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ON LEGAL STATUS OF INVESTORS IN SECURITIES TRADE

FU Chun-ming

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Abstract

The security law rules that the investors can not enter the security market directly.So,trading securities in the security market,the investors have to commission securities dealers.Based on that,there is a problem that how to classify the legal relationship between securities dealer and the investor.In the sphere of theory,different people have different views about it.We must confirm the nature of it this way we can reach the goals of protesting investors,setting up optimal allocation of resources and maintaining the stability of the security market.

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What this paper is about

The security law rules that the investors can not enter the security market directly.So,trading securities in the security market,the investors have to commission securities dealers.Based on that,there is a problem that how to classify the legal relationship between securities dealer and the investor.In the sphere of theory,different people have different views about it.We must confirm the nature of it this way we can reach the goals of protesting investors,setting up optimal allocation of resources and maintaining the stability of the security market.

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Available abstract

The security law rules that the investors can not enter the security market directly.So,trading securities in the security market,the investors have to commission securities dealers.Based on that,there is a problem that how to classify the legal relationship between securities dealer and the investor.In the sphere of theory,different people have different views about it.We must confirm the nature of it this way we can reach the goals of protesting investors,setting up optimal allocation of resources and maintaining the stability of the security market.

Key concepts: Security market, Hybrid security, Third market, Commission, Broker-dealer, Business, Private placement, National best bid and offer

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ON LEGAL STATUS OF INVESTORS IN SECURITIES TRADE — Research Paper | ScholarLens