摘要：证券市场历来被人们称作国民经济发展的晴雨表，对国家整体经济发展有着很强的预期作用。同时，也为广大投资者带来许多风险收益和损失。我国证券市场已有20 多年的发展历程，对中国的实体经济和虚拟经济都具有十分深远的影响,证券市场不仅在现代金融市场体系中占有极其重要的地位,同时也是我国市场经济体系的重要组成。在证券市场的迅速发展进程中，还存在着许多问题，由于经验不足，许多制度并不健全，使得证券市场充斥着欺诈客户、操纵市场、内幕交易等众多违法现象，严重损害了投资者的合法权益，破坏了证券市场公平、公正、公开原则，因而，深入探究证券市场违法现象的成因及其治理对策对加强证券市场治理尤为必要。69267

本文通过对证券市场违法现象全面深入的分析，探寻我国证券违法现象形成的内外部原因，为有效防范和减少证券违法行为提出了相应的对策和建议。

毕业论文关键词：证券市场  违法现象  治理对策

The causes of illegal phenomenon in the securities market and the Countermeasures

Abstract：China's securities market after 20 years of development, has been on China's real economy and virtual economy produced far-reaching effect. The stock market has always been described as a barometer of national economic development, have a strong expectation, the expected effect, but also the vast number of investors to bring many risks of gains and losses, the insider trading is widely considered to be inequities in access to information, to obtain illegal income of a bad trading behavior. Securities market, insider trading is always states securities regulators against the illegal and criminal acts. Because of this behavior, use of ordinary investors are not informed of the internal information to obtain economic benefits, the serious violations of the securities market of the three principles, the stock market can not effectively play the function of resource allocation, is not conducive to the healthy development of securities market. However, from the national crackdown on insider trading is effective, the results are often not just as one wishes. China Securities Regulatory Commission has always attached importance to crack down on insider trading, although also investigated a number of major cases, but the real from the removal of insider trading goals to go far.

Key Words: Securities Market   Illegal Crime  Strategy

目录

一、 引言 6

（一）选题的背景 6

（二）选题的意义 6

（三）文献综述 7

二、 证券市场违法现象的现状 8

（一）证券市场违法现象的现状 8

（二）证券市场违法现象的行为态势 11

三、证券违法现象原因分析 13

（一）信用交易屡禁不绝 13

（二）证券违法行为人文化程度较高 13

（三）证券代理机构非法自营 13

（四）立法不完善，导致违法行为有机可乘 14

（五）证券违法行为暗数较高、隐蔽性较强 14

（六）政府的角色错误 15

（七）法律法规监管制度原因 16

（八）证监会监管制度原因