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研究证券业务规则的法律属性和效力,探求法院介入相关案件的司法政策,具有重要的理论和现实意义。证券业务规则是证券法律制度的重要组成部分,在证券法律制度中具有独特的功能和不可替代的优势,作为行业自律性规范,其具有维护公共利益的功用。司法审查应当坚持“合法性审查为主”、“商事规则优先”、“法律效果与市场效果统一”等原则。
Studying the legal attributes and effectiveness of securities business rules and exploring the judicial intervention of courts in related cases have important theoretical and practical significance. Securities business rules are an important part of the securities legal system. They have unique functions and irreplaceable advantages in the legal system of securities. As a standard of self-discipline in the industry, they have the function of safeguarding the public interest. Judicial review should adhere to the principle of “legitimacy review ”, “commercial rules priority ”, “legal effect and market effect unified ” and so on.