商标权质押研究
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摘要
用商标的专有使用权作为债的担保是商标利用的一种重要方式。法学界对于商标权质押的性质还存在着争议。随着时代的发展，质押也出现了不移转占有的情形，其公示的方法也就成为登记而非移转占有。商标权的经济价值来源于商标的价值，并且依照我国法律，商标权是可以转让的，因而商标权可以成为质押的标的。商标许可使用权以及商标申请权虽然具有一定的价值性和一定程度的可转让性，但是却不宜用来设定质权。商标权质押合同从法律性质上分析，应为债权合同。而且，质押合同是质权设立的前提和基础，而质权设立是质押合同的最终目的。目前立法和司法中关于商标权质押合同生效的规定，应当修正。此外，对商标权质押合同的登记问题，不宜采用登记生效，而应采登记对抗，以更好的保护质权人的利益。我国《担保法》只规定有最高额抵押权，没有规定最高额质权。最高额质权和最高额抵押权对一定期间内连续发生的债权具有相同的担保作用，所以物权立法和实务有承认和规定最高额质权的必要。最高额质押与最高额抵押有着很大的相似之处。在制度设计上，可以参考最高额抵押的设计来设计最高额质押。另外，从充分发挥商标权价值的角度出发，立法应当考虑允许商标权质权的转质。商标权作为一种无形的资产，在设定质押时由于不需要占有和保管实物，因此其费用的支出相对较少。但强制性的登汜和评估使得质权设定的成本很高。另外，商标权人在质权存续期间一般不能处分这笔资产，这也是低效率的。
完善商标权质押制度，仅仅从该制度本身入手是远远不够的，还必须完善一些与此相关的法律制度。比如，担保登记制度、资产评估制度等等。
It is an important way to hypothecate the debts with the right of trademark. But there are still many disputes on the legal nature of such pledges in law circles. With the development of the society, non-possessory pledges have appeared and their publicity is registration ,but not possession transferring. The licenced right of utilizing trademark( TM ) does have some economic value and to some extend can be transferred. But it is unsuitable to be used to hypothecate debts. The purpose of pledge-setting contract is to set possessory pledge. So the validity of this contract in our country should be adjusted. Besides, the registration of this king of contract should not adopt the doctrine of validity, but the doctrine of exclusion. The tiptop non-possessory mortgages can be found in the "Law on Pledges" in our country, but the tiptop possessory pledges can not be found . It's the same in the draft developed by China Social-science Academy. But the two really do the same to the actual practice. So in the system-
design course of the possessory pledges, we can take the tiptop non-possessory pledges as a model. As a sum of intangible assets, this kind of pledge does not demand the transferring of the possession of trademark. In fact, it is impossible. However, the compulsory regisration and assessment system higher the cost. In addition , the owner of the trademark can not treat his trademark freely. That makes this legal system lower effective.
To perfect the system demands far more than this system itself. We have to do a lot with the corresponding system . For example, the registration system for pledges, and assets assessment system, etc .
完善商标权质押制度，仅仅从该制度本身入手是远远不够的，还必须完善一些与此相关的法律制度。比如，担保登记制度、资产评估制度等等。
It is an important way to hypothecate the debts with the right of trademark. But there are still many disputes on the legal nature of such pledges in law circles. With the development of the society, non-possessory pledges have appeared and their publicity is registration ,but not possession transferring. The licenced right of utilizing trademark( TM ) does have some economic value and to some extend can be transferred. But it is unsuitable to be used to hypothecate debts. The purpose of pledge-setting contract is to set possessory pledge. So the validity of this contract in our country should be adjusted. Besides, the registration of this king of contract should not adopt the doctrine of validity, but the doctrine of exclusion. The tiptop non-possessory mortgages can be found in the "Law on Pledges" in our country, but the tiptop possessory pledges can not be found . It's the same in the draft developed by China Social-science Academy. But the two really do the same to the actual practice. So in the system-
design course of the possessory pledges, we can take the tiptop non-possessory pledges as a model. As a sum of intangible assets, this kind of pledge does not demand the transferring of the possession of trademark. In fact, it is impossible. However, the compulsory regisration and assessment system higher the cost. In addition , the owner of the trademark can not treat his trademark freely. That makes this legal system lower effective.
To perfect the system demands far more than this system itself. We have to do a lot with the corresponding system . For example, the registration system for pledges, and assets assessment system, etc .
