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证券交易所规则是交易所进行上市审核、交易管理、产品创新、纪律处分等一系列自律管理职能的依据和准则。证券交易所规则体系是指在证券市场中,证券交易所为履行市场自律管理职责,依法制定的一系列规范性文件。本文对纽约证券交易所、伦敦证券交易所、台湾证券交易所、香港联交所等五家境外证券交易所的业务规则体系进行了梳理与分析,归纳比较其相关的特点,为完善我国证券交易所规则体系提供相应的借鉴。
The rules of the stock exchange are the basis and guidelines for a series of self-regulatory functions such as listing audit, transaction management, product innovation and disciplinary sanctions on exchanges. The rules system of the stock exchange refers to a series of normative documents formulated by the stock exchange in order to fulfill the duties of self-management by the market in the stock market. This article reviews and analyzes the business rules system of five overseas stock exchanges such as the New York Stock Exchange, the London Stock Exchange, the Taiwan Stock Exchange and the Hong Kong Stock Exchange. It summarizes and compares the relevant characteristics of the securities trading system in order to perfect our stock exchange The rules system provides the corresponding reference.