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一、美国之立法例美国联邦证券法渊源由以下法案组成:《1933年证券法》、《1934年证券交易法》、《1939年信托债券法》、《1940年投资公司法》、《1940年投资顾问法》和《1970年证券投资者保护法》,这些成文法案与美国法院的判例共同构成了美国庞大绵密的证券法体系。值得注意的是美国证券法所定义的证券范围十分宽泛,其中《1933年证券法》的定义具有代表性,它襄括了从传统的股票、债券,到证券组合和指数等各
I. Legislation of the United States The origin of the US federal securities laws consists of the following acts: Securities Law of 1933, Securities Exchange Act of 1934, Trust Bond Law of 1939, Investment Company Act of 1940, 1940 Investment Advisers Act and the Securities Investor Protection Act of 1970. These written acts together with the jurisprudence of U.S. courts constitute the largest and most extensive securities law system in the United States. It is worth noting that the range of securities defined by the U.S. securities laws is very broad. Among them, the definition of “Securities Law of 1933” is representative. It covers the range from traditional stocks and bonds to securities and index