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我国券商的数量多年间几乎没有变化,一直稳定在100多家。无论从证券监管的一般原则,还是从全球各国的实践看,放开证券公司牌照数量,增强市场开放程度,有利于证券行业创新发展。从国际来看,无论是成熟市场、新兴市场或是处在转轨经济中的市场,普遍特点是牌照种类各异,机构数量多。美国证监会发放经纪交易商和投资顾问牌照。2012年底,在美国金融业监管局(FINRA)注册的有4289家公
The number of brokerages in China has remained virtually unchanged over the years and has remained stable at more than 100. No matter from the general principle of securities supervision or from the practice of all countries in the world, opening up the number of securities companies licenses and enhancing market openness will be conducive to the innovation and development of the securities industry. Internationally, whether it is a mature market, an emerging market or a market in a transitional economy, the general feature is the variety of licenses and the large number of agencies. The Securities and Futures Commission issues brokerage dealers and investment advisers licenses. By the end of 2012, there were 4,289 companies registered with the FINRA