An Empirical Study On The Legal Regulation Of Stock Trading Staff

Firstly,this paper sorts out the denotation and connotation of the concept of securities practitioners,and makes statistics on the number of securities practitioners and the current legislation.Then through the classification of 936 administrative penalties and 216 market prohibition published by the CSRC in the last 13 years,a comparison is made between the number of violations of the different groups,and the reasons for the design of the legal system for the prohibition of the stock sale and the implementation effect of the current securities practitioners are analyzed and the suggestions for the implementation are put forward.From the absolute number of statistics,the number of stock violations by the securities practitioners is relatively small by prohibiting the securities jobholders from buying and selling stocks.However,this system has also caused a series of problems,such as infringement of the property rights of citizens,the guiding role of the professional value investment,and the equity incentive of the securities industry.Then,the reasons for the problem are analyzed from the angle of historical rationality and the theory of China's law and economic growth.At the end of this paper,the conclusion is that the prohibition system which leads to the problem has its function of reducing the violation,but the problems caused by the comprehensive consideration and the system of other countries are used for reference.We expect to achieve the effect of containing both violations and rights.