中美证券监管合作研究
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摘要
在金融全球化背景下,国际证券监管合作更有利于维护投资者的利益,更有利于保障资本市场的稳定。对于中美两国而言,全球性金融危机的发生为两国证券监管合作提供了契机。然而,证券监管合作问题既是一个经济问题又是一个政治问题,甚至在一定程度上还首先或优先体现为政治问题,主权政治因素可以直接决定证券监管合作的成败。因此在探讨中美证券监管合作时,需要同时从经济制度、法律制度以及主权政治的不同角度看待这个问题：一方面,要分析经济制度(全球性金融危机)与主权政治这两个方面对中美证券监管合作带来的挑战；另一方面,要从法律制度与主权政治这两个方面寻求应对策略。从主权政治层面应对挑战主要是基于战略的层面进行,从法律制度的层面应对则是基于战术的层面进行。只有解决好国家间政治问题,经济领域的法律合作才能取得更明显的成效。
另外,由于中美两国在证券监管方面的合作,不仅取决于一个国家的意愿,而且还取决于另一个国家的响应,因此对中国而言明智的作法是：一方面,应当积极寻求与美国的合作。这些合作的领域主要包括证券的发行领域、交易领域以及结算领域,合作的内容则主要包括立法领域、司法领域以及执法领域；另一方面,也应当积极应对影响两国合作的挑战。这些应对策略主要包括主权政治方面与法律制度方面。同时,学习也是一种有效的合作方式。
本文坚持这样的写作思路：中美证券监管合作的目的是什么(what)?进而,中美证券监管合作的领域有哪些(where)?进而,中美证券监管合作的形式是什么(What)?进而,中美证券监管合作的内容是什么(what)?进而,中美证券监管合作面临的挑战有哪些(what)?进而,如何应对中美证券监管合作面临的挑战(how)?据此除绪论之外,本文的主体内容包括如下几个部分：
第一部分：关于中美证券监管合作的目的。中美证券监管合作的目的,主要包括四个方面,即促进信息披露、防范财务舞弊、协调诉讼管辖以及落实裁判执行等四个方面。在这四个方面,中美可以在立法、司法以及执法层面进行有效合作,包括完善中美两国促进信息披露与防范财务舞弊的立法规范以为保护投资者利益及维护资本市场稳定提供充分法律依据,协调中美两国法院的管辖权冲突以使财务舞弊与内幕交易等损害投资者利益及危害资本市场稳定的违规、违法行为及时得到法院的审理并且法院的判决及时得到承认与执行,以及实现在执法领域的信息共享与协助调查等等。
第二部分：关于中美证券监管合作的领域。中美证券监管合作的领域主要包括三个方面,即证券的发行领域、证券的交易领域以及证券的结算领域。
第三部分：关于中美证券监管合作的形式。中美证券监管合作的形式主要分为两种,即全球性框架下的合作形式与双边性框架下的合作形式。
第四部分：关于中美证券监管合作的内容。中美证券监管合作的内容主要分布在三个领域,即立法层面、司法层面与执法层面。只有在这三个层面进行有效合作,才能保障中美证券监管合作目的的实现。
第五部分：关于中美证券监管合作面临的挑战。影响中美证券监管合作的问题主要包括全球性金融危机问题以及主权政治问题。这些因素会从同时从正和／或负两个方面对中美证券监管合作产生影响。1、关于全球性金融危机问题。全球性金融危机的产生,为中美证券监管合作提供了契机。美国次贷危机引发全球性金融危机这一事实表明,美国的监管机制尚有不完善之处,因此也会致力于寻求改善。同时,由于是美国的国内金融危机引发了全球性金融危机,因此美国会放低姿态而追求与其他国家的合作；2、关于主权政治问题。虽然全球性金融危机为加强中美证券监管合作以及更高层面上的国际证券监管合作提供了契机,但是合作能否有效开展以及合作的成效如何,还取决于中美两国政治关系的发展情况以及更高层面上的南北合作的发展情况。主权政治因素,能够随时启动或者中断中美两国在证券监管领域的合作进程,即便两国证券监管合作处于既必要又可行的时期也是如此。也就是,中国应当在积极谋求与美国开展合作的同时,也要做好与美国的合作不能顺利进行的准备。
第六部分：关于如何应对中美证券监管合作面临的挑战。关于应对策略可以从两个方面入手：1、主权政治方面。主权政治因素是影响中美证券监管合作的决定性因素,要有效应对这个因素可能带来的负面影响也只能首先从主权政治的层面入手。如果中美两国能够在政治层面保持稳定的双边关系,就有利于两国在证券监管以及整个资本市场监管方面的合作,否则就不利于两国的合作。因此对于中国而言,应当在主权政治方面采取主动姿态,在尽力谋取两国开展有效合作的同时,也要做好两国难以进行或者至少在短时间内难以进行有效合作的防范与准备,从而采取主权政治方面的必要措施保障国家金融安全,同时推进国际货币体系改革；2、法律制度层面。从法律制度层面应对中美证券监管合作面临的挑战主要分为三个方面：(1)关于完善国内相关立法规范。通过完善国内相关立法规范,可以有效地对本国资本市场进行监管,同时也可以有效地对进入中国的外国资本以及外国金融机构进行监管；(2)关于完善国内相关司法程序。通过完善国内相关司法程序,可以有效地保护本国以及外国投资者的利益,同时也可以有效地对危害我国资本市场稳定的外国金融机构的行为进行规制。完善国内司法程序,主要是指完善关于保护投资者利益的诉讼程序,目的是为利益受到损害的投资者提供有效的司法救济；(3)关于参订相关国际规范。在国际货币体系以及国际金融监管这一宏观层面上,通过参与国际规范的制定可以从根本上对抗西方发达国家在国际货币体系中的强权,以有效维护我国投资者的利益、保障资本市场的稳定进而有效维护我国国家金融安全,同时还可以从根本上增加我国证券市场主体合法地从国际机制中获取的红利。
In the context of financial globalization, international cooperation in securities regulation will be of much benefits to the protection of the interests of investors, and maintenance the stability of capital markets. With regard to China and the United States, the occurrence of the global financial crisis has provided an opportunity for the cooperation in securities regulation between the two countries. However, cooperation in securities regulation is not only an economic issue but a political issue, and to some extent which represents firstly or preferentially a political issue. The factor of sovereignty politics can directly determine the success or failure of the cooperation in securities regulation. Therefore, during the discussion of the cooperation in securities regulation between China and the United States, we need to view this question from the different perspectives at the same time, such as economic system, legal system and the sovereignty politics:on the one hand, to analyze the challenges for the cooperation arising from economic system (global financial crisis) and sovereignty politics; on the other hand, to seek the coping strategies from legal system and the sovereignty politics. To meet the challenges at the sovereignty politics level is mainly based on the strategic level, whereas to meet the challenges at the legal system level is based on tactical level. Only if resolve the political problems between countries, the legal cooperation in the field of economy could obtain much more obvious effects.
In addition, whereas the cooperation in securities regulation between China and the United States depends not only on the will of a single country, but also on the response of the other country, for China the advisable actions are:firstly, to seek positively the cooperation with the United States. These areas of cooperation include mainly the field of securities offering, securities trading, and securities clearing and settlement. Otherwise, the contents of the cooperation include mainly the fields of legislation, justice, and law enforcement; secondly, to cope with positively the challenges affecting the bilateral cooperation. These coping strategies include the aspects of sovereignty politics and legal system. At the same time, learning is also an effective means of cooperation.
This article adheres to this thought of writing: What are the purposes of the Sino-US cooperation in securities regulation? Furthermore, what are the areas of the Sino-US cooperation in securities regulation? Furthermore, what are the forms of the Sino-US cooperation in securities regulation? Furthermore, what are the contents of the Sino-US cooperation in securities regulation? Furthermore, what are the challenges that Sino-US cooperation in securities regulation faces? Furthermore, how can we to cope with the challenges? Accordingly, apart from the introduction, the main body of this article includes the following sections:
Part I:On the purposes of the cooperation in securities regulation between China and the United States. The purposes represent mainly the following four aspects, namely, the promotion of information disclosure, the prevention of financial fraud, the coordination of the conflicts of jurisdiction, and the fulfilment of judgement. In these four aspects, China and the United States could carry out effective cooperation in the levels of legislative, judicial and law enforcement:to perfect the laws and regulations which can promote the information disclosure and the prevention of financial fraud, so as to provide sufficient legislative authority for the protection of the interests of the investors and for the maintenance of the stability of the capital markets; to coordinate the conflicts of jurisdiction between the courts of China and the United States, so as to ensure the unlawful or illegal activities either impairing the interests of the investors such as financial fraud and insider trading or endangering the stability of capital markets, could be heard by the courts without delay, and the court decisions could be recognized and enforced in time; to carry out the information sharing and the investigation assistance, and so on.
PartⅡ:On the areas of the cooperation in securities regulation between China and the United States. The areas of the cooperation include mainly three aspects, namely, the area of securities offering, securities trading, and securities clearing and settlement.
PartⅢ:On the forms of the cooperation in securities regulation between China and the United States. The forms include two major types, namely, the form of global cooperation and the form of bilateral cooperation.
PartⅣ:On the contents of the cooperation in securities regulation between China and the United States. The contents include three major fields, namely, the field of legislation, the field of justice, and the field of law enforcement. Only if the two countries carry out effective cooperation the purposes of the Sino-US cooperation may come true.
PartⅤ:On the challenges for the cooperation in securities regulation between China and the United States. The factors affecting the cooperation include mainly the factor of the global financial crisis and the factor of sovereignty politics. These two factors will affect the cooperation positively and/or negatively at the same time. First, on the global financial crisis. The occurrence of the global financial crisis has provided an opportunity for the cooperation between China and the United States. The fact that the U.S. subprime mortgage crisis has triggered the global financial crisis makes it clear that the regulatory mechanism of the United States is still imperfect, therefore the United States will also commit itself to seeking improvements. Moreover, since the domestic financial crisis in the United States has triggered the global financial crisis, the United States would keep a low profile and in pursuit of cooperation with other countries; Second, on the sovereignty politics. Although the global financial crisis provides an opportunity for strengthening the cooperation in securities regulation between the two countries and even the cooperation at the international level, the development (or not) of the cooperation and the effects of the cooperation depend on the development of the bilateral political relations between China and U.S., and even the development of North-South cooperation in a higher level. The factor of sovereignty politics can start up or break off at any time the process of cooperation in securities regulation, even though the cooperation is not only necessary but feasible as well. In a word, China should actively seek cooperation with the United States; meanwhile, China also should make preparations for the poor development of the cooperation with the United States.
PartⅥ:On the coping strategies for the challenges. The coping strategies can be divided into two aspects:First, sovereignty politics aspect. Sovereignty politics is the decisive factor which affects the Sino-US cooperation in securities regulation. Therefore, we have to take measures at the level of sovereignty politics to cope with the negative impacts resulting from the factor of sovereignty politics. If China and the United States can maintain stable bilateral relations at the level of politics, which will benefit the cooperation in securities regulation and even the cooperation in regulation of the whole capital market, and vice versa. So China should keep a high profile at the level of sovereignty politics, while trying to seek effective cooperation between the two countries, China should also make preparations for the hard development, or at least in a short time the hard development of the cooperation between the two countries; thereby, China should take necessary measures at the level of sovereignty politics to safeguard the national financial security, in the meantime, to promote the reform of the international monetary system; Second, legal system aspect. The coping strategies at the level of legal system include three major parts:(1)on the perfection of the domestic laws and regulations. China can effectively regulate both the domestic capital markets and the foreign capital and financial institutions as well by virtue of the perfection of the domestic laws and regulations; (2)on the perfection of domestic judicial process. China can effectively both protect the interests of the domestic and foreign investors and regulate the activities of the foreign financial institutions impairing the stability of China capital markets through the perfection of the domestic judicial process. The perfection of domestic judicial process mainly refers to perfecting the proceedings with respect to profecting the interests of the investors, which aims to provide valid judicial remedy for the investors whose interests are damaged; (3) on the participation in the enactment of relevant international norms. At the macro level of international monetary system and international financial regulation, China can effectively confront the hegemony of western countries on the international monetary system by means of participating in the enactment of relevant international norms, so as to protect the interests of domestic investors, to safeguard the stability of the domestic capital markets and further the national financial security, and still to increase the bonus that the principal parts in China capital market legally obtain in international mechanism.
另外,由于中美两国在证券监管方面的合作,不仅取决于一个国家的意愿,而且还取决于另一个国家的响应,因此对中国而言明智的作法是：一方面,应当积极寻求与美国的合作。这些合作的领域主要包括证券的发行领域、交易领域以及结算领域,合作的内容则主要包括立法领域、司法领域以及执法领域；另一方面,也应当积极应对影响两国合作的挑战。这些应对策略主要包括主权政治方面与法律制度方面。同时,学习也是一种有效的合作方式。
本文坚持这样的写作思路：中美证券监管合作的目的是什么(what)?进而,中美证券监管合作的领域有哪些(where)?进而,中美证券监管合作的形式是什么(What)?进而,中美证券监管合作的内容是什么(what)?进而,中美证券监管合作面临的挑战有哪些(what)?进而,如何应对中美证券监管合作面临的挑战(how)?据此除绪论之外,本文的主体内容包括如下几个部分：
第一部分：关于中美证券监管合作的目的。中美证券监管合作的目的,主要包括四个方面,即促进信息披露、防范财务舞弊、协调诉讼管辖以及落实裁判执行等四个方面。在这四个方面,中美可以在立法、司法以及执法层面进行有效合作,包括完善中美两国促进信息披露与防范财务舞弊的立法规范以为保护投资者利益及维护资本市场稳定提供充分法律依据,协调中美两国法院的管辖权冲突以使财务舞弊与内幕交易等损害投资者利益及危害资本市场稳定的违规、违法行为及时得到法院的审理并且法院的判决及时得到承认与执行,以及实现在执法领域的信息共享与协助调查等等。
第二部分：关于中美证券监管合作的领域。中美证券监管合作的领域主要包括三个方面,即证券的发行领域、证券的交易领域以及证券的结算领域。
第三部分：关于中美证券监管合作的形式。中美证券监管合作的形式主要分为两种,即全球性框架下的合作形式与双边性框架下的合作形式。
第四部分：关于中美证券监管合作的内容。中美证券监管合作的内容主要分布在三个领域,即立法层面、司法层面与执法层面。只有在这三个层面进行有效合作,才能保障中美证券监管合作目的的实现。
第五部分：关于中美证券监管合作面临的挑战。影响中美证券监管合作的问题主要包括全球性金融危机问题以及主权政治问题。这些因素会从同时从正和／或负两个方面对中美证券监管合作产生影响。1、关于全球性金融危机问题。全球性金融危机的产生,为中美证券监管合作提供了契机。美国次贷危机引发全球性金融危机这一事实表明,美国的监管机制尚有不完善之处,因此也会致力于寻求改善。同时,由于是美国的国内金融危机引发了全球性金融危机,因此美国会放低姿态而追求与其他国家的合作；2、关于主权政治问题。虽然全球性金融危机为加强中美证券监管合作以及更高层面上的国际证券监管合作提供了契机,但是合作能否有效开展以及合作的成效如何,还取决于中美两国政治关系的发展情况以及更高层面上的南北合作的发展情况。主权政治因素,能够随时启动或者中断中美两国在证券监管领域的合作进程,即便两国证券监管合作处于既必要又可行的时期也是如此。也就是,中国应当在积极谋求与美国开展合作的同时,也要做好与美国的合作不能顺利进行的准备。
第六部分：关于如何应对中美证券监管合作面临的挑战。关于应对策略可以从两个方面入手：1、主权政治方面。主权政治因素是影响中美证券监管合作的决定性因素,要有效应对这个因素可能带来的负面影响也只能首先从主权政治的层面入手。如果中美两国能够在政治层面保持稳定的双边关系,就有利于两国在证券监管以及整个资本市场监管方面的合作,否则就不利于两国的合作。因此对于中国而言,应当在主权政治方面采取主动姿态,在尽力谋取两国开展有效合作的同时,也要做好两国难以进行或者至少在短时间内难以进行有效合作的防范与准备,从而采取主权政治方面的必要措施保障国家金融安全,同时推进国际货币体系改革；2、法律制度层面。从法律制度层面应对中美证券监管合作面临的挑战主要分为三个方面：(1)关于完善国内相关立法规范。通过完善国内相关立法规范,可以有效地对本国资本市场进行监管,同时也可以有效地对进入中国的外国资本以及外国金融机构进行监管；(2)关于完善国内相关司法程序。通过完善国内相关司法程序,可以有效地保护本国以及外国投资者的利益,同时也可以有效地对危害我国资本市场稳定的外国金融机构的行为进行规制。完善国内司法程序,主要是指完善关于保护投资者利益的诉讼程序,目的是为利益受到损害的投资者提供有效的司法救济；(3)关于参订相关国际规范。在国际货币体系以及国际金融监管这一宏观层面上,通过参与国际规范的制定可以从根本上对抗西方发达国家在国际货币体系中的强权,以有效维护我国投资者的利益、保障资本市场的稳定进而有效维护我国国家金融安全,同时还可以从根本上增加我国证券市场主体合法地从国际机制中获取的红利。
In the context of financial globalization, international cooperation in securities regulation will be of much benefits to the protection of the interests of investors, and maintenance the stability of capital markets. With regard to China and the United States, the occurrence of the global financial crisis has provided an opportunity for the cooperation in securities regulation between the two countries. However, cooperation in securities regulation is not only an economic issue but a political issue, and to some extent which represents firstly or preferentially a political issue. The factor of sovereignty politics can directly determine the success or failure of the cooperation in securities regulation. Therefore, during the discussion of the cooperation in securities regulation between China and the United States, we need to view this question from the different perspectives at the same time, such as economic system, legal system and the sovereignty politics:on the one hand, to analyze the challenges for the cooperation arising from economic system (global financial crisis) and sovereignty politics; on the other hand, to seek the coping strategies from legal system and the sovereignty politics. To meet the challenges at the sovereignty politics level is mainly based on the strategic level, whereas to meet the challenges at the legal system level is based on tactical level. Only if resolve the political problems between countries, the legal cooperation in the field of economy could obtain much more obvious effects.
