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华中科技大学硕士学位论文瑞士与美国版权耗尽与平行进口比较研究姓名：詹爱岚申请学位级别：硕士专业：经济法学指导教师：余翔20050421I3332EFTANAFTAEFTANAFTAIIAbstractByforceofthecomparativeresearchonparallelimportsofcopyrightproductsandexhaustionofcopyrightofSwitzerlandandtheUnitedStatesofAmerica.Thispapergivesadeepanalysisontheprinciplesofexhaustionandparallelimportation,fromthepointofviewoflawtheoriesandprovisions.ThisresearchsumupthejudicialrulesinSwitzerlandandUnitedStates,whichwereestablishedinthecasestudyonsubstantialleadingcases.Asaspecialresearch,thispaperanalysesthecustomsadministrativepracticeandthenewdevelopmentoftheUnitedStates.Somecurrentcustomsadministrativecriteriawereabstracted.Furthermore,thispaperalsoextendsitsresearchtotheEFTAandNAFTA,findthatnouniformruleswereestablishedbybothregionalagreements,SwitzerlandandtheUnitedStatescanadoptanyoneexhaustionofrightdoctrinebythemselves.ThisResearchisimportantnotonlyfortheory,butalsoforpractice.Itcansupplyreferencestoconstituteourparallelimportingpolicyofcopyright.SinceSwitzerlandandtheUnitedStatesofAmericaarethevitalpartnersofcopyrighttrade,thesignificanceofthisresearchistoprovideadirectorytotheexportenterprisestosetouttheirmarketingstrategies.KeyWordsParallelImportsIntellectualPropertyCopyrightExhaustionInternationalTrade2005430_____2005430200543011JosephKohlerTRIPS61.11.1.1Wegner,,[1][2],()(),2,,,,,1.1.21.1.3[3]31.21.2.1ECJNZIER1998[4]OECDGaryHewitt1985Tarr1988Hilke1999NERA2001[5]EuropeanEconomicAreaEEA28EuropeanCourtofJusticeECJTheEuropeanFreeTradeAssociationEFTA303628301989Stern4[6]SternMaskus1998QualityKing[7]1.2.2[8][9]1.31.3.1TRIPSTRIPSWTOTRIPS6WTO345TRIPS2866TRIPS9TRIPSTRIPS4[10]1.3.2()19942,,1.3.36WCT[11]1.472(EEA)1992Eurolexprogram1992EEAEEA2.11992[12]2.1.1121121[13]2.1.2121bis121bis20021211bis8abc200281[14]2002121bisDVD121bisDVDDVDcascadeprinciple[15]121bis12DVD2003620[16]2.1.33(2)7(2)(c)918[17]EFTAEFTAEFTA2.220005311998ImprafotAGv.Nintendo[18][19]GameBoyNintendoWaldmeierAGNintendoImprafotAG12[20]10123[21]1997BBS[22]12Nintendo12Nintendothegrammaticalinterpretationthehistoricalinterpretationthesystematicinterpretationtheteleologicalinterpretation[23]Chanel112.32.3.1NintendoMarianneBieri-Gut[24]Rehbinder[25]Nintendo13Nintendo2.3.212[26]Zäch[27][28][29]RogerZäch2.3.3Cottier[30]AloisTroller[31]2.41312319981433.1[32]109atheFirstSaleDoctrine3.1.110631976106Nimmer106107120123……106319763.1.2109a1976106109109a1063ExhaustionofRight151908Bobbsv.Straus109a3.1.3602a109a602a602a106501……106602a3.1.4200219CFR133.42ab199411NorthAmericanFreeTradeAgreementNAFTANAFTANAFTA1701NAFTA17052NAFTA1718163.2109aBMG3.2.111986Hearstv.Stark[33]602aHearstStark109a602a109a602a1991BMGv.Perez[34]109a109a602a1982Nintendov.Elcon[35]21984CBSv.Scorpio[36]1976109a602aCBSCBS-Sony17Scorpio31995ParfumsGivenchyv.Drug[37]Drug602aParfumsGivenchyParfumsGivenchyDrugParfumsGivenchy602a106341987Sebastianv.Consumer[38]SebastianConsumer1996QualityKingv.L’anza[39]ReimportationL’anzaQualityKingL’anza18QualityKing602aSolicitorGeneralL’anzaL’anza1976W.Patry109a3.2.22003Lingov.Topix[40]UMGv.Norwalk[41]LingoLingoTopixCometLingoLingoCometLingoTopixLingoTopixCometLingoLingoTopix602(a)501(a)109a3.2.3109a602a109a602a19109a602a3.33.3.1BMG203.3.2Nimmer[42]DeForest[43]3.3.3QualityKing213.41976602a602b200219CFR133.42ab1976602[44]ITC[45]200321DepartmentofHomelandSecurityBureauofCustomsandBorderProtectionCBPImmigrationandCustomsEnforcement200493019CFR133.42b19CFR133.42f[46]3.5225121ITC22344.1EFTAEFTAEFTAEFTA[47]EFTAEFTAEEA[48]”1998EFTAAstraNorgeAs[49]19961998EFTABorgarting[50]EEA111365/65/EECEFTA[51]EFTAMaglite[52]EFTAEFTAEFTAEEAEEAEEA244.2NAFTA1992NAFTANAFTA1995CBAv.RecordStoreNAFTACBACBAGrupoMusicaGrupoMusica199744.21996NAFTANAFTANAFTA[53]NAFTA254.3EFTANAFTAEFTANAFTAEEAEFTA2655.1EFTA121996Chanel1999Kodak197019711893231978275.2285.32966.146114719921520043132004716.2[54][55]6.3WTO30126.46.4.123453111TRIPS31.32523324456.4.21232200532033[1]·,·..,,2000(1):28-34[2]..,2001(3):49[3]..,1998(4):23[4]SeeNZIER,ParallelImportingATheoreticalandEmpiricalInvestigationReporttoMinistryofCommerce,February1998,[5]SeeOECD,SynthesisonParallelImports,2001:19-38[6]SeeStern,RH,SomeReflectiononParallelImportationofCopyrightProductsintotheUnitedStatesandtheRelationoftheExhaustionDoctrinetotheDoctrineofImpliedLicence,EIPR,1989(4):119-127[7]SeeKeithE.Maskus,parallelimports,theWorldEconomy,Vol.23No.9,p1273[8]..,1998(7):6[9]..[10].51[11].525[12]1992200281[13]SeeSwitzerlandParallelimports,InternationalFinancialLawReview,London,Jan.1999:45-46[14]SeeFilmimportsnowonlywiththeconsentofSwisscopyrightowners,[15],DVD,,[16]SeeLegalInformatiom,AmendmentofArticle12oftheFederalLawonCopyright34andNeighbouringRights,[17]SwissIP&CompetitionBriefing,FRORIEPRENGGLI,ZurichGenevaZugLondon,February2001:2-3[18]SeeImprafotAGv.NintendoCo.,CaseNo.4C.45/1998/zusBGE124III321,BGE124III321[19]SeeE.I.P.R.1999(7):373[20],,[21]SeeSwissAnt