-1140),NASDManual.8Memorandum&ArticlesofAssociationandRulesofKualumpurStockExchange9MemorandumofUnderstandingbetweenAustralianSecuritiesCommissionandAustralianStockExchangeLimitedonMembershipMatters10MemorandumofUnderstandingbetweenSecuritiesandFuturesCommissionandHongKongExchangesandClearingLimited11ModelforEffectiveRegulationReportoftheSROConsultativeCommitteeoftheIOSCOin200012ObjectivesandPrinciplesofSecuritiesRegulation,ReportofIOSCOin199813RegulationsForTransactionParticipants,OsakaSecuritiesExchangeCo.,Ltd.,May200114RulesoftheLondonStockExchangeMarch200315SGX-STRULES&BYE-LAWS16surveillanceworkshop-april200217TradingParticipantRegulationsofTokyoStockExchange,Inc.,April200318200111192000420200262120011034192935(IOSCO)20005(ModelForEffectiveRegulation)accountabilitymechanisms2001200220009698361193319342SECCFTCNASDNFASECNASDSEC11SEC1919SECNASD550097020021996NASDNSADNASDRegulationCorp.NASDSEC3719293BrokersDealerstradersSection3(a)SEC1234SEC5NASD11934theMunicipalSecuritiesRulemakingBoardNASD21934Section15A(g)345671193