In addition, whereas the cooperation in securities regulation between China and the United States depends not only on the will of a single country, but also on the response of the other country, for China the advisable actions are:firstly, to seek positively the cooperation with the United States. These areas of cooperation include mainly the field of securities offering, securities trading, and securities clearing and settlement. Otherwise, the contents of the cooperation include mainly the fields of legislation, justice, and law enforcement; secondly, to cope with positively the challenges affecting the bilateral cooperation. These coping strategies include the aspects of sovereignty politics and legal system. At the same time, learning is also an effective means of cooperation.
This article adheres to this thought of writing: What are the purposes of the Sino-US cooperation in securities regulation? Furthermore, what are the areas of the Sino-US cooperation in securities regulation? Furthermore, what are the forms of the Sino-US cooperation in securities regulation? Furthermore, what are the contents of the Sino-US cooperation in securities regulation? Furthermore, what are the challenges that Sino-US cooperation in securities regulation faces? Furthermore, how can we to cope with the challenges? Accordingly, apart from the introduction, the main body of this article includes the following sections:
Part I:On the purposes of the cooperation in securities regulation between China and the United States. The purposes represent mainly the following four aspects, namely, the promotion of information disclosure, the prevention of financial fraud, the coordination of the conflicts of jurisdiction, and the fulfilment of judgement. In these four aspects, China and the United States could carry out effective cooperation in the levels of legislative, judicial and law enforcement:to perfect the laws and regulations which can promote the information disclosure and the prevention of financial fraud, so as to provide sufficient legislative authority for the protection of the interests of the investors and for the maintenance of the stability of the capital markets; to coordinate the conflicts of jurisdiction between the courts of China and the United States, so as to ensure the unlawful or illegal activities either impairing the interests of the investors such as financial fraud and insider trading or endangering the stability of capital markets, could be heard by the courts without delay, and the court decisions could be recognized and enforced in time; to carry out the information sharing and the investigation assistance, and so on.
PartⅡ:On the areas of the cooperation in securities regulation between China and the United States. The areas of the cooperation include mainly three aspects, namely, the area of securities offering, securities trading, and securities clearing and settlement.
PartⅢ:On the forms of the cooperation in securities regulation between China and the United States. The forms include two major types, namely, the form of global cooperation and the form of bilateral cooperation.
PartⅣ:On the contents of the cooperation in securities regulation between China and the United States. The contents include three major fields, namely, the field of legislation, the field of justice, and the field of law enforcement. Only if the two countries carry out effective cooperation the purposes of the Sino-US cooperation may come true.
PartⅤ:On the challenges for the cooperation in securities regulation between China and the United States. The factors affecting the cooperation include mainly the factor of the global financial crisis and the factor of sovereignty politics. These two factors will affect the cooperation positively and/or negatively at the same time. First, on the global financial crisis. The occurrence of the global financial crisis has provided an opportunity for the cooperation between China and the United States. The fact that the U.S. subprime mortgage crisis has triggered the global financial crisis makes it clear that the regulatory mechanism of the United States is still imperfect, therefore the United States will also commit itself to seeking improvements. Moreover, since the domestic financial crisis in the United States has triggered the global financial crisis, the United States would keep a low profile and in pursuit of cooperation with other countries; Second, on the sovereignty politics. Although the global financial crisis provides an opportunity for strengthening the cooperation in securities regulation between the two countries and even the cooperation at the international level, the development (or not) of the cooperation and the effects of the cooperation depend on the development of the bilateral political relations between China and U.S., and even the development of North-South cooperation in a higher level. The factor of sovereignty politics can start up or break off at any time the process of cooperation in securities regulation, even though the cooperation is not only necessary but feasible as well. In a word, China should actively seek cooperation with the United States; meanwhile, China also should make preparations for the poor development of the cooperation with the United States.
PartⅥ:On the coping strategies for the challenges. The coping strategies can be divided into two aspects:First, sovereignty politics aspect. Sovereignty politics is the decisive factor which affects the Sino-US cooperation in securities regulation. Therefore, we have to take measures at the level of sovereignty politics to cope with the negative impacts resulting from the factor of sovereignty politics. If China and the United States can maintain stable bilateral relations at the level of politics, which will benefit the cooperation in securities regulation and even the cooperation in regulation of the whole capital market, and vice versa. So China should keep a high profile at the level of sovereignty politics, while trying to seek effective cooperation between the two countries, China should also make preparations for the hard development, or at least in a short time the hard development of the cooperation between the two countries; thereby, China should take necessary measures at the level of sovereignty politics to safeguard the national financial security, in the meantime, to promote the reform of the international monetary system; Second, legal system aspect. The coping strategies at the level of legal system include three major parts:(1)on the perfection of the domestic laws and regulations. China can effectively regulate both the domestic capital markets and the foreign capital and financial institutions as well by virtue of the perfection of the domestic laws and regulations; (2)on the perfection of domestic judicial process. China can effectively both protect the interests of the domestic and foreign investors and regulate the activities of the foreign financial institutions impairing the stability of China capital markets through the perfection of the domestic judicial process. The perfection of domestic judicial process mainly refers to perfecting the proceedings with respect to profecting the interests of the investors, which aims to provide valid judicial remedy for the investors whose interests are damaged; (3) on the participation in the enactment of relevant international norms. At the macro level of international monetary system and international financial regulation, China can effectively confront the hegemony of western countries on the international monetary system by means of participating in the enactment of relevant international norms, so as to protect the interests of domestic investors, to safeguard the stability of the domestic capital markets and further the national financial security, and still to increase the bonus that the principal parts in China capital market legally obtain in international mechanism.
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107[英]罗杰·科特威尔.法律社会学导论[M].潘大松,等译.北京：华夏出版社,1989：55.
108[奥]欧根·埃利希.法社会学原理[M].舒国滢,译.北京：中国大百科全书出版社,2009：43.
109[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：46.
110参见[美]加里·D·利贝卡普.产权的缔约分析[M].陈宇东,等译.北京：中国社会科学出版社, 2001：4.(脚注2)
111[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：16.
112[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：16.
113[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：5.
114[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：15-16.
115[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：22.
116[美]加里·D·利贝卡普.产权的缔约分析[M].陈宇东,等译.北京：中国社会科学出版社,2001：7.
117 Gary S. Becker, Nobel Lecture:The Economic Way of Looking at Behavior, The Journal of Political Economy, Vol.101, No.3 (Jun.,1993), p.386
118 David M. Herszenhorn, Bill Passed in Senate Broadly Expands Oversight of Wall St.[EB/OL]. (2010-05-21) [2010-05-22] http://www.nytimes.com/2010/05/21/business/21regulate.html
119[美]阿瑟·莱维特,[美]葆拉·德怀尔.散户至上：证交会主席教你避险并反击股市黑幕[M].严莉,陈剑萍,译.北京：中信出版社,2005：234.
120参见[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：75.
121[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：83.
122转引自[美]亚历克斯·贝伦森.数字的谎言[M].于继革,译.北京：中信出版社,2006：178-179.
123[美]阿瑟·莱维特,[美]葆拉·德怀尔.散户至上：证交会主席教你避险并反击股市黑幕[M].严莉,陈剑萍,译.北京：中信出版社,2005：65.
124[美]阿瑟·莱维特,[美]葆拉·德怀尔.散户至上：证交会主席教你避险并反击股市黑幕[M].严莉,陈剑萍,译.北京：中信出版社,2005：61.
125[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：399.
126 Securities Exchange Act of 1934, Rule §14e-3
127章武生.论群体性纠纷的解决机制——美国集团诉讼的分析和借鉴[J].中国法学,2007,(3)：25.
128 Department of the Treasury: The Department of the Treasury Blueprint for a Modernized Financial Regulatory Structure,p.4. [2010-04-06] http://www.treas.gov/press/releases/reports/Blueprint.pdf.
129 Joseph A. Grundfest, International Cooperation in Securities Enforcement: A New United States Initiative[EB/OL]. (1988-09-09) [2010-01-02] http://www.sechistorical.org/collection/papers/1980/1988_1109_InternationalGrundfestT.pdf
130 Investors’Working Group. U. S. Financial Regulatory Reform:The Investor's Perspective[EB/OL]. (2009-07-20) [2010-3-21] http://www.cii.org/UserFiles/file/resource%20center/investment%20issues/Investors'%20Working%20Group% 20Report%20(July%202009).pdf, p.8
131[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：56.
132 Bryan A. Garner, Black's Law Dictionary (Eighth Edition), West Group,2004, p.1030
133 Bryan A. Garner, Black's Law Dictionary (Eighth Edition), West Group,2004, p.1030
134[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：43.
135[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：43.
136[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：38.
137 Gary S. Becker, Altruism, Egoism, and Genetic Fitness:Economics and Sociobiology, Journal of Economic Literature, Vol.14, No.3 (Sep.,1976), p.817
138[古希腊]亚里士多德.政治学[M].吴寿彭,译.北京：商务印书馆,1965：148.
139[古希腊]柏拉图.理想国[M].郭斌和,张竹明,译.北京：商务印书馆,2002：7.
140[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：138.
141[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：139.
142[德]霍恩.法律科学与法哲学导论[M].罗莉,译.北京：法律出版社,2005：262.
143[古希腊]亚里士多德.政治学[M].吴寿彭,译.北京：商务印书馆,1965：169.
144[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：105.
145[古希腊]柏拉图.理想国[M].郭斌和,张竹明,译.北京：商务印书馆,2002：46.
146[德]霍恩.法律科学与法哲学导论[M].罗莉,译.北京：法律出版社,2005：227.
147转引自[美]本杰明·N·卡多佐.法律的成长法律科学的悖论[M].董炯,彭冰,译.北京：中国法制出版社,2002：76.
148[古希腊]亚里士多德.政治学[M].吴寿彭,译.北京：商务印书馆,1965：171.
149[德]迪特尔·施布瓦.民法导论[M].郑冲,译.北京：法律出版社,2006：474.
150[美]丹尼尔·W.布罗姆利.充分理由——能动的实用主义和经济制度的含义[M].简练,杨希,钟宁桦,译.上海：上海人民出版社,2008：39.
151 See Schnell ν. Chris-Craft Industries, Inc.,285 A.2d 437,439 (Del.1971) and Weinberger v. UOP, Inc.,457 A.2d(Del.1983)转引自胡光志,杨署东.信义义务下的美国小股东保护制度及其借鉴[J].法律科学(西北政法大学学报)》,2008,(6)：100.
152[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：676.
153 Silver ν. New York Stock Exchange,373 U.S.341,366 (1963)
154 SEC ν. Capital Gains Research Bureau, Inc.,375 U.S.180,186-187 (1963)
155 See United States ν. Wenger,427 F.3d 840,850 (2005)
156 Henry Winthrop Ballantine, Ballantine On Corporations, Revised Edition, Callaghan and Company,1946,p.552转引自胡光志,杨署东.信义义务下的美国小股东保护制度及其借鉴[J].法律科学(西北政法大学学报),2008,(6)：98.
157[美]小奥利弗·温德尔·霍姆斯.普通法[M].冉昊,姚中秋,译.北京：中国政法大学出版社,2006：96.
158 Scott Harshbarger & Goutam U. Jois:Looking Back and Looking Forward:Sarbanes-Oxley and the Future of Corporate Goverance,40 Akron L. Rev.1,21(2007)
159 Robert Prentice: SARBANES-OXLEY: The Evidence Regarding the Impact of SOX 404,29 Cardozo L. Rev.703,722-723(November,2007)
160中国外交部.2009年12月29日外交部发言人姜瑜举行例行记者会[EB／OL].(2009-12-29)[2010-03-01] http://www.fmprc.gov.cn/chn/gxh/tyb/fyrbt/izhsl/t648690.htm.
161 Hannah L. Buxbaum, Transnational Regulatory Litigation,46 Va. J. Int'l L.251,270(Winter,2006)
162 Hannah L. Buxbaum, Transnational Regulatory Litigation,46 Va. J. Int'l L.251,270(Winter,2006)
163 Smith ν. Mutual Life Ins. Co.,96 Mass.336 (1867)
164 Chris Brummer, Stock Exchanges and the New Markets for Securities Laws,75 U. Chi. L. Rev.1435, 1440(Fall,2008)
165 See 15 USC § 781(a) (2000).
166 Rule 12g3-2 [17 CFR 240.12g3-2(2007).]
167 See15U.S.C. § 78aa
Chris Brummer, Stock Exchanges and the New Markets for Securities Laws,75 U. Chi. L. Rev.1435, 1441(Fall,2008)
169 Wolfgang Saxon. Milton Freeman,88; Wrote Securities Fraud Law [EB/OL]. (2000-07-09) [2010-03-20] http://www.nytimes.com/2000/06/09/business/milton-freeman-88-wrote-securities-fraud-law.html
170[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：784.
171若进一步了解行为标准,可参见Leasco Data Processing Equip. Corp. v. Maxwell,468 F.2d 1326,1334 (2d Cir.1972); Psimenos ν. E.F. Hutton & Co., Inc.,722 F.2d 1041,1045 (2d Cir.1983); IIT v. Vencap, Ltd., 519 F.2d 1001,1016 (2d Cir.1975)
172 SEC ν. Kasser,548 F.2d 109,114 (3 Cir.), cert. denied,431 U.S.938,97 S.Ct.2649,53 L.Ed.2d 255 (1977)
173[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：784.
174若进一步了解行为标准,可参见：Schoenbaum V.Firstbrook,405 F.2d 200,206(2d Cir.1968).
