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关于《中华人民共和国政府信息公开条例》(以下简称《政府信息公开条例》)在证券领域如何适用的争论一直层出不穷,本文以2015年10月上海一中院驳回上海股民起诉上交所信息公开一案为例,分析上交所是否属于《政府信息公开条例》的适用对象及股票买入时报价排序的信息是否属于可依申请公开的政府信息。结合我国《政府信息公开条例》的司法实践,文章认为上交所可参照适用《政府信息公开条例》的规定,但股票报价排序信息不属于《政府信息公开条例》和《证券法》要求信息公开的范畴。对于本案中散户多次下单未买到股票一事,其可行的救济途径是根据他和券商的委托代理合同在合同约定的期限内起诉券商,要求券商承担代理人责任。
The controversy over how the “Regulations of the People’s Republic of China on the Disclosure of Government Information” (hereinafter referred to as the “Government Information Disclosure Ordinance”) has been emerging in the field of securities. In October 2015, a case of Shanghai Stock Exchange suing Shanghai Stock Exchange for suing the Stock Exchange of Information For example, analyze whether the SSE belongs to the applicable object of the “Government Information Disclosure Ordinance” and whether the information on the quotation when the stock is purchased is the government information that can be disclosed upon application. According to the judicial practice of China’s “Regulations on the Disclosure of Government Information,” the article holds that the SSE may refer to the provisions of the “Regulations on the Disclosure of Government Information,” but the information on stock quotes does not belong to the category of information disclosure required by the Regulations Governing the Disclosure of Government Information and the Securities Law . In the present case, multiple investors did not buy stocks, the feasible remedy approach was to sue the brokerage firms within the time limit stipulated in the contract according to the entrusted agency contract with the securities firm, and to demand that the brokerage companies take the responsibility of the agents.