| 關 鍵 詞： |
有價證券；核定權；有價證券之固有意義；表示其權利之證書；公開發行 |
| 中文摘要： |
證券交易法第二條規定，本法之適用範圍為「有價證券之募集，發行，買賣」管理，監督。因此，證券交易法係圍繞「有價證券」而存在。有價證券之定義規定於本法第六條。第一項係採「限定列舉式立法」，但金融資產證券化條例第七條及不動產證券化條例第五條卻創設了「特別法上有價證券」之類型，此一類型並不在本法預設之類型內，其效力如何？第一項內另規定主管機關有將某項文書「核定」為有價證券之「核定權」，此一核定權之行使有無界線，性質為何，如何行使？證交法上之有價證券有無所謂「固有意義」存在？第二項「表明其權利之證書」，有無界線及由誰解釋？本文中除逐一探討以上議題外，文末並挑選數則有管價證券之法院判決及行政含釋加以評析，以釐清作為證交法規範核心之「有價證券」此一課題之疑義。
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| 英文關鍵詞： |
securities；approval right；"inherent definition" of securities；document of title；public issuing |
| 英文摘要： |
Section 2 of the Securities Exchange Act stipulates that this Act applies to the regulation and supervision of "public offering, issuing, and trading of securities." Therefore, Securities Exchange Act is surrounding the term of "securities." The definition of Securities is set forth under Section 6; Paragraph 1 thereof adopts the "definitive and enumerative legislation," while Section 7 of the Financial Asset Securitization Act and Section 5 of the Real Estate Securitization Act nonetheless create a new type of securities by special law thereto-a "special law securities". Since this is not a predefined type under the Securities Exchange Act, what its effect is? The above Paragraph 1 further provides that the Competent Authority has the right to approve the securities, does such approval right have any limitation? What is its nature? How to implement same? Is there an "inherent definition" of securities in this Act? Furthermore, whether the "document of title" as set out in Paragraph 2 has any limitation? Who has the rights of interpretation or construction? The above-mentioned issues will be discussed in this paper. In addition, this paper selects several judicial decisions and administrative interpretations concerning the core concept, i.e., securities, and analyzes/clarifies any related misunderstandings deriving therefrom.
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| 目 次： |
壹、緒論
貳、證券交易法上之有價證券
一、限定列舉之有價證券
二、擬制有價證券
三、無實體有價證券
四、美日立法例
參、「核定權」與「表明其權利之證書」之規範功能
一、「核定權」之規範功能
二、「表明其權利之證書」之規範功能
肆、實務問題研析
一、發行之機構是否須為已設立登記或公開發行之公司？
二、有價證券是否限於公開募集發行者？
三、中籤通知書及繳款書是否為有價證券？
四、股份轉讓證書或股份過戶書，是否為有價證券？
五、建築物「持分單位」是否為證交法上有價證券？
六、「具有股權性質之有價證券」之適用範圍？
伍、結論
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