175 See Zoeisch ν. Arthur Andersen,824F.2d.27 (1987); See Berch v. Drexel Firestone,519F.2d.974 (1975)
176 Cromer Finance Ltd. v. Berger,137 F. Supp.2d 452,479-81 (S.D.N.Y.2001)
177 See Scheuer ν. Rhodes,416 U.S.232.236.40 L. Ed.2d 90.94 S. Ct.1683 (1974)
178 See Norton ν. Larney,266 U.S.511,515,69 L. Ed.413,45 S. Ct.145 (1925)
179 See Zappia Middle East Constr. Co. v. Emirate of Abu Dhabi,215 F.3d 247,253 (2d Cir.2000)
180 See London ν. Polishook,189 F.3d 196,198-99 (2d Cir.1999)
181 See Jaghory ν. New York State Dep't of Educ.,131 F.3d 326,329 (2d Cir.1997
Rule 9(b), Fed. R. Civ. P. “Fraud or Mistake; Conditions of Mind. In alleging fraud or mistake, a party must state with particularity the circumstances constituting fraud or mistake. Malice, intent, knowledge, and
other conditions of a person's mind may be alleged generally."
183 See Koehler ν. Bank of Bermuda (New York) Ltd.,209 F.3d 130,136 (2d Cir.2000)
184 See Novak v. Kasaks,216 F.3d 300,306 (2d Cir.2000)
185 See 15 U.S.C. § 78u-4(b)(2)
186 See Rothman,220 F.3d at 90
187 Novak,216 F.3d at 318
188 Rothman,220 F.3d at 90
189 Shields ν. Citytrust Bancorp, Inc.,25 F.3d 1124,1129 (2d Cir.1994)
190 SEC ν. Berger,244 F. Supp.2d 180.188 (S.D.N.Y.2001)
191IlT ν. Cornfeld,619F.2d.909,918 (1980)
192 See United States v. Cook,573 F.2d 281,283-84 (5 Cir.), cert. denied,439 U.S.836,99 S.Ct.119 (1978)
193 SEC ν. Kasser,548 F.2d 109 (3 Cir.), cert, denied,431 U.S.938,97 S.Ct.2649,53 L.Ed.2d 255 (1977)
194参见：美利坚合众国宪法.[2010-03-06]http://www.gongfa.com/html/gongfawenxian/20081119/66.html.
195 SEC ν. Unifund SAL,910 F.2d 1028,1033 (2d Cir.1990)
196 Metropolitan Life Ins. Co. ν. Robertson-Ceco Corp.,84 F.3d 560,567 (2d Cir.1996)
197 International Shoe Co. ν. Washington,326 U.S.310 (1945)
198 Milliken ν. Meyer,311 U.S.457,463 (1940)
199 International Shoe Co. ν. Washington,326 U.S.310,316 (1945)
200 International Shoe Co. ν. Washington, 326 U.S.310,319 (1945)
201 International Shoe Co. ν. Washington, 326 U.S.310,320(1945)
202 International Shoe Co. ν. Washington, 326 U.S.310, 324(1945)
203 Frederick Tung, Lost in Translation: From U.S. Corporate Charter Competition to Issure Choice in International Securities Regulation,39 Ga. L. Rev.525,543 (Winter,2005)
204 Frederick Tung, Lost in Translation: From U.S. Corporate Charter Competition to Issure Choice in International Securities Regulation,39 Ga. L. Rev.525,546(Winter,2005)
205 Hoopeston Canning Co. v. Cullen,318 U.S.313
206本文没有完整引述的相关具体法条,可以参见各相关具体法律。
207参见张翔宇.现代美国国际私法说研究[M].武汉：武汉大学出版社,1986：6.
208参见《纽约公约》 (中文文本）[EB/OL]。 [2010-02-02] http://www.uncitral.org/pdf/07-87406_Ebook_ALL.pdf.下同。
209参见潘景华.美国证券市场稽核制度之探讨(上)[M].2001年,台湾证交资料第474期(2002年10月出版)。转引自李明辉.引言.上市公司财务报告法律责任之研究[M].北京：中国财政经济出版社,2004：1.
210IOSCO证券监管的目标与原则.序言、目标与原则的陈述.
211 Greenberg ν. Bear, Stearns & Co.,220 F.3d 22,29 (2d Cir.2000)
212 Department of the Treasury. The Department of the Treasury Blueprint for a Modernized Financial Regulatory Structure”[EB/OL], p.9. [2010-04-06] http://www.treas.gov/press/releases/reports/Blueprint.pdf
213 Joseph A. Grundfest, International Cooperation in Securities Enforcement: A New United States Initiative[EB/OL]. (1988-09-09) [2010-01-02] http://www.sechistorical.org/collection/papers/1980/1988_1109_InternationalGrundfestT.pdf
214国际证监会国际组织章程[EB／OL].[2010-07-27]http://www.csrc.gov.cn/pub/newsite/gjb
215国际证券会网站[EB／OL].[2010-01-27]http://www.iosco.org/about/index.cfm?section=history
216 See David Zaring, Rulemaking and Adjudication in International Law,46 Colum. J. Transnat'l L.563, 577-78(2008)
n'Press Release, Financial Action Task Force, Communique of G-7 Finance Ministers and Central Bank Governors (Feb.20,1999), available at http://www.fsforum.org/attachments/g7pressrelease on establishment ofFSF.pdf.
Z18 Sylvia Ostry, "Looking Back to Look Forward:The Multilateral Trading System after 50 Years," In WTO Secretariat, eds., From GATT to the WTO:The Multilateral Trading System in the New Millennium,The Hague:Kluwer Law International,2000, p.106转引自屠新泉.WTO争端解决机制：规则与权力并重[J].世界经济与政治,2005, (4):70.
219屠新泉.WTO争端解决机制：规则与权力并重[J].世界经济与政治,2005,(4)：70.
220 Frederick Tung, Lost in Translation:From U.S. Corporate Charter Competition to Issure Choice in International Securities Regulation,39 Ga. L. Rev.525,568 (Winter,2005)
221[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]//[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：73.
222胡宗山.假设、模型、范式：方法论视角的国际关系理论[J].欧洲研究,2004,(4)：33.
223 OICU-IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information, Members of the International Organization of Securities Commission, P 6(a), May 2002
224 Kal Raustiala, The Architecture of International Cooperation:Transgovernmental Networks and the Future of International Law,43 Va. J. Int'lL.1,22 (2002)
225 Bryan Thomas Shipp, Filling Gaps in European Union Securities Law: Contractually Organized Supervision & the College of Euronext Regulators,23 Am. U. Int'lL. Rev.387,418-419 (2008)
226《中华人民共和国证券法》第二百三十四条规定：依照本法收缴的罚款和没收的违法所得,全部上缴国库。
227 Federal Deposit Insurance Act,§1(a)
228[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀等,译.北京：中国政法大学出版社,2003：110.
229 FDIC Mission[EB/OL].(2004-04-06) [2010-04-06] http://translate.google.com.hk/translate?hl=zh-CN&langpair=en%7Czh-CN&u=http://www.fdic.gov
"" Richard A. Posner, An Economic Approach to Legal Procedure and Judicial Administration, The Journal of Legal Studies, Vol.2, No.2 (Jun.,1973),p.402
231 Richard A. Posner, An Economic Approach to Legal Procedure and Judicial Administration, The Journal of Legal Studies, Vol.2, No.2 (Jun.,1973),p.402-403
232参见中华人民共和国政府和美利坚合众国政府关于刑事司法协助的协定[EB／OL].(2001-03-09)[2010-03-17] http://www.npc.gov.cn/wxzl/wxzl/2001-03/09/content_132034.htm.(《中华人民共和国政府和美利坚合众国政府关于刑事司法协助的协定》第二条第二款规定：“在中华人民共和国方面,中央机关为司法部；在美利坚合众国方面,中央机关为司法部长或由司法部长指定的人”。)
233参见：中华人民共和国政府和美利坚合众国政府关于刑事司法协助的协定[EB／OL].(2001-03-09)[2010-03-17] http://www.npc.gov.cn/wxzl/wxzl/2001-03/09/content_132034.htm.
234参见：中华人民共和国和阿拉伯联合酋长国关于民事和商事司法协助的协定[EB／OL].(2005-02-24)[2010-03-17] http://www.npc.gov.cn/wxzl/wxzl/2005-02/24/content_337664.htm
235邱永红.国际证券监管的合作与协调研究(下)[EB／OL].(2007-10-11)[2010-03-01] http://www.civillaw.com.cn/article/default.asp?id=35428.
236中国证监会关于《证券发行与承销管理办法》的第37号令第四条规定：中国证监会依法对证券发行和承销行为进行监督管理。
237《合格境内机构投资者境外证券投资管理试行办法》第三十八条规定：中国证监会和国家外汇局可以要求境内机构投资者、托管人提供境内机构投资者境外投资活动有关资料；必要时,可以进行现场检查。
23815 U.S.C.§§77t(a)-(b) (2006)
239 SEC. About the Division of Enforcement[EB/OL](2007-08-01) [2010-03-03] http://www.sec.gov/divisions/enforce/about.htm
240 SEC. About the Division of Enforcement[EB/OL](2007-08-01) [2010-03-03] http://www.sec.gov/divisions/enforce/about.htm
24117 C.F.R. § 202.5(f) (2008)
242[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：363.
243有关初步调查的进一步资料,可参见美国司法判例：SEC ν. Jerry T. O'Brien, Inc.,467 U.S.735,738 (1984)
24417 C.F.R. § 202.5(a) (2008)
24515 U.S.C. § 78o(c)(4)
24615 U.S.C. § 80b-3(e)
24715 U.S.C. § 80a-8(e)
248[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：48.
249[澳]陆克文.全球金融危机[EB／OL].(2009-12-03)[2010-03-25] http://www.guangzhou.china.embassy.gov.au/gzhochinese/MediaCN907.html
Z50 Edmund L. Andrews:Greenspan Concedes Error on Regulation[EB/OL]. (2008-10-24) [2010-03-18] http://www.nytimes.com/2008/10/24/business/economy/24panel.html
251 Jon Ward:He Found the Flaw?[EB/OL]. (2008-10-24) [2010-03-20] http://www.washingtontimes.com/weblogs/potus-notes/2008/Oct/24/he-found-flaw/.
252 Edmund L. Andrews:Greenspan Concedes Error on Regulation[EB/OL]. (2008-10-24) [2020-03-20] http://www.nytimes.com/2008/10/24/business/economy/24panel.html
253[美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：77.
254参见[澳]陆克文.全球金融危机[EB／OL].(2009-12-03)[2010-03-25] http://www.guangzhou.china.embassy.gov.au/gzhochinese/MediaCN907.html
255[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：162.
256[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：163.
257[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：175.
258 John Bellamy Foster, Keynes, Capitalism, and the Crisis[EB/OL]. (2009-03-20) [2010-03-25] http://mrzine.monthlyreview.org/2009/foster170309.html.
259[美]丹尼尔·W.布罗姆利.充分理由——能动的实用主义和经济制度的含义[M].简练,杨希,钟宁桦,译.上海：上海人民出版社,2008：36.
260[美]约瑟夫·E·斯蒂格利茨,[美]卡尔·E·沃尔什.经济学(上册)(第三版)[M].黄险峰等,译.北京：中国人民大学出版社,2005：236.
261[英]帕金.微观经济学(第5版)[M].梁小民,译.北京：人民邮电出版社,2003：354.
262[美]丹尼尔·W.布罗姆利.经济利益与经济制度：公共政策的理论基础[M].陈郁,等译.上海：上海三联书店,上海人民出版社,1996：59.
263[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：58.
264 Richard A. Posner, Retribution and Related Concepts of Punishment, The Journal of Legal Studies, Vol.9, No. 1(Jan.,1980), p73.
265[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：54.
266[美]约瑟夫·E·斯蒂格利茨,[美]卡尔·E·沃尔什.经济学(上册)(第三版)[M].黄险峰,等译.北京：中国人民大学出版社,2005：236.
267[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：26.
268[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：15.
269 Alan Greenspan, Testimony of Chairman Alan Greenspan-Trade policy [EB/OL]. (2000-04-04) [2010-04-20] http://www.federalreserve.gov/boarddocs/testimony/2001/200104042/default.htm
270[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：17.
271石河.“购买美国货”条款饮鸩止渴[EB／OL].(2009-02-05)[2009-07-29] http://www.gmw.cn/01gmrb/2009-02/05/content_884712.htm
272 Moira Herbst.Jobs and Protectionism in the Stimulus Package[EB/OL], (2009-02-16) [2009-07-20] http://www.businessweek.com/bwdaily/dnflash/content/feb2009/db20090216_920561.htm
273 See Christopher L. Peterson, Predatory Structured Finance,28 Cardozo L. Rev.2185,2231(April,2007)
274[美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：51.
275易宪容.华尔街金融危机的根源与反思[J].金融纵横,2009,(1)：7.
276转引自[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：62.
277[美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：71.
278[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：68.
279易宪容,华尔街金融危机的根源与反思[J].金融纵横,2009,(1)：5.
280戴相龙.当前的国际金融危机及我国的应对措施[J].中国人民大学学报,2009,(3)：36.
281[澳]陆克文.全球金融危机[EB／OL].(2009-12-03)[2010-03-25] http://www.guangzhou.china.embassy.gov.au/gzhochinese/MediaCN907.html
282 Ben S. Bernanke. Semiannual Monetary Policy Report to the Congress[EB/OL]. (2009-07-21) [2009-08-01] http://www.federalreserve.gov/newsevents/testimony/bernanke20090721 a.htm.
283 Ben S. Bernanke. Semiannual Monetary Policy Report to the Congress[EB/OL]. (2009-07-21) [2009-08-01] http://www.federalreserve.gov/newsevents/testimony/bernanke20090721a.htm.
284 [美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：184.
285戴相龙.当前的国际金融危机及我国的应对措施[J].中国人民大学学报,2009,(3)：36.
286 Buffett warns on investment'time bomb'. BBC news online. (2003-03-04) [2010-03-25] http://news.bbc.co.uk/2/hi/2817995.stm.
287戴相龙.当前的国际金融危机及我国的应对措施[J].中国人民大学学报,2009,(3)：35.
288[法]孟德斯鸠.论法的精神(上册)[M].张雁深,译.北京：商务印书馆,1961：5.
289[美]亨利·C·K·刘.从英镑霸权到美元霸权——大萧条很可能重演[J].林小芳等,摘译.国外理论动态,2007,(5)：8.
290刘欢.美国是世界最大的汇率操纵国[EB／OL].(2010-03-18)[2010-03-26] http://news.xinhuanet.com/fortune/2010-03/18/content_13193788.htm.
291[美]爱德华·萨义德.东方学[M].王宇根,译.上海：三联书店,1999：426-427.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-160.
292 Daniel J. Boorstin. America and the Image of Europe: Reflections on American Thought[M], New York: Meridian Books,1960:19.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-161.
293 New Haven Gazette, vol.2, no.18 (June 21,1787), p.142.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-162.
294 Report of the Joint Special Committee to Investigate Chinese Immigration, Washington, DC:Government Printing House,1877.转引自吕蒲,张振鹃等编译.“黄祸论”历史资料选辑[M].转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-165.
295王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-168.
296 Jonathan Spence, To Change China[M], Boston: Little, Brown and Company.1969:292.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-170.
297 Brauce Cumings.The World Shakes China[J], The National Interest,.1996,43 (1):39.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-173.
298 Robert Jervis. The Impact of the Korean War on the Cold War[J], The Journal of Conflict Resolution,1980, 24 (4):564
299 Robert Jervis. The Impact of the Korean War on the Cold War[J], The Journal of Conflict Resolution,1980, 24 (4):578-580
300 John Gittings. The Great-Power Triangle and Chinese Foreign Policy[J], The China Quarterly,1969, (39): 42
301 Philip Bridgham, Arthur Cohen, Leonard Jaffe. Mao's Road and Sino-Soviet Relations: A View from Washington,1953[J], The China Quarterly,1972, (52):670.
302 Michael B. Yahuada. Chinese Foreign Policy after 1963:The Maoist Phases[J], The China Quarterly,1968, (36):96
303 Alan Greenspan, Testimony of Chairman Alan Greenspan-Trade policy [EB/OL]. (2000-04-04) [2010-04-20] http://www.federalreserve.gov/boarddocs/testimony/2001/200104042/default.htm
304[美]阿尔温·托夫勒.第三次浪潮[M].朱志焱,等译.北京：新华出版社,1996：37.
305[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：66.
306[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：61.
307[英]戴维·赫尔德等.驯服全球化——管理的新领域[M].童新耕,译.上海：、上海译文出版社,2005：34.
308[英]戴维·赫尔德等.驯服全球化——管理的新领域[M].童新耕,译.上海：上海译文出版社,2005：38.
309王贵国.经济全球化与全球法治化[J].中国法学,2008,(1)：12-14.
310朱峰.国际关系研究中的法律主义[J].中国社会科学,2007,(2)：135.
311这些完善规则能够“决定所有在规则确定之后的政治法案,限制随意制定的法案的自由”,参见[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民 大学出版社,2004：87.
Jagdish N. Bhagwati, The World Trading System at Risk. Princetong, NJ: Princeton Universtiy Press,1992.转引自[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：96.
313自美国总统奥巴马上台以来,中美两国在对台军售、人权问题、人民币汇率问题等方面不断发生摩擦。中国外交部发言人秦刚在2010年3月30日“就中国关系答记者问”就指出,“奥巴马政府就职后,在中美双方共同努力下,中美关系取得了积极发展。前一段时间,中美关系受到不应有的干扰,这不符合双方共同利益”。参见秦刚.外交部发言人秦刚就中美关系答记者问[EB／OL](2010-03-30)[2010-04-05]http://www.fmprc.gov.cn/chn/pds/wjdt/fyrbt/t676218.htm
314郑熙文.中美需要富有成果的协调与合作——写在第二轮中美战略与经济对话之前[EB／OL].(2010-05-21)[2010-05-22] http://www.gmw.cn/content/2010-05/21/content_1127658.htm
315一段时间以来,美国不断就人民币汇率问题对中国施压。具体内容请参见羊城晚报.人民币汇率七年之痒[EB／OL].[2010-05-20]http://www.ycwb.com/ePaper/ycwb/html/2010-05/22/content_834118.htm;吴海飞,刘薇.中美汇率之战：一场没有硝烟的战争[EB／OL][2010-05-20]http://www.ycwb.com/ePaper/ycwb/html/2010-05/22/content_834113.htm.
316在中国加入WTO之时,美国就没有承认中国的市场经济地位,直至今日。在2009年举行的“首轮中美战略与经济对话”中,美国仍未承认中国的市场经济地位。在今年即将举行的第二轮对话中,美国是否承认中国的市场经济地位,许多人拭目以待。
317美国奥巴马政府在决定对台湾出售武器之后,中国外交部发言人对此表示了强烈反对。参见姜瑜.2010年1月7日外交部发言人姜瑜举行例行记者会[EB／OL].(2010-01-07)[2010-05-20] http://www.fmprc.gov.cn/chn/pds/wjdt/fyrbt/t650234.htm
518 Richard A. Epstein, Gary S. Becker, Ronald H. Coase, etc. The Roundtable Discussion. The University of Chicago Law Review, Vol.64, No.4 (Autumn,1997), p.1135
319 Richard A. Epstein, Gary S. Becker, Ronald H. Coase, etc. The Roundtable Discussion. The University of Chicago Law Review, Vol.64, No.4 (Autumn,1997), p.1135
320参见[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：34.
32'Foreign & Commonwealth Office. quotations-diplomacy-foreign (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign.
322陈志武.周小川撰文对提升国际形象贡献很大[EB／OL].(2009-05-11)[2010-01-02] http://chenzhiwu.blog.sohu.com/116142981.html
323帕默斯顿的这句话(We have no eternal allies, and we have no perpetual enemies. Our interests are eternal and perpetual, and those interests it is our duty to follow.)就是广为流传的“国家没有永久的朋友,没有永久的敌人,只有永久的利益”(Nations have no permanent friends and no permanent enemies. Only permanent interests.)的原始出处。
324 Foreign & Commonwealth Office. quotations-diplomacy-foreign (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign
325 Foreign & Commonwealth Office. quotations-diplomacy-foreign (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign
326 Foreign & Commonwealth Office. quotations-diplomacy-foreign[EB/OL]. (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign
327 Steven Brint. Rethinking the Policy Influence of Experts:From General Characterizations to Analysis of Variation[J]. Sociological Forum,1990,5 (3):364.
328 Steven Brint. Rethinking the Policy Influence of Experts:From General Characterizations to Analysis of Variation[J]. Sociological Forum,19905 (3):378.
329 RAND at a Glance. Mission[EB/OL]. (2010-03-28) [2010-03-28] http://www.rand.org/about/glance.html
330 The Heritage Foundation.About[EB/OL]. (2020-03-28) [2010-03-28] http://www.heritage.org/About
331 American Enterprise Institute.Scholars and Fellows[EB/OL]. (2010-03-28) [2010-03-28] http://www.aei.org/scholarsRA
332朱旭峰 苏钰.西方思想库对公共政策的影响力——基于社会结构的影响力分析框架构建[J].世界经济与政治,2004,(12)：21-24.
333 American Enterprise Institute.Investing in the AEI [EB/OL]. (2010-03-28) [2010-03-28] http://www.aei.org/scholarsRA
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335参见罗烽.思想库在美国外交决策中的作用[J].学习月刊,2009,(2)：8.
336[古希腊]修昔底德.伯罗奔尼撒战争史(上册)[M].谢德风,译.北京：商务印书馆,1960：27.
337《战国策》,卷二十三,魏二
338参见郑必坚.中国和平崛起新道路和亚洲的未来—在2003年博鳌亚洲论坛的讲演[J].理论参考,2004,(5)：3.
339参见郑必坚.中国和平崛起新道路和亚洲的未来—在2003年博鳌亚洲论坛的讲演[J].理论参考,2004,(5)：3.
340 William V. Wallace, Sino-Soviet Relations:An Interpretion, Soviet Studies, Vol.35, No.4 (Oct.,1983), p461.
341 William V. Wallace, Sino-Soviet Relations:An Interpretion, Soviet Studies, Vol.35, No.4 (Oct.,1983), p460.
342 Michael Yahuda, China's Foreign Relations:The Long March, Future Uncertain, The China Quarterly, No. 159, Special Issue: The People's Republic of China after 50 Years (Sep.,1999), p.651
343[美]托马斯·潘恩.常识[M].马清槐,译.北京：商务印书馆,1959：42.
344[美]托马斯·潘恩.常识[M].马清槐,译.北京：商务印书馆,1959：47.。
345[美]乔治·华盛顿.告别演说[M]／／[美]乔治·华盛顿.华盛顿选集.聂崇信等,译.北京：商务印书馆,1983：324.
346[美]乔治·华盛顿.告别演说[M]／／[美]乔治·华盛顿.华盛顿选集.聂崇信等,译.北京：商务印书馆,1983：325.
347[美]托马斯·杰斐逊.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：25.
348[美]詹姆斯·麦迪逊.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：39.
349[美]詹姆斯·麦迪逊.首任就职演说[M]//王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：38-39.
350参见张也白.孤立主义与美国对亚洲的干涉[J].美国研究,1991,(3)：31.
351[美]詹姆斯·门罗.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：49.
352[美]詹姆斯·门罗.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：52.
353[美]S.F.比米斯.美国外交史(第一分册)[M].叶笃义,译.北京：商务印书馆,1985：228.
354参见[美]S.F.比米斯.美国外交史(第二分册)[M].叶笃义,译.北京：商务印书馆,1985：190.
355 Frederick Jackson Turner. The Significance of the Frontier in American History[EB/OL]. [2010-03-28] http://xroads.virginia.edu/-HYPER/TURNER/chapterl.html
356参见[美]莱斯利·贝瑟尔.剑桥拉丁美洲史(第4卷)[M].北京：社会科学文献出版社,1991：102.
357包括法国大革命引起的战争(1793～1801)以及拿破仑战争(1803-1815)。
358[美]S.F.比米斯.美国外交史(第一分册)[M].叶笃义,译.北京：商务印书馆,1985：138.
359 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), pp.4-5.
360 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), pp.5-6.
361 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), p.6.
362Immanuel Wallerstein, The Capitalist World Economy, Cambridge Universtiy Press,1989, p. x.转引自王正毅.世界知识权力结构与中国社会 科学知识谱系的建构(续完)[J].国际观察,2005,(2)：77.
363Douglass C. North, Government and the Cost of Exchange in History,The Journal of Economic History, Vol.44, No.2, The Tasks of Economic History (Jun.,1984), p.255
364[英]卡尔·波普尔.波普尔思想自述[M].赵月瑟,译.上海：上海译文出版社,1988：184.
365参见[英]卡尔·波普尔.波普尔思想自述[M].赵月瑟,译.上海：上海译文出版社,1988：184.
366着重号为原著所加,笔者注。
367 Valerie M. Hudson and Christopher S. Vore, Foreign Policy Analysis Yesterday, Today, and Tomorrow, Mershon International Studies Review, Vol.39, No.2 (Oct.,1995), p.226
368 Martin Hollis and Steve Smith, Roles and Reasons in Foreign Policy Decision Making, British Journal of Political Science, Vol.16, No.3 (Jul.,1986), pp.283-284
369 Martin Hollis and Steve Smith, Roles and Reasons in Foreign Policy Decision Making, British Journal of Political Science, Vol.16, No.3 (Jul.,1986), p.278
370 Martin Hollis and Steve Smith, Roles and Reasons in Foreign Policy Decision Making, British Journal of Political Science, Vol.16, No.3 (Jul.,1986), p.280
371 See Lydia Andrade and Garry Young, Presidential Agenda Setting: Influences on the Emphasis of Foreign Policy, Political Research Quarterly, Vol.49, No.3 (Sep.,1996), p.592
372Jeffrey S.Peake,Presidential Agenda Setting in Foreign Policy,Political Research Quarterly,Vol.54,No.1 (Mar.,2001), p.70
373 Jeffrey S. Peake, Presidential Agenda Setting in Foreign Policy, Political Research Quarterly, Vol.54, No.l (Mar.,2001), p.80
374 Lydia Andrade and Garry Young, Presidential Agenda Setting: Influences on the Emphasis of Foreign Policy, Political Research Quarterly, Vol.49, No.3 (Sep.,1996), p.603
375[法]孟德斯鸠.论法的精神(上册)[M].张雁深,译.北京：商务印书馆,1961：154.
376[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国等,译.北京：世界知识出版社,2002：5.
377[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国等,译.北京：世界知识出版社,2002：9.
378 See Hubert Vedrine with Dominique Moisi, France in an Age of Globalization (Washington, D. C. Brookings Institution Press,2001), p3.转引自[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国,等译.北京：世界知识出版社,2002：82.
379[法]孟德斯鸠.论法的精》(上册)[M].张雁深,译.北京：商务印书馆,1961：154.
380[美]丹尼尔·W.布罗姆利.充分理由——能动的实用主义和经济制度的含义[M].简练,杨希,钟宁桦,译.上海：上海人民出版社,2008：9.
381[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]／／[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：88.
382[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]／／[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：89.
383《战国策》,卷二是二,魏一。
384[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]／／[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：89.
385[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国等,译.北京：世界知识出版社,2002：11.
386[美]约翰·斯帕尼尔.当代美国外交史[M].方海莺,译.台湾：桂冠图书股份有限公司,1986：58.
387转引自王芝.浅谈“马歇尔计划”[J].外交评论(外交学院学报),1988,(3)：56.
388参见[美]约翰·斯帕尼尔.当代美国外交史[M].方海莺,译.台湾：桂冠图书股份有限公司,1986：55.
389转引自王芝.浅谈“马歇尔计划”[J].外交评论(外交学院学报),1988,(3)：57.
390[美]杜鲁门.杜鲁门回忆录(第2卷),1974：130.转引自王芝.浅谈“马歇尔计划”[J].外交评论(外交学院学报),1988,(3)：53.
391[美]约翰·斯帕尼尔.当代美国外交史[M].方海莺,译.台湾：桂冠图书股份有限公司,1986：58.
392[美]乔治·华盛顿.告别演说[M]//[美]乔治·华盛顿.华盛顿选集.聂崇信,等译.北京：商务印书馆,1983：325-326.
393 Glenn Palmer, Scott B. Wohlander, T. Clifton Morgan, Give or Take:Foreign Aid and Foreign Policy Substitutability, Journal of Peace Research, Vol.39, No.1 (Jan.,2002), pp.8-9
394周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-03-31]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
395周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-03-31]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
396黄晓龙.全球失衡、流动性过剩与货币危机——基于非均衡国际货币体系的分析视角[J].金融研究,2007(8)：31-33.
397周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-03-31]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
398参见[西]米格尔·奥特罗-伊格莱西亚斯.欧元对国际货币体系的冲击：中国和巴西的经验[J].国际经济评论,2009,(4)：20.
399参见李伏安,林彬.国际货币体系的历史、现状—兼论人民币国际化的选择[J].金融研究,2009：(5)：64.
400 Joseph Gold, Legal and Institutional Aspects of the International Monetary System:Selected Essays, U.S.WD：IMF,1984,Part7.转引自贺小勇.全球金融危机爆发的法律思考—以国际货币体系缺陷为视角[J].华东政法大学学报,2009,(5)：49.
401中国人民银行网站.黄金和外汇储备[EB／OL].(2010-03-31)[2010-03-31]. http://www.pbc.gov.cn/diaochatongji/tongjishuju/gofile.asp?file=2009S09.htm
402 WTO:Key Development Data & Statistics[EB/OL]. (2010-03-30) [2010-03-30] Available at http://web.worldbank.org/WBSITE/EXTERNAL/DATASTATISTICS/0,,contentMDK:20535285-menuPK:11 92694-pagePK:64133150-piPK:64133175-theSitePK:239419,00.html.
403参见[西]米格尔·奥特罗-伊格莱西亚斯.欧元对国际货币体系的冲击：中国和巴西的经验[J].国际经济评论,2009,(4)：20.
404外交部.七十七国集团[EB／OL].(2010-04-01)[2010-04-01]http://www.fmprc.gov.cn/chn/pds/gjhdq/gjhdqzz/lhg_47/.
405译自美国电影《教父Ⅲ))中Lucchesi台词。原句为："Finance is a gun. Politics is knowing when to pull the triger".
406 Wang Qishan. G20 must look beyond the needs of the top 20[EB/OL]. (2009-03-27) [2010-03-30] http://www.timesonline.co.uk/tol/comment/columnists/guest_contributors/article5982824.ece
407周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-04-01]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
108 Gary Duncan, China challenges power of the dollar as it flexes its economic muscles. Available at http://business.timesonline.co.uk/tol/business/economics/article5963370.ece, last visited in 20100330.
409[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[J].郑志国等,译.北京：世界知识出版社,2002：21.
410中国人民银行.加强区域金融合作积极开展货币互换[EB／OL].[2010-03-31] http://www.pbc.gov.cn/detail.asp?col=100&ID=3156&keyword=周小川.
411 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), p.4.
412 Rudolph J. R. Peritz, Competition Policy in America,1888-1992:History, Rhetoric, Law 237 (1996), at 302. Cf. Eric M. Fink, Post-Realism, or the Jurisprudential Logic of Late Capitalism:A Socio-Legal Analysis of the Rise and Diffusion of Law and Economics,55 Hastings L.J.931, 939(March,2004)
413王瑞.中美企业内部控制法律规范比较分析[J].财会通讯(综合版),2010,(3)：141.
4 Richard A. Posner, Utilitarianism, Economics, and Legal Theory, The Journal of Legal Studies, Vol.8, No. 1 (Jan.,1979), p.122
415参见[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光等,译.北京：经济科学出版社,1989：28.
416[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：25.
417[美]麦考罗[美]曼德姆.经济学与法律——从波斯纳到后现代主义[M].吴晓露,等译.北京：法律出版社,2005：17.
418[英]帕金.微观经济学(第5版)[M].梁小民,译.北京：人民邮电出版社,2003：8.
419[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：57.
420[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：30.
421[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：30.
422[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：8.
423转引自[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：34.
424[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：29.
425[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：29-30.
426[奥]欧根·埃利希.法社会学原理[M].舒国滢,译.北京：中国大百科全书出版社,2009：433.
427黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-2-26(A05).
428黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-2-26(A05).
429李伟.中央企业金融衍生产品业务管理问题及风险防范[N].学习时报,2009-11-30(001).
430李伟.中央企业金融衍生产品业务管理问题及风险防范[N].学习时报,2009-11-30(001).
431黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-2-26(A05).
432[英]罗杰·科特威尔.法律社会学导论[M].潘大松,等译.北京：华夏出版社,1989：5-6.
433[古希腊]亚里士多德.政治学[M].吴寿彭,译.北京：商务印书馆,1965：163.
434[德]卡尔·拉伦茨.法学方法论[M].陈爱娥,译.北京：商务印书馆,2003：113.
435[美]罗宾·保罗·马洛伊.法律和市场经济——法律经济学价值的重新诠释[M].钱弘道,朱素梅,译.北京：法律出版社,2006：111.
436 Owen M. Fiss, The Death of the Law?,72 Cornell L. Rev.1,15 (1986)
437 Eric M. Fink, Post-Realism, or the Jurisprudential Logic of Late Capitalism:A Socio-Legal Analysis of the Rise and Diffusion of Law and Economics,55 Hastings L.J.931, 931(March,2004)
438 Cristie L. Ford, New Governance, Compliance, and Principles-Based Securities Regulation,45 Am. Bus. L.J 1,6(Spring,2008)
439 Cristie L. Ford, New Governance, Compliance, and Principles-Based Securities Regulation,45 Am. Bus. L.J 1,11(Spring,2008)
440 Cristie L. Ford, New Governance, Compliance, and Principles-Based Securities Regulation,45 Am. Bus. L.J 1,36(Spring,2008)
441 See John C. Coffee Jr., Gatekeeper Failure and Reform: The Challenge of Fashioning Relevant Reforms, 84 B.U.L. Rev.301,342-44 (2004)
442 David Zaring, Rulemaking and Adjudication in International Law,46 Colum. J. Transnat'l L.563, 587(2008)
443 Cristie L. Ford, New Governance, Compliance, and Principles-Based Securities Regulation,45 Am. Bus. L.J.1,30(Spring,2008)
444[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：62.
445刘洪,刘丽娜.美国金融监管改革的“关键突破”[EB／OL].(2010-05-21)[2010-05-22] http://news.xinhuanet.com/fortune/2010-05/21/c_12127508.htm
446 David M. Herszenhorn, Bill Passed in Senate Broadly Expands Oversight of Wall St.[EB/OL]. (2010-05-21) [2010-05-22] http://www.nytimes.com/2010/05/21/business/21regulate.html
447Ehud Guttel & Alon Harel, Matching Probabilities:The Behavioral Law and Economics of Repeated Behavior,72 U. Chi. L. Rev.1197,1230(Fall,2005)
448 John Cirace, When are Law and Economics Isomorphic? 39 Golden Gate U.L. Rev.183,192(Winter,2009)
449 John Cirace, When are Law and Economics Isomorphic? 39 Golden Gate U.L. Rev.183,189(Winter,2009)
450 Karl N. Llewellyn, The Bramble Bush chs. Ⅲ-Ⅳ (1960), at 41. See John Cirace, When are Law and Economics Isomorphic? 39 Golden Gate U.L. Rev.183,198(Winter,2009)
451王曙光.金融自由化中的政府金融监管和法律框架[J].北京大学学报(哲学社会科学版),2004,(1)：22.
452[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：114.
453转引自[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：123.
454新闻分析：企业内控规范为中国企业构筑防范风险“防火墙”[EB／OL].(2008-06-28)[2010-04-08] http://www.gov.cn/gzdt/2008-06/28/content_1030188.htm.
455财政部证监会审计署银监会保监会关于印发《企业内部控制基本规范》的通知[EB／OL].(2000-07-02) [2010-04-04] http://www.gov.cn/zwgk/2008-07/02/content_1033585.htm.
456王瑞.SOX法案框架下的内部控制与中小企业问题研究[M].河北法学,2010,(5)：87.
457王瑞.SOX法案框架下的内部控制与中小企业问题研究[M].河北法学,2010,(5)：88.
458转引自[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：123.
459See 15 U.S.C.§80a-3(c)(1).
460See 15 U.S.C.§80a-3(c)(7).
461 See 15 U.S.C. § 80a-2(a)(51)(A)(i).
462 Houman B. Shadab, The Law and Economics of Hedge Funds:Financial Innovation and Investor Protection,6 Berkeley Bus. L.J.240,273(2009)
463 Houman B. Shadab, The Law and Economics of Hedge Funds:Financial Innovation and Investor Protection,6 Berkeley Bus. L.J.240,263(2009)
464[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：98.
465[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：101.
466[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：108.
467参见[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：104.
468易宪容.华尔街金融危机的根源与反思[J].金融纵横,2009,(1)：4.
469王曙光.金融自由化中的政府金融监管和法律框架[M].北京大学学报(哲学社会科学版),2004,(1)：22.
470[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：112.
471 Investment Advisers Act of 1940. §202(a)(11)
47217 CFR 240.10b-5
473 United States ν. Wenger,292 F. Supp.2d 1296,1305(2003)
474 United States ν. Wenger,292 F. Supp.2d 1296,1308 (2003)
475 United States ν. Wenger,427 F.3d 840,847 (2005)
476 United States ν. Wenger,427 F.3d 840,850 (2005)
477 See City of Chicago ν. Morales,527 U.S.41,56 (1999)
478 United States ν. Wenger,427 F.3d 840,852 (2005)
479[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：71.
480[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：23.
481 Investors’Working Group. U. S. Financial Regulatory Reform: The Investor's Perspective[EB/OL]. (2009-07) [2010-03-21] http://www.cii.org/UserFiles/file/resource%20center/investment%20issues/Investors'%20Working%20Group% 20Report%20(July%202009).pdf, p.19
482黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-02-26(A05).
483黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-02-26(A05).
484 FBI. Security Clearance Process for State and Local Law Enforcement[EB/OL]. [2009-07-21] http://www.fbi.gov/clearance/securityclearance.htm.
485参见黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-02-26(A05).
486[英]罗杰·科特威尔.法律社会学导论[M1.潘大松,等译.北京：华夏出版社,1989：6.
487 Time:25 People to Blame for the Financial Crisis[EB/OL]. [2010-04-09] http://www.time.com/time/specials/packages/article/0,28804,1877351_1877350_1877322,00.html.
488 Time:25 People to Blame for the Financial Crisis[EB/OL]. [2010-04-09] http://www.time.com/time/specials/packages/article/0,28804,1877351_1877350_1877322,00.html.
489[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：155.
490[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：200.
491 Richard A. Epstein, Gary S. Becker, Ronald H. Coase, etc. The Roundtable Discussion. The University of Chicago Law Review, Vol.64, No.4 (Autumn,1997), p.1139
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50此处的立法者,不仅仅包括传统意义上的国会、议会等立法机关,还包括其他拥有造法权限的机构,如国家行政机关以及英美法系中的法院等等。
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54[美]罗宾·保罗·马洛伊.法律和市场经济——法律经济学价值的重新诠释[M].钱弘道,朱素梅,译.北京：法律出版社,2006：109.
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63[美]尤金·法马,迈克尔·詹森.所有权与控制权的分离.[M]／／陈郁.所有权、控制权与激励——代理经济学文选.上海：上海三联书店上海人民出版社,2007：178.
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65 Ronald H. Coase, Economics and Contiguous Disciplines, The Journal of Legal Studies, Vol.7, No.2 (Jun., 1978), p.209
00 Richard A. Epstein. Let "The Fundamental Things Apply":Necessary and Contingent Truths in Legal Scholarship, Harvard Law Review, Vol.115, No.5 (Mar.,2002), p.1304
67[美]道格拉斯·C·诺斯.绪论[M]／／[美]约翰·N·德勒巴克,[美]约翰·V·C·奈.新制度经济学前沿.张宇燕等,译.北京：经济科学出版社,2003：17.
68 Douglass C. North, Government and the Cost of Exchange in History, The Journal of Economic History, Vol.44, No.2, The Tasks of Economic History (Jun.,1984), p.256
69[美]道格拉斯·C·诺斯.绪论[M]／／[美]约翰·N·德勒巴克,[美]约翰·V·C·奈.新制度经济学前沿.张宇燕等,译.北京：经济科学出版社,2003：17.
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72[美]道格拉斯·C·诺斯.绪论[M]／／[美]约翰·N·德勒巴克 [美]约翰·V·C·奈.新制度经济学前沿.张宇燕等,译.北京：经济科学出版社,2003：14.
73[美]道格拉斯·C·诺斯.绪论[M]／／[美]约翰·N·德勒巴克,[美]约翰·V·C·奈.新制度经济学前沿.张宇燕等,译.北京：经济科学出版社,2003：14.
74张维迎.产权、激励与公司治理[M].北京：经济科学出版社,2005：142.
75[西班牙]马可-斯达德勒,[西班牙]佩雷斯-卡斯特里罗.信息经济学引论：激励与合约[M].管毅平,译.上海：上海财经大学出版社,2004：141.
76[美]拜尔等.法律的博弈分析[M].严旭阳,译.北京：法律出版社,1999：81.
77[美]丹尼尔·w布罗姆利.充分理由——能动的实用主义和经济制度的含义[M].简练,杨希,钟宁桦, 译.上海：上海人民出版社,2008：35.
78[英]帕金.微观经济学(第5版)[M].梁小民,译.北京：人民邮电出版社,2003：355.
79[美]约瑟夫·E·斯蒂格利茨,[美]卡尔·E·沃尔什.经济学(上册)(第三版)[M].黄险峰,等译.北京：中国人民大学出版社,2005：245.
80 Richard A. Epstein. Let "The Fundamental Things Apply":Necessary and Contingent Truths in Legal Scholarship, Harvard Law Review, Vol.115, No.5 (Mar.,2002), p.1305
81关于契约与合同的术语选择问题,在中国大陆两者基本同义,而中国台湾则分指不同含义。本文中则采大陆说法。
82[美]加里·D·利贝卡普.产权的缔约分析[M].陈宇东,等译.北京：中国社会科学出版社,2001：4.
83[美]小奥利弗·温德尔·霍姆斯.普通法[M].冉昊,姚中秋,译.北京：中国政法大学出版社,2006：268.
84 Vatcherv.Paul(1915),AC 372,375.转引自胡光志杨署东.信义义务下的美国小股东保护制度及其借鉴[J].法律科学(西北政法大学学报),2008,(6)：100.
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86 Nuno Garoupa, Thomas S. Ulen, The Market for Legal Innovation:Law and Economics in Europe and the United States,59 Ala. L. Rev.1555,1562 (2008)
87 William M. Landes, The Empirical Side of Law & Economics,70 U. Chi. L. Rev.167(Winter,2003)
88 Ronald H. Coase, Economics and Contiguous Disciplines, The Journal of Legal Studies, Vol.7, No.2 (Jun., 1978),p.203
89 Nuno Garoupa, Thomas S. Ulen, The Market for Legal Innovation: Law and Economics in Europe and the United States,59 Ala. L. Rev.1555,1567(2008)
90张五常.经济学帝国主义[EB／OL].(2005-03-03)[2009-10-01] http://blog.sina.com.cn/s/blog 47841af7010003bf.html
91 Herbert Hovenkamp, Legislation, Well-Being, and Public Choice,57 U. Chi. L. Rev.63,67 (1990).
92 David A. Hoffman & Michael P. O'Shea, Can Law and Economics Be Both Practical and Principled? 53 Ala. L. Rev.335,358(Winter,2002)
y3 David A. Hoffman & Michael P. O'Shea, Can Law and Economics Be Both Practical and Principled? 53 Ala. L. Rev.335,372(Winter,2002)
94 Elisabeth Bumiller, Bush Signs Bill Aimed at Fraud in Corporations [N]. N.Y. Times, July 31,2002
95转引自[美]亚历克斯·贝伦森.数字的谎言[M].于继革,译.北京：中信出版社,2006：192.
96[美]哈罗德·德姆塞茨.竞争的经济、法律和政治维度[M].陈郁,译.上海：上海三联书店,1992：62.
97 Gary S. Becker, A Theory of Social Interactions, The Journal of Political Economy, Vol.82, No.6 (Nov.-Dec.,1974), p.1076
y5 Gary S. Becker, A Theory of Social Interactions, The Journal of Political Economy, Vol.82, No.6 (Nov.-Dec.,1974), p.1080
99[美]阿瑟·莱维特,[美]葆拉·德怀尔.散户至上：证交会主席教你避险并反击股市黑幕[M].严莉,陈剑萍,译.北京：中信出版社,2005：233.
100转引自[美]哈威尔·E·杰克逊,小爱德华· L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：11.
101[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：637.
102转引自[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：75.
Grant M. Hayden, Stephen E. Ellis, Law and Economics After Behavioral Economics,55 Kan. L. Rev.629, 634(April,2007)
104 Grant M. Hayden, Stephen E. Ellis, Law and Economics After Behavioral Economics,55 Kan. L. Rev.629, 635-6(April,2007)
105 John Cirace, When are Law and Economics Isomorphic? 39 Golden Gate U.L. Rev.183,208(Winter,2009)
106 Richard A. Epstein. Internatinal News Service v. Associate Press:Custom and Law as Sources of Property Rights in News, Virginia Law Review, Vol.78, No.1, Symposium on the Law and Economics of Intellectual Property (Feb.,1992), p.85.
107[英]罗杰·科特威尔.法律社会学导论[M].潘大松,等译.北京：华夏出版社,1989：55.
108[奥]欧根·埃利希.法社会学原理[M].舒国滢,译.北京：中国大百科全书出版社,2009：43.
109[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：46.
110参见[美]加里·D·利贝卡普.产权的缔约分析[M].陈宇东,等译.北京：中国社会科学出版社, 2001：4.(脚注2)
111[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：16.
112[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：16.
113[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：5.
114[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：15-16.
115[美]阿兰·斯密德.制度与行为经济学[M].刘璨,吴水荣,译.北京：中国人民大学出版社,2004：22.
116[美]加里·D·利贝卡普.产权的缔约分析[M].陈宇东,等译.北京：中国社会科学出版社,2001：7.
117 Gary S. Becker, Nobel Lecture:The Economic Way of Looking at Behavior, The Journal of Political Economy, Vol.101, No.3 (Jun.,1993), p.386
118 David M. Herszenhorn, Bill Passed in Senate Broadly Expands Oversight of Wall St.[EB/OL]. (2010-05-21) [2010-05-22] http://www.nytimes.com/2010/05/21/business/21regulate.html
119[美]阿瑟·莱维特,[美]葆拉·德怀尔.散户至上：证交会主席教你避险并反击股市黑幕[M].严莉,陈剑萍,译.北京：中信出版社,2005：234.
120参见[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：75.
121[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：83.
122转引自[美]亚历克斯·贝伦森.数字的谎言[M].于继革,译.北京：中信出版社,2006：178-179.
123[美]阿瑟·莱维特,[美]葆拉·德怀尔.散户至上：证交会主席教你避险并反击股市黑幕[M].严莉,陈剑萍,译.北京：中信出版社,2005：65.
124[美]阿瑟·莱维特,[美]葆拉·德怀尔.散户至上：证交会主席教你避险并反击股市黑幕[M].严莉,陈剑萍,译.北京：中信出版社,2005：61.
125[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：399.
126 Securities Exchange Act of 1934, Rule §14e-3
127章武生.论群体性纠纷的解决机制——美国集团诉讼的分析和借鉴[J].中国法学,2007,(3)：25.
128 Department of the Treasury: The Department of the Treasury Blueprint for a Modernized Financial Regulatory Structure,p.4. [2010-04-06] http://www.treas.gov/press/releases/reports/Blueprint.pdf.
129 Joseph A. Grundfest, International Cooperation in Securities Enforcement: A New United States Initiative[EB/OL]. (1988-09-09) [2010-01-02] http://www.sechistorical.org/collection/papers/1980/1988_1109_InternationalGrundfestT.pdf
130 Investors’Working Group. U. S. Financial Regulatory Reform:The Investor's Perspective[EB/OL]. (2009-07-20) [2010-3-21] http://www.cii.org/UserFiles/file/resource%20center/investment%20issues/Investors'%20Working%20Group% 20Report%20(July%202009).pdf, p.8
131[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：56.
132 Bryan A. Garner, Black's Law Dictionary (Eighth Edition), West Group,2004, p.1030
133 Bryan A. Garner, Black's Law Dictionary (Eighth Edition), West Group,2004, p.1030
134[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：43.
135[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：43.
136[法]爱弥儿·涂尔干.社会学与哲学[M].梁栋,译.上海：上海人民出版社,2002：38.
137 Gary S. Becker, Altruism, Egoism, and Genetic Fitness:Economics and Sociobiology, Journal of Economic Literature, Vol.14, No.3 (Sep.,1976), p.817
138[古希腊]亚里士多德.政治学[M].吴寿彭,译.北京：商务印书馆,1965：148.
139[古希腊]柏拉图.理想国[M].郭斌和,张竹明,译.北京：商务印书馆,2002：7.
140[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：138.
141[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：139.
142[德]霍恩.法律科学与法哲学导论[M].罗莉,译.北京：法律出版社,2005：262.
143[古希腊]亚里士多德.政治学[M].吴寿彭,译.北京：商务印书馆,1965：169.
144[意]托马斯·阿奎那.阿奎那政治著作选[M].马清槐,译.北京：商务印书馆,1963：105.
145[古希腊]柏拉图.理想国[M].郭斌和,张竹明,译.北京：商务印书馆,2002：46.
146[德]霍恩.法律科学与法哲学导论[M].罗莉,译.北京：法律出版社,2005：227.
147转引自[美]本杰明·N·卡多佐.法律的成长法律科学的悖论[M].董炯,彭冰,译.北京：中国法制出版社,2002：76.
148[古希腊]亚里士多德.政治学[M].吴寿彭,译.北京：商务印书馆,1965：171.
149[德]迪特尔·施布瓦.民法导论[M].郑冲,译.北京：法律出版社,2006：474.
150[美]丹尼尔·W.布罗姆利.充分理由——能动的实用主义和经济制度的含义[M].简练,杨希,钟宁桦,译.上海：上海人民出版社,2008：39.
151 See Schnell ν. Chris-Craft Industries, Inc.,285 A.2d 437,439 (Del.1971) and Weinberger v. UOP, Inc.,457 A.2d(Del.1983)转引自胡光志,杨署东.信义义务下的美国小股东保护制度及其借鉴[J].法律科学(西北政法大学学报)》,2008,(6)：100.
152[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：676.
153 Silver ν. New York Stock Exchange,373 U.S.341,366 (1963)
154 SEC ν. Capital Gains Research Bureau, Inc.,375 U.S.180,186-187 (1963)
155 See United States ν. Wenger,427 F.3d 840,850 (2005)
156 Henry Winthrop Ballantine, Ballantine On Corporations, Revised Edition, Callaghan and Company,1946,p.552转引自胡光志,杨署东.信义义务下的美国小股东保护制度及其借鉴[J].法律科学(西北政法大学学报),2008,(6)：98.
157[美]小奥利弗·温德尔·霍姆斯.普通法[M].冉昊,姚中秋,译.北京：中国政法大学出版社,2006：96.
158 Scott Harshbarger & Goutam U. Jois:Looking Back and Looking Forward:Sarbanes-Oxley and the Future of Corporate Goverance,40 Akron L. Rev.1,21(2007)
159 Robert Prentice: SARBANES-OXLEY: The Evidence Regarding the Impact of SOX 404,29 Cardozo L. Rev.703,722-723(November,2007)
160中国外交部.2009年12月29日外交部发言人姜瑜举行例行记者会[EB／OL].(2009-12-29)[2010-03-01] http://www.fmprc.gov.cn/chn/gxh/tyb/fyrbt/izhsl/t648690.htm.
161 Hannah L. Buxbaum, Transnational Regulatory Litigation,46 Va. J. Int'l L.251,270(Winter,2006)
162 Hannah L. Buxbaum, Transnational Regulatory Litigation,46 Va. J. Int'l L.251,270(Winter,2006)
163 Smith ν. Mutual Life Ins. Co.,96 Mass.336 (1867)
164 Chris Brummer, Stock Exchanges and the New Markets for Securities Laws,75 U. Chi. L. Rev.1435, 1440(Fall,2008)
165 See 15 USC § 781(a) (2000).
166 Rule 12g3-2 [17 CFR 240.12g3-2(2007).]
167 See15U.S.C. § 78aa
Chris Brummer, Stock Exchanges and the New Markets for Securities Laws,75 U. Chi. L. Rev.1435, 1441(Fall,2008)
169 Wolfgang Saxon. Milton Freeman,88; Wrote Securities Fraud Law [EB/OL]. (2000-07-09) [2010-03-20] http://www.nytimes.com/2000/06/09/business/milton-freeman-88-wrote-securities-fraud-law.html
170[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：784.
171若进一步了解行为标准,可参见Leasco Data Processing Equip. Corp. v. Maxwell,468 F.2d 1326,1334 (2d Cir.1972); Psimenos ν. E.F. Hutton & Co., Inc.,722 F.2d 1041,1045 (2d Cir.1983); IIT v. Vencap, Ltd., 519 F.2d 1001,1016 (2d Cir.1975)
172 SEC ν. Kasser,548 F.2d 109,114 (3 Cir.), cert. denied,431 U.S.938,97 S.Ct.2649,53 L.Ed.2d 255 (1977)
173[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：784.
174若进一步了解行为标准,可参见：Schoenbaum V.Firstbrook,405 F.2d 200,206(2d Cir.1968).
175 See Zoeisch ν. Arthur Andersen,824F.2d.27 (1987); See Berch v. Drexel Firestone,519F.2d.974 (1975)
176 Cromer Finance Ltd. v. Berger,137 F. Supp.2d 452,479-81 (S.D.N.Y.2001)
177 See Scheuer ν. Rhodes,416 U.S.232.236.40 L. Ed.2d 90.94 S. Ct.1683 (1974)
178 See Norton ν. Larney,266 U.S.511,515,69 L. Ed.413,45 S. Ct.145 (1925)
179 See Zappia Middle East Constr. Co. v. Emirate of Abu Dhabi,215 F.3d 247,253 (2d Cir.2000)
180 See London ν. Polishook,189 F.3d 196,198-99 (2d Cir.1999)
181 See Jaghory ν. New York State Dep't of Educ.,131 F.3d 326,329 (2d Cir.1997
Rule 9(b), Fed. R. Civ. P. “Fraud or Mistake; Conditions of Mind. In alleging fraud or mistake, a party must state with particularity the circumstances constituting fraud or mistake. Malice, intent, knowledge, and
other conditions of a person's mind may be alleged generally."
183 See Koehler ν. Bank of Bermuda (New York) Ltd.,209 F.3d 130,136 (2d Cir.2000)
184 See Novak v. Kasaks,216 F.3d 300,306 (2d Cir.2000)
185 See 15 U.S.C. § 78u-4(b)(2)
186 See Rothman,220 F.3d at 90
187 Novak,216 F.3d at 318
188 Rothman,220 F.3d at 90
189 Shields ν. Citytrust Bancorp, Inc.,25 F.3d 1124,1129 (2d Cir.1994)
190 SEC ν. Berger,244 F. Supp.2d 180.188 (S.D.N.Y.2001)
191IlT ν. Cornfeld,619F.2d.909,918 (1980)
192 See United States v. Cook,573 F.2d 281,283-84 (5 Cir.), cert. denied,439 U.S.836,99 S.Ct.119 (1978)
193 SEC ν. Kasser,548 F.2d 109 (3 Cir.), cert, denied,431 U.S.938,97 S.Ct.2649,53 L.Ed.2d 255 (1977)
194参见：美利坚合众国宪法.[2010-03-06]http://www.gongfa.com/html/gongfawenxian/20081119/66.html.
195 SEC ν. Unifund SAL,910 F.2d 1028,1033 (2d Cir.1990)
196 Metropolitan Life Ins. Co. ν. Robertson-Ceco Corp.,84 F.3d 560,567 (2d Cir.1996)
197 International Shoe Co. ν. Washington,326 U.S.310 (1945)
198 Milliken ν. Meyer,311 U.S.457,463 (1940)
199 International Shoe Co. ν. Washington,326 U.S.310,316 (1945)
200 International Shoe Co. ν. Washington, 326 U.S.310,319 (1945)
201 International Shoe Co. ν. Washington, 326 U.S.310,320(1945)
202 International Shoe Co. ν. Washington, 326 U.S.310, 324(1945)
203 Frederick Tung, Lost in Translation: From U.S. Corporate Charter Competition to Issure Choice in International Securities Regulation,39 Ga. L. Rev.525,543 (Winter,2005)
204 Frederick Tung, Lost in Translation: From U.S. Corporate Charter Competition to Issure Choice in International Securities Regulation,39 Ga. L. Rev.525,546(Winter,2005)
205 Hoopeston Canning Co. v. Cullen,318 U.S.313
206本文没有完整引述的相关具体法条,可以参见各相关具体法律。
207参见张翔宇.现代美国国际私法说研究[M].武汉：武汉大学出版社,1986：6.
208参见《纽约公约》 (中文文本）[EB/OL]。 [2010-02-02] http://www.uncitral.org/pdf/07-87406_Ebook_ALL.pdf.下同。
209参见潘景华.美国证券市场稽核制度之探讨(上)[M].2001年,台湾证交资料第474期(2002年10月出版)。转引自李明辉.引言.上市公司财务报告法律责任之研究[M].北京：中国财政经济出版社,2004：1.
210IOSCO证券监管的目标与原则.序言、目标与原则的陈述.
211 Greenberg ν. Bear, Stearns & Co.,220 F.3d 22,29 (2d Cir.2000)
212 Department of the Treasury. The Department of the Treasury Blueprint for a Modernized Financial Regulatory Structure”[EB/OL], p.9. [2010-04-06] http://www.treas.gov/press/releases/reports/Blueprint.pdf
213 Joseph A. Grundfest, International Cooperation in Securities Enforcement: A New United States Initiative[EB/OL]. (1988-09-09) [2010-01-02] http://www.sechistorical.org/collection/papers/1980/1988_1109_InternationalGrundfestT.pdf
214国际证监会国际组织章程[EB／OL].[2010-07-27]http://www.csrc.gov.cn/pub/newsite/gjb
215国际证券会网站[EB／OL].[2010-01-27]http://www.iosco.org/about/index.cfm?section=history
216 See David Zaring, Rulemaking and Adjudication in International Law,46 Colum. J. Transnat'l L.563, 577-78(2008)
n'Press Release, Financial Action Task Force, Communique of G-7 Finance Ministers and Central Bank Governors (Feb.20,1999), available at http://www.fsforum.org/attachments/g7pressrelease on establishment ofFSF.pdf.
Z18 Sylvia Ostry, "Looking Back to Look Forward:The Multilateral Trading System after 50 Years," In WTO Secretariat, eds., From GATT to the WTO:The Multilateral Trading System in the New Millennium,The Hague:Kluwer Law International,2000, p.106转引自屠新泉.WTO争端解决机制：规则与权力并重[J].世界经济与政治,2005, (4):70.
219屠新泉.WTO争端解决机制：规则与权力并重[J].世界经济与政治,2005,(4)：70.
220 Frederick Tung, Lost in Translation:From U.S. Corporate Charter Competition to Issure Choice in International Securities Regulation,39 Ga. L. Rev.525,568 (Winter,2005)
221[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]//[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：73.
222胡宗山.假设、模型、范式：方法论视角的国际关系理论[J].欧洲研究,2004,(4)：33.
223 OICU-IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information, Members of the International Organization of Securities Commission, P 6(a), May 2002
224 Kal Raustiala, The Architecture of International Cooperation:Transgovernmental Networks and the Future of International Law,43 Va. J. Int'lL.1,22 (2002)
225 Bryan Thomas Shipp, Filling Gaps in European Union Securities Law: Contractually Organized Supervision & the College of Euronext Regulators,23 Am. U. Int'lL. Rev.387,418-419 (2008)
226《中华人民共和国证券法》第二百三十四条规定：依照本法收缴的罚款和没收的违法所得,全部上缴国库。
227 Federal Deposit Insurance Act,§1(a)
228[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀等,译.北京：中国政法大学出版社,2003：110.
229 FDIC Mission[EB/OL].(2004-04-06) [2010-04-06] http://translate.google.com.hk/translate?hl=zh-CN&langpair=en%7Czh-CN&u=http://www.fdic.gov
"" Richard A. Posner, An Economic Approach to Legal Procedure and Judicial Administration, The Journal of Legal Studies, Vol.2, No.2 (Jun.,1973),p.402
231 Richard A. Posner, An Economic Approach to Legal Procedure and Judicial Administration, The Journal of Legal Studies, Vol.2, No.2 (Jun.,1973),p.402-403
232参见中华人民共和国政府和美利坚合众国政府关于刑事司法协助的协定[EB／OL].(2001-03-09)[2010-03-17] http://www.npc.gov.cn/wxzl/wxzl/2001-03/09/content_132034.htm.(《中华人民共和国政府和美利坚合众国政府关于刑事司法协助的协定》第二条第二款规定：“在中华人民共和国方面,中央机关为司法部；在美利坚合众国方面,中央机关为司法部长或由司法部长指定的人”。)
233参见：中华人民共和国政府和美利坚合众国政府关于刑事司法协助的协定[EB／OL].(2001-03-09)[2010-03-17] http://www.npc.gov.cn/wxzl/wxzl/2001-03/09/content_132034.htm.
234参见：中华人民共和国和阿拉伯联合酋长国关于民事和商事司法协助的协定[EB／OL].(2005-02-24)[2010-03-17] http://www.npc.gov.cn/wxzl/wxzl/2005-02/24/content_337664.htm
235邱永红.国际证券监管的合作与协调研究(下)[EB／OL].(2007-10-11)[2010-03-01] http://www.civillaw.com.cn/article/default.asp?id=35428.
236中国证监会关于《证券发行与承销管理办法》的第37号令第四条规定：中国证监会依法对证券发行和承销行为进行监督管理。
237《合格境内机构投资者境外证券投资管理试行办法》第三十八条规定：中国证监会和国家外汇局可以要求境内机构投资者、托管人提供境内机构投资者境外投资活动有关资料；必要时,可以进行现场检查。
23815 U.S.C.§§77t(a)-(b) (2006)
239 SEC. About the Division of Enforcement[EB/OL](2007-08-01) [2010-03-03] http://www.sec.gov/divisions/enforce/about.htm
240 SEC. About the Division of Enforcement[EB/OL](2007-08-01) [2010-03-03] http://www.sec.gov/divisions/enforce/about.htm
24117 C.F.R. § 202.5(f) (2008)
242[美]托马斯·李·哈森.证券法[M].张学安,等译.北京：中国政法大学出版社,2003：363.
243有关初步调查的进一步资料,可参见美国司法判例：SEC ν. Jerry T. O'Brien, Inc.,467 U.S.735,738 (1984)
24417 C.F.R. § 202.5(a) (2008)
24515 U.S.C. § 78o(c)(4)
24615 U.S.C. § 80b-3(e)
24715 U.S.C. § 80a-8(e)
248[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：48.
249[澳]陆克文.全球金融危机[EB／OL].(2009-12-03)[2010-03-25] http://www.guangzhou.china.embassy.gov.au/gzhochinese/MediaCN907.html
Z50 Edmund L. Andrews:Greenspan Concedes Error on Regulation[EB/OL]. (2008-10-24) [2010-03-18] http://www.nytimes.com/2008/10/24/business/economy/24panel.html
251 Jon Ward:He Found the Flaw?[EB/OL]. (2008-10-24) [2010-03-20] http://www.washingtontimes.com/weblogs/potus-notes/2008/Oct/24/he-found-flaw/.
252 Edmund L. Andrews:Greenspan Concedes Error on Regulation[EB/OL]. (2008-10-24) [2020-03-20] http://www.nytimes.com/2008/10/24/business/economy/24panel.html
253[美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：77.
254参见[澳]陆克文.全球金融危机[EB／OL].(2009-12-03)[2010-03-25] http://www.guangzhou.china.embassy.gov.au/gzhochinese/MediaCN907.html
255[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：162.
256[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：163.
257[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：175.
258 John Bellamy Foster, Keynes, Capitalism, and the Crisis[EB/OL]. (2009-03-20) [2010-03-25] http://mrzine.monthlyreview.org/2009/foster170309.html.
259[美]丹尼尔·W.布罗姆利.充分理由——能动的实用主义和经济制度的含义[M].简练,杨希,钟宁桦,译.上海：上海人民出版社,2008：36.
260[美]约瑟夫·E·斯蒂格利茨,[美]卡尔·E·沃尔什.经济学(上册)(第三版)[M].黄险峰等,译.北京：中国人民大学出版社,2005：236.
261[英]帕金.微观经济学(第5版)[M].梁小民,译.北京：人民邮电出版社,2003：354.
262[美]丹尼尔·W.布罗姆利.经济利益与经济制度：公共政策的理论基础[M].陈郁,等译.上海：上海三联书店,上海人民出版社,1996：59.
263[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：58.
264 Richard A. Posner, Retribution and Related Concepts of Punishment, The Journal of Legal Studies, Vol.9, No. 1(Jan.,1980), p73.
265[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：54.
266[美]约瑟夫·E·斯蒂格利茨,[美]卡尔·E·沃尔什.经济学(上册)(第三版)[M].黄险峰,等译.北京：中国人民大学出版社,2005：236.
267[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：26.
268[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：15.
269 Alan Greenspan, Testimony of Chairman Alan Greenspan-Trade policy [EB/OL]. (2000-04-04) [2010-04-20] http://www.federalreserve.gov/boarddocs/testimony/2001/200104042/default.htm
270[美]丹尼尔·F.史普博.管制与市场[M].余晖,等译.上海：格致出版社,上海人民出版社,2008：17.
271石河.“购买美国货”条款饮鸩止渴[EB／OL].(2009-02-05)[2009-07-29] http://www.gmw.cn/01gmrb/2009-02/05/content_884712.htm
272 Moira Herbst.Jobs and Protectionism in the Stimulus Package[EB/OL], (2009-02-16) [2009-07-20] http://www.businessweek.com/bwdaily/dnflash/content/feb2009/db20090216_920561.htm
273 See Christopher L. Peterson, Predatory Structured Finance,28 Cardozo L. Rev.2185,2231(April,2007)
274[美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：51.
275易宪容.华尔街金融危机的根源与反思[J].金融纵横,2009,(1)：7.
276转引自[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：62.
277[美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：71.
278[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：68.
279易宪容,华尔街金融危机的根源与反思[J].金融纵横,2009,(1)：5.
280戴相龙.当前的国际金融危机及我国的应对措施[J].中国人民大学学报,2009,(3)：36.
281[澳]陆克文.全球金融危机[EB／OL].(2009-12-03)[2010-03-25] http://www.guangzhou.china.embassy.gov.au/gzhochinese/MediaCN907.html
282 Ben S. Bernanke. Semiannual Monetary Policy Report to the Congress[EB/OL]. (2009-07-21) [2009-08-01] http://www.federalreserve.gov/newsevents/testimony/bernanke20090721 a.htm.
283 Ben S. Bernanke. Semiannual Monetary Policy Report to the Congress[EB/OL]. (2009-07-21) [2009-08-01] http://www.federalreserve.gov/newsevents/testimony/bernanke20090721a.htm.
284 [美]西奥多·E·伯顿.资本的秘密：金融危机与大萧条经济周期的规律[M].李薇,邓达山,译.西安：陕西师范大学出版社,2009：184.
285戴相龙.当前的国际金融危机及我国的应对措施[J].中国人民大学学报,2009,(3)：36.
286 Buffett warns on investment'time bomb'. BBC news online. (2003-03-04) [2010-03-25] http://news.bbc.co.uk/2/hi/2817995.stm.
287戴相龙.当前的国际金融危机及我国的应对措施[J].中国人民大学学报,2009,(3)：35.
288[法]孟德斯鸠.论法的精神(上册)[M].张雁深,译.北京：商务印书馆,1961：5.
289[美]亨利·C·K·刘.从英镑霸权到美元霸权——大萧条很可能重演[J].林小芳等,摘译.国外理论动态,2007,(5)：8.
290刘欢.美国是世界最大的汇率操纵国[EB／OL].(2010-03-18)[2010-03-26] http://news.xinhuanet.com/fortune/2010-03/18/content_13193788.htm.
291[美]爱德华·萨义德.东方学[M].王宇根,译.上海：三联书店,1999：426-427.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-160.
292 Daniel J. Boorstin. America and the Image of Europe: Reflections on American Thought[M], New York: Meridian Books,1960:19.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-161.
293 New Haven Gazette, vol.2, no.18 (June 21,1787), p.142.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-162.
294 Report of the Joint Special Committee to Investigate Chinese Immigration, Washington, DC:Government Printing House,1877.转引自吕蒲,张振鹃等编译.“黄祸论”历史资料选辑[M].转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-165.
295王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-168.
296 Jonathan Spence, To Change China[M], Boston: Little, Brown and Company.1969:292.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-170.
297 Brauce Cumings.The World Shakes China[J], The National Interest,.1996,43 (1):39.转引自王立新.在龙的映衬下：对中国的想象与美国国家身份的建构[J].中国社会科学.2008,(3)：156-173.
298 Robert Jervis. The Impact of the Korean War on the Cold War[J], The Journal of Conflict Resolution,1980, 24 (4):564
299 Robert Jervis. The Impact of the Korean War on the Cold War[J], The Journal of Conflict Resolution,1980, 24 (4):578-580
300 John Gittings. The Great-Power Triangle and Chinese Foreign Policy[J], The China Quarterly,1969, (39): 42
301 Philip Bridgham, Arthur Cohen, Leonard Jaffe. Mao's Road and Sino-Soviet Relations: A View from Washington,1953[J], The China Quarterly,1972, (52):670.
302 Michael B. Yahuada. Chinese Foreign Policy after 1963:The Maoist Phases[J], The China Quarterly,1968, (36):96
303 Alan Greenspan, Testimony of Chairman Alan Greenspan-Trade policy [EB/OL]. (2000-04-04) [2010-04-20] http://www.federalreserve.gov/boarddocs/testimony/2001/200104042/default.htm
304[美]阿尔温·托夫勒.第三次浪潮[M].朱志焱,等译.北京：新华出版社,1996：37.
305[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：66.
306[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：61.
307[英]戴维·赫尔德等.驯服全球化——管理的新领域[M].童新耕,译.上海：、上海译文出版社,2005：34.
308[英]戴维·赫尔德等.驯服全球化——管理的新领域[M].童新耕,译.上海：上海译文出版社,2005：38.
309王贵国.经济全球化与全球法治化[J].中国法学,2008,(1)：12-14.
310朱峰.国际关系研究中的法律主义[J].中国社会科学,2007,(2)：135.
311这些完善规则能够“决定所有在规则确定之后的政治法案,限制随意制定的法案的自由”,参见[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民 大学出版社,2004：87.
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313自美国总统奥巴马上台以来,中美两国在对台军售、人权问题、人民币汇率问题等方面不断发生摩擦。中国外交部发言人秦刚在2010年3月30日“就中国关系答记者问”就指出,“奥巴马政府就职后,在中美双方共同努力下,中美关系取得了积极发展。前一段时间,中美关系受到不应有的干扰,这不符合双方共同利益”。参见秦刚.外交部发言人秦刚就中美关系答记者问[EB／OL](2010-03-30)[2010-04-05]http://www.fmprc.gov.cn/chn/pds/wjdt/fyrbt/t676218.htm
314郑熙文.中美需要富有成果的协调与合作——写在第二轮中美战略与经济对话之前[EB／OL].(2010-05-21)[2010-05-22] http://www.gmw.cn/content/2010-05/21/content_1127658.htm
315一段时间以来,美国不断就人民币汇率问题对中国施压。具体内容请参见羊城晚报.人民币汇率七年之痒[EB／OL].[2010-05-20]http://www.ycwb.com/ePaper/ycwb/html/2010-05/22/content_834118.htm;吴海飞,刘薇.中美汇率之战：一场没有硝烟的战争[EB／OL][2010-05-20]http://www.ycwb.com/ePaper/ycwb/html/2010-05/22/content_834113.htm.
316在中国加入WTO之时,美国就没有承认中国的市场经济地位,直至今日。在2009年举行的“首轮中美战略与经济对话”中,美国仍未承认中国的市场经济地位。在今年即将举行的第二轮对话中,美国是否承认中国的市场经济地位,许多人拭目以待。
317美国奥巴马政府在决定对台湾出售武器之后,中国外交部发言人对此表示了强烈反对。参见姜瑜.2010年1月7日外交部发言人姜瑜举行例行记者会[EB／OL].(2010-01-07)[2010-05-20] http://www.fmprc.gov.cn/chn/pds/wjdt/fyrbt/t650234.htm
518 Richard A. Epstein, Gary S. Becker, Ronald H. Coase, etc. The Roundtable Discussion. The University of Chicago Law Review, Vol.64, No.4 (Autumn,1997), p.1135
319 Richard A. Epstein, Gary S. Becker, Ronald H. Coase, etc. The Roundtable Discussion. The University of Chicago Law Review, Vol.64, No.4 (Autumn,1997), p.1135
320参见[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：34.
32'Foreign & Commonwealth Office. quotations-diplomacy-foreign (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign.
322陈志武.周小川撰文对提升国际形象贡献很大[EB／OL].(2009-05-11)[2010-01-02] http://chenzhiwu.blog.sohu.com/116142981.html
323帕默斯顿的这句话(We have no eternal allies, and we have no perpetual enemies. Our interests are eternal and perpetual, and those interests it is our duty to follow.)就是广为流传的“国家没有永久的朋友,没有永久的敌人,只有永久的利益”(Nations have no permanent friends and no permanent enemies. Only permanent interests.)的原始出处。
324 Foreign & Commonwealth Office. quotations-diplomacy-foreign (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign
325 Foreign & Commonwealth Office. quotations-diplomacy-foreign (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign
326 Foreign & Commonwealth Office. quotations-diplomacy-foreign[EB/OL]. (2010-01-01) [2010-01-01] http://www.fco.gov.uk/en/about-the-fco/publications/historiansl/history-notes/the-fco-policy-people-places/qu otations-diplomacy-foreign
327 Steven Brint. Rethinking the Policy Influence of Experts:From General Characterizations to Analysis of Variation[J]. Sociological Forum,1990,5 (3):364.
328 Steven Brint. Rethinking the Policy Influence of Experts:From General Characterizations to Analysis of Variation[J]. Sociological Forum,19905 (3):378.
329 RAND at a Glance. Mission[EB/OL]. (2010-03-28) [2010-03-28] http://www.rand.org/about/glance.html
330 The Heritage Foundation.About[EB/OL]. (2020-03-28) [2010-03-28] http://www.heritage.org/About
331 American Enterprise Institute.Scholars and Fellows[EB/OL]. (2010-03-28) [2010-03-28] http://www.aei.org/scholarsRA
332朱旭峰 苏钰.西方思想库对公共政策的影响力——基于社会结构的影响力分析框架构建[J].世界经济与政治,2004,(12)：21-24.
333 American Enterprise Institute.Investing in the AEI [EB/OL]. (2010-03-28) [2010-03-28] http://www.aei.org/scholarsRA
334余万里.“第四种权力”：美国对外政策中的思想库[M].北京：环球时报出版社,2002.
335参见罗烽.思想库在美国外交决策中的作用[J].学习月刊,2009,(2)：8.
336[古希腊]修昔底德.伯罗奔尼撒战争史(上册)[M].谢德风,译.北京：商务印书馆,1960：27.
337《战国策》,卷二十三,魏二
338参见郑必坚.中国和平崛起新道路和亚洲的未来—在2003年博鳌亚洲论坛的讲演[J].理论参考,2004,(5)：3.
339参见郑必坚.中国和平崛起新道路和亚洲的未来—在2003年博鳌亚洲论坛的讲演[J].理论参考,2004,(5)：3.
340 William V. Wallace, Sino-Soviet Relations:An Interpretion, Soviet Studies, Vol.35, No.4 (Oct.,1983), p461.
341 William V. Wallace, Sino-Soviet Relations:An Interpretion, Soviet Studies, Vol.35, No.4 (Oct.,1983), p460.
342 Michael Yahuda, China's Foreign Relations:The Long March, Future Uncertain, The China Quarterly, No. 159, Special Issue: The People's Republic of China after 50 Years (Sep.,1999), p.651
343[美]托马斯·潘恩.常识[M].马清槐,译.北京：商务印书馆,1959：42.
344[美]托马斯·潘恩.常识[M].马清槐,译.北京：商务印书馆,1959：47.。
345[美]乔治·华盛顿.告别演说[M]／／[美]乔治·华盛顿.华盛顿选集.聂崇信等,译.北京：商务印书馆,1983：324.
346[美]乔治·华盛顿.告别演说[M]／／[美]乔治·华盛顿.华盛顿选集.聂崇信等,译.北京：商务印书馆,1983：325.
347[美]托马斯·杰斐逊.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：25.
348[美]詹姆斯·麦迪逊.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：39.
349[美]詹姆斯·麦迪逊.首任就职演说[M]//王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：38-39.
350参见张也白.孤立主义与美国对亚洲的干涉[J].美国研究,1991,(3)：31.
351[美]詹姆斯·门罗.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：49.
352[美]詹姆斯·门罗.首任就职演说[M]／／王建华.美国历届总统就职演说精选.南昌：江西人民出版社,2002：52.
353[美]S.F.比米斯.美国外交史(第一分册)[M].叶笃义,译.北京：商务印书馆,1985：228.
354参见[美]S.F.比米斯.美国外交史(第二分册)[M].叶笃义,译.北京：商务印书馆,1985：190.
355 Frederick Jackson Turner. The Significance of the Frontier in American History[EB/OL]. [2010-03-28] http://xroads.virginia.edu/-HYPER/TURNER/chapterl.html
356参见[美]莱斯利·贝瑟尔.剑桥拉丁美洲史(第4卷)[M].北京：社会科学文献出版社,1991：102.
357包括法国大革命引起的战争(1793～1801)以及拿破仑战争(1803-1815)。
358[美]S.F.比米斯.美国外交史(第一分册)[M].叶笃义,译.北京：商务印书馆,1985：138.
359 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), pp.4-5.
360 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), pp.5-6.
361 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), p.6.
362Immanuel Wallerstein, The Capitalist World Economy, Cambridge Universtiy Press,1989, p. x.转引自王正毅.世界知识权力结构与中国社会 科学知识谱系的建构(续完)[J].国际观察,2005,(2)：77.
363Douglass C. North, Government and the Cost of Exchange in History,The Journal of Economic History, Vol.44, No.2, The Tasks of Economic History (Jun.,1984), p.255
364[英]卡尔·波普尔.波普尔思想自述[M].赵月瑟,译.上海：上海译文出版社,1988：184.
365参见[英]卡尔·波普尔.波普尔思想自述[M].赵月瑟,译.上海：上海译文出版社,1988：184.
366着重号为原著所加,笔者注。
367 Valerie M. Hudson and Christopher S. Vore, Foreign Policy Analysis Yesterday, Today, and Tomorrow, Mershon International Studies Review, Vol.39, No.2 (Oct.,1995), p.226
368 Martin Hollis and Steve Smith, Roles and Reasons in Foreign Policy Decision Making, British Journal of Political Science, Vol.16, No.3 (Jul.,1986), pp.283-284
369 Martin Hollis and Steve Smith, Roles and Reasons in Foreign Policy Decision Making, British Journal of Political Science, Vol.16, No.3 (Jul.,1986), p.278
370 Martin Hollis and Steve Smith, Roles and Reasons in Foreign Policy Decision Making, British Journal of Political Science, Vol.16, No.3 (Jul.,1986), p.280
371 See Lydia Andrade and Garry Young, Presidential Agenda Setting: Influences on the Emphasis of Foreign Policy, Political Research Quarterly, Vol.49, No.3 (Sep.,1996), p.592
372Jeffrey S.Peake,Presidential Agenda Setting in Foreign Policy,Political Research Quarterly,Vol.54,No.1 (Mar.,2001), p.70
373 Jeffrey S. Peake, Presidential Agenda Setting in Foreign Policy, Political Research Quarterly, Vol.54, No.l (Mar.,2001), p.80
374 Lydia Andrade and Garry Young, Presidential Agenda Setting: Influences on the Emphasis of Foreign Policy, Political Research Quarterly, Vol.49, No.3 (Sep.,1996), p.603
375[法]孟德斯鸠.论法的精神(上册)[M].张雁深,译.北京：商务印书馆,1961：154.
376[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国等,译.北京：世界知识出版社,2002：5.
377[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国等,译.北京：世界知识出版社,2002：9.
378 See Hubert Vedrine with Dominique Moisi, France in an Age of Globalization (Washington, D. C. Brookings Institution Press,2001), p3.转引自[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国,等译.北京：世界知识出版社,2002：82.
379[法]孟德斯鸠.论法的精》(上册)[M].张雁深,译.北京：商务印书馆,1961：154.
380[美]丹尼尔·W.布罗姆利.充分理由——能动的实用主义和经济制度的含义[M].简练,杨希,钟宁桦,译.上海：上海人民出版社,2008：9.
381[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]／／[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：88.
382[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]／／[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：89.
383《战国策》,卷二是二,魏一。
384[美]尼古拉斯·奥鲁夫.建构主义：应用指南.[M]／／[美]温都卡尔·库芭科娃,尼古拉斯·奥鲁夫,保罗·科维特.建构世界中的国际关系.肖锋,译.北京：北京大学出版社,2006：89.
385[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[M].郑志国等,译.北京：世界知识出版社,2002：11.
386[美]约翰·斯帕尼尔.当代美国外交史[M].方海莺,译.台湾：桂冠图书股份有限公司,1986：58.
387转引自王芝.浅谈“马歇尔计划”[J].外交评论(外交学院学报),1988,(3)：56.
388参见[美]约翰·斯帕尼尔.当代美国外交史[M].方海莺,译.台湾：桂冠图书股份有限公司,1986：55.
389转引自王芝.浅谈“马歇尔计划”[J].外交评论(外交学院学报),1988,(3)：57.
390[美]杜鲁门.杜鲁门回忆录(第2卷),1974：130.转引自王芝.浅谈“马歇尔计划”[J].外交评论(外交学院学报),1988,(3)：53.
391[美]约翰·斯帕尼尔.当代美国外交史[M].方海莺,译.台湾：桂冠图书股份有限公司,1986：58.
392[美]乔治·华盛顿.告别演说[M]//[美]乔治·华盛顿.华盛顿选集.聂崇信,等译.北京：商务印书馆,1983：325-326.
393 Glenn Palmer, Scott B. Wohlander, T. Clifton Morgan, Give or Take:Foreign Aid and Foreign Policy Substitutability, Journal of Peace Research, Vol.39, No.1 (Jan.,2002), pp.8-9
394周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-03-31]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
395周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-03-31]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
396黄晓龙.全球失衡、流动性过剩与货币危机——基于非均衡国际货币体系的分析视角[J].金融研究,2007(8)：31-33.
397周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-03-31]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
398参见[西]米格尔·奥特罗-伊格莱西亚斯.欧元对国际货币体系的冲击：中国和巴西的经验[J].国际经济评论,2009,(4)：20.
399参见李伏安,林彬.国际货币体系的历史、现状—兼论人民币国际化的选择[J].金融研究,2009：(5)：64.
400 Joseph Gold, Legal and Institutional Aspects of the International Monetary System:Selected Essays, U.S.WD：IMF,1984,Part7.转引自贺小勇.全球金融危机爆发的法律思考—以国际货币体系缺陷为视角[J].华东政法大学学报,2009,(5)：49.
401中国人民银行网站.黄金和外汇储备[EB／OL].(2010-03-31)[2010-03-31]. http://www.pbc.gov.cn/diaochatongji/tongjishuju/gofile.asp?file=2009S09.htm
402 WTO:Key Development Data & Statistics[EB/OL]. (2010-03-30) [2010-03-30] Available at http://web.worldbank.org/WBSITE/EXTERNAL/DATASTATISTICS/0,,contentMDK:20535285-menuPK:11 92694-pagePK:64133150-piPK:64133175-theSitePK:239419,00.html.
403参见[西]米格尔·奥特罗-伊格莱西亚斯.欧元对国际货币体系的冲击：中国和巴西的经验[J].国际经济评论,2009,(4)：20.
404外交部.七十七国集团[EB／OL].(2010-04-01)[2010-04-01]http://www.fmprc.gov.cn/chn/pds/gjhdq/gjhdqzz/lhg_47/.
405译自美国电影《教父Ⅲ))中Lucchesi台词。原句为："Finance is a gun. Politics is knowing when to pull the triger".
406 Wang Qishan. G20 must look beyond the needs of the top 20[EB/OL]. (2009-03-27) [2010-03-30] http://www.timesonline.co.uk/tol/comment/columnists/guest_contributors/article5982824.ece
407周小川.关于改革国际货币体系的思考[EB／OL].(2009-03-24)[2010-04-01]http://news.xinhuanet.com/fortune/2009-03/24/content_11060507.htm.
108 Gary Duncan, China challenges power of the dollar as it flexes its economic muscles. Available at http://business.timesonline.co.uk/tol/business/economics/article5963370.ece, last visited in 20100330.
409[美]约瑟夫·奈.美国霸权的困惑——为什么美国不能独断专行[J].郑志国等,译.北京：世界知识出版社,2002：21.
410中国人民银行.加强区域金融合作积极开展货币互换[EB／OL].[2010-03-31] http://www.pbc.gov.cn/detail.asp?col=100&ID=3156&keyword=周小川.
411 Hans J. Morgenthau, What Is the National Interest of the United States? Annals of the American Academy of Political and Social Science, Vol.282, The National Interest- Alone or with Others? (Jul.,1952), p.4.
412 Rudolph J. R. Peritz, Competition Policy in America,1888-1992:History, Rhetoric, Law 237 (1996), at 302. Cf. Eric M. Fink, Post-Realism, or the Jurisprudential Logic of Late Capitalism:A Socio-Legal Analysis of the Rise and Diffusion of Law and Economics,55 Hastings L.J.931, 939(March,2004)
413王瑞.中美企业内部控制法律规范比较分析[J].财会通讯(综合版),2010,(3)：141.
4 Richard A. Posner, Utilitarianism, Economics, and Legal Theory, The Journal of Legal Studies, Vol.8, No. 1 (Jan.,1979), p.122
415参见[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光等,译.北京：经济科学出版社,1989：28.
416[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：25.
417[美]麦考罗[美]曼德姆.经济学与法律——从波斯纳到后现代主义[M].吴晓露,等译.北京：法律出版社,2005：17.
418[英]帕金.微观经济学(第5版)[M].梁小民,译.北京：人民邮电出版社,2003：8.
419[英]马丁·沃尔夫.全球化为什么可行[M].余江,译.北京：中信出版社,2008：57.
420[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：30.
421[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：30.
422[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：8.
423转引自[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：34.
424[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：29.
425[美]罗伯特·吉尔平.国际关系政治经济学[M].杨宇光,等译.北京：经济科学出版社,1989：29-30.
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435[美]罗宾·保罗·马洛伊.法律和市场经济——法律经济学价值的重新诠释[M].钱弘道,朱素梅,译.北京：法律出版社,2006：111.
436 Owen M. Fiss, The Death of the Law?,72 Cornell L. Rev.1,15 (1986)
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439 Cristie L. Ford, New Governance, Compliance, and Principles-Based Securities Regulation,45 Am. Bus. L.J 1,11(Spring,2008)
440 Cristie L. Ford, New Governance, Compliance, and Principles-Based Securities Regulation,45 Am. Bus. L.J 1,36(Spring,2008)
441 See John C. Coffee Jr., Gatekeeper Failure and Reform: The Challenge of Fashioning Relevant Reforms, 84 B.U.L. Rev.301,342-44 (2004)
442 David Zaring, Rulemaking and Adjudication in International Law,46 Colum. J. Transnat'l L.563, 587(2008)
443 Cristie L. Ford, New Governance, Compliance, and Principles-Based Securities Regulation,45 Am. Bus. L.J.1,30(Spring,2008)
444[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：62.
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446 David M. Herszenhorn, Bill Passed in Senate Broadly Expands Oversight of Wall St.[EB/OL]. (2010-05-21) [2010-05-22] http://www.nytimes.com/2010/05/21/business/21regulate.html
447Ehud Guttel & Alon Harel, Matching Probabilities:The Behavioral Law and Economics of Repeated Behavior,72 U. Chi. L. Rev.1197,1230(Fall,2005)
448 John Cirace, When are Law and Economics Isomorphic? 39 Golden Gate U.L. Rev.183,192(Winter,2009)
449 John Cirace, When are Law and Economics Isomorphic? 39 Golden Gate U.L. Rev.183,189(Winter,2009)
450 Karl N. Llewellyn, The Bramble Bush chs. Ⅲ-Ⅳ (1960), at 41. See John Cirace, When are Law and Economics Isomorphic? 39 Golden Gate U.L. Rev.183,198(Winter,2009)
451王曙光.金融自由化中的政府金融监管和法律框架[J].北京大学学报(哲学社会科学版),2004,(1)：22.
452[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：114.
453转引自[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：123.
454新闻分析：企业内控规范为中国企业构筑防范风险“防火墙”[EB／OL].(2008-06-28)[2010-04-08] http://www.gov.cn/gzdt/2008-06/28/content_1030188.htm.
455财政部证监会审计署银监会保监会关于印发《企业内部控制基本规范》的通知[EB／OL].(2000-07-02) [2010-04-04] http://www.gov.cn/zwgk/2008-07/02/content_1033585.htm.
456王瑞.SOX法案框架下的内部控制与中小企业问题研究[M].河北法学,2010,(5)：87.
457王瑞.SOX法案框架下的内部控制与中小企业问题研究[M].河北法学,2010,(5)：88.
458转引自[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：123.
459See 15 U.S.C.§80a-3(c)(1).
460See 15 U.S.C.§80a-3(c)(7).
461 See 15 U.S.C. § 80a-2(a)(51)(A)(i).
462 Houman B. Shadab, The Law and Economics of Hedge Funds:Financial Innovation and Investor Protection,6 Berkeley Bus. L.J.240,273(2009)
463 Houman B. Shadab, The Law and Economics of Hedge Funds:Financial Innovation and Investor Protection,6 Berkeley Bus. L.J.240,263(2009)
464[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：98.
465[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：101.
466[美]阿维纳什·K·迪克西特.经济政策的制定：交易成本政治学的视角[M].刘元春,译.北京：中国人民大学出版社,2004：108.
467参见[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：104.
468易宪容.华尔街金融危机的根源与反思[J].金融纵横,2009,(1)：4.
469王曙光.金融自由化中的政府金融监管和法律框架[M].北京大学学报(哲学社会科学版),2004,(1)：22.
470[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：112.
471 Investment Advisers Act of 1940. §202(a)(11)
47217 CFR 240.10b-5
473 United States ν. Wenger,292 F. Supp.2d 1296,1305(2003)
474 United States ν. Wenger,292 F. Supp.2d 1296,1308 (2003)
475 United States ν. Wenger,427 F.3d 840,847 (2005)
476 United States ν. Wenger,427 F.3d 840,850 (2005)
477 See City of Chicago ν. Morales,527 U.S.41,56 (1999)
478 United States ν. Wenger,427 F.3d 840,852 (2005)
479[美]罗伯特·库特纳.大国的陷落[M].曾贤明,译.北京：中信出版社,2009：71.
480[美]哈威尔·E·杰克逊,小爱德华·L·西蒙斯.金融监管[M].吴志攀,等译.北京：中国政法大学出版社,2003：23.
481 Investors’Working Group. U. S. Financial Regulatory Reform: The Investor's Perspective[EB/OL]. (2009-07) [2010-03-21] http://www.cii.org/UserFiles/file/resource%20center/investment%20issues/Investors'%20Working%20Group% 20Report%20(July%202009).pdf, p.19
482黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-02-26(A05).
483黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-02-26(A05).
484 FBI. Security Clearance Process for State and Local Law Enforcement[EB/OL]. [2009-07-21] http://www.fbi.gov/clearance/securityclearance.htm.
485参见黄明.中资企业在衍生品上的独特风险——兼谈对衍生品套保投资的看法和建议[N].第一财经日报,2009-02-26(A05).
486[英]罗杰·科特威尔.法律社会学导论[M1.潘大松,等译.北京：华夏出版社,1989：6.
487 Time:25 People to Blame for the Financial Crisis[EB/OL]. [2010-04-09] http://www.time.com/time/specials/packages/article/0,28804,1877351_1877350_1877322,00.html.
488 Time:25 People to Blame for the Financial Crisis[EB/OL]. [2010-04-09] http://www.time.com/time/specials/packages/article/0,28804,1877351_1877350_1877322,00.html.
489[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：155.
490[美]理查德·波斯纳.资本主义的失败——0八危机与经济萧条的降临[M].沈明,译.北京：北京大学出版社,2009：200.
491 Richard A. Epstein, Gary S. Becker, Ronald H. Coase, etc. The Roundtable Discussion. The University of Chicago Law Review, Vol.64, No.4 (Autumn,1997), p.1139
492 Richard A. Epstein, Gary S. Becker, Ronald H. Coase, etc. The Roundtable Discussion. The University of Chicago Law Review, Vol.64, No.4 (Autumn,1997), p.1142
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494参见：我国最高人民法院发布的《关于适用<中华人民共和国民事诉讼法>若干问题的意见》(1992) 第64条。
495参见：我国最高人民法院发布的《关于适用<中华人民共和国民事诉讼法>若干问题的意见》(1992)第64条。
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[14]Scheuer ν. Rhodes,416 U.S.232,236,40 L. Ed.2d 90,94 S. Ct.1683 (1974)
[15]SEC ν. Berger,244 F. Supp.2d 180,188 (S.D.N.Y.2001)
[16]SEC ν. Capital Gains Research Bureau, Inc.,375 U.S.180,186-187 (1963
[17]SEC ν. Jerry T. O'Brien, Inc.,467 U.S.735,738 (1984)
[18]SEC ν. Kasser,548 F.2d 109,116 (3 Cir.), cert. denied,431 U.S.938,97 S.Ct.2649,53 L.Ed.2d 255 (1977)
[19]SEC ν. Unifund SAL,910F.2d 1028,1033 (2d Cir.1990)
[20]Shields ν. Citytrust Bancorp, Inc.,25 F.3d 1124,1129 (2d Cir.1994)
[21]Silver ν. New York Stock Exchange (1963)
[22]Smith ν. Mutual Life Ins. Co.,96 Mass.336 (1867)
[23]United States ν. Cook,573 F.2d 281,283-84 (5 Cir.), cert. denied,439 U.S.836,99 S.Ct.119 (1978)
[24]United States ν. Wenger,292 F. Supp.2d 1296,1308 (2003)
[25]United States ν. Wenger,427 F.3d 840,847 (2005)
[26]Zappia Middle East Constr. Co. ν. Emirate of Abu Dhabi,215 F.3d 247,253 (2d Cir.2000)
[27]Zoeisch ν. Arthur Andersen,824F.2d.27 (1987);