引文
[1] 刘红辉．“永久”牌商标被质押．www．86tm．com／evaluatd，2000-04-06
[2] 吴伟洪．商标利用新举措．中国知识产权报，2004-04-09
[3] [日]高石义一监修．知的所有权担保．第2版．东京：东京银行研修社，2000，235
[4] 郑成思．知识产权文丛第三卷．第1版．北京：中国政法大学出版社，2000，438
[5] 陈普舜．各国商标法律与实务．北京：科学普及出版社，1996，117
[6] 郭明瑞．担保法．北京：中国政法大学出版社，1999，114-115
[7] 郑成思．知识产权法教程．北京：法律出版社，2003，160
[8] Richard A Posnar. Economic Analysis of Law. Harvard University Press, 1998, 245-247
[9] Smith Kathy. A Report on the Value of Trademark. www. businessweek. com, 2002-02-04
[10] 胡开忠．权利质权制度研究．北京：中国政法大学出版社，2004，336-340
[11] 辛学祥．民法物权论．台北：台湾商务印书馆，1980，371
[12] 王泽鉴．商标法．见：新编六法全书．台北：台湾三民书局，1980，361
[13] Richard S Higgins, Fred S McChesney. Truth and Consequences.1986. The Federal Trade Commission's Ad Substantiation Program, 6 Intl, Rev, Law & Econ, 151
[14] Coase R. The Firm, the Market and the law. Chicago University press, 1988, 585-586
[15] Morton J Horwitz. The transformation of American law. Harvard University Press, 1977, 1780-1860
[16] 沈扬．商标权担保若干法律问题探析．www．chinaiprlaw．com，2003-05-20
[17] [美]泰勒．商标的选定和保护．商标通讯，1993，(7)：25
[18] 拉鲁斯大百科全书．北京：知识出版社，1981，168
[19] 小岛庸和．无体财产权知的所有权知识．东京：创成社，1998，277
[20] 北京专利与商标事务所．专利与商标案例分析．北京：中国政法大学出版社，2000，77
[21] 桑德罗·斯奇马尼．物与物权．范怀俊译．北京：中国政法大学出版社，1993，19
[22] 冯晓青，唐超华．知识产权法教程．长沙：湖南大学出版社，2001，398-399
[23] 王泽鉴．民法学说与判例研(第一册)．台北：台湾三民书局，1980，477
[24] 王传丽．与贸易有关的知识产权．政法论坛，1995，(1)：113
[25] 史尚宽．物权法论．北京：中国政法大学出版社，1999，455
[26] 吴汉东．知识产权法．北京：中国政法大学出版社，2001，230-232
[27] 周林彬．物权法新论．北京：北京大学出版社，2003，708-709
[28] John L Simpson, Joachim E MenzeMihail Buruiana. Registration of Pledges under Law on Pledge of the Repulic of Moldova of 23 May 1998. www.Europeanbank.com, 2004-4-15
[29] 陈华彬．物权法研究．香港：金桥文化出版有限公司，2001，198
[30] 谢冬伟．德国商标和其他标志保护法．见：郑成思．知识产权文丛第三卷．2000，451
[31] David Newlery, Nicholas Stern. The theory of taxation for developing countries. London: Oxford University Press, 1987, 45-47
[32] 万光狭．效率与公平．北京：人民出版社，2000，131-132
[33] 诺思．制度、制度变迁与经济绩效．上海：上海三联书店，1994，124-138
[34] [美]理查得·A·波斯纳．法律的经济分析．蒋兆康译．北京：中国大百科全书出版社，2003，76
[35] Alchain A A. Some Economics of Property Rights. Santa Monica Rand Paper, 1961, 2316
[36] Calabresi G. Some Thoughts on Risk Distribution and the Law of Torts. Yale Law, 1961,445-453
[37] Coase R H. The Problem of Social Cost. Journal of Law& Economics, 1960, (3): 1-44
[38] 宋承先．现代西方经济学．上海：上海复旦大学出版社，1997，114-115
[39] Richard A Poser. The Problem of Jurisprudence, 1990, (12): 33-35
[40] [美]理查得·A·波斯纳．法律的经济分析．蒋兆康译．北京：中国大百科全书出版社，2003，98
[41] Hayek F A Individualism and Economics Order. University of Chicago Press, 1949, 1-7
[42] Collard D A, Altruism. Economy. A Study of Non-Selfish Economics, Martin Robertson, 1978, 44-48
[43] [英]弗兰克·H·奈特．社会成本解释中的一些谬误．段勇译．经济学季刊，1977，(38)：582
[44] [美]杰西·杜克米尼，詹姆斯·E·克罩尔．财产权．第2版．钟灿译．香港：香
港大学出版社，1997，25
[45] 周其仁．真实世界的经济学．北京：中国发展出版社，2002，22-25
[46] 张广兴．债法总论．北京：法律出版社，1997，276
[47] 卢平．对我国无形资产评估立法问题的思考．法商研究，1996，(3)：97-99
[2] 吴伟洪．商标利用新举措．中国知识产权报，2004-04-09
[3] [日]高石义一监修．知的所有权担保．第2版．东京：东京银行研修社，2000，235
[4] 郑成思．知识产权文丛第三卷．第1版．北京：中国政法大学出版社，2000，438
[5] 陈普舜．各国商标法律与实务．北京：科学普及出版社，1996，117
[6] 郭明瑞．担保法．北京：中国政法大学出版社，1999，114-115
[7] 郑成思．知识产权法教程．北京：法律出版社，2003，160
[8] Richard A Posnar. Economic Analysis of Law. Harvard University Press, 1998, 245-247
[9] Smith Kathy. A Report on the Value of Trademark. www. businessweek. com, 2002-02-04
[10] 胡开忠．权利质权制度研究．北京：中国政法大学出版社，2004，336-340
[11] 辛学祥．民法物权论．台北：台湾商务印书馆，1980，371
[12] 王泽鉴．商标法．见：新编六法全书．台北：台湾三民书局，1980，361
[13] Richard S Higgins, Fred S McChesney. Truth and Consequences.1986. The Federal Trade Commission's Ad Substantiation Program, 6 Intl, Rev, Law & Econ, 151
[14] Coase R. The Firm, the Market and the law. Chicago University press, 1988, 585-586
[15] Morton J Horwitz. The transformation of American law. Harvard University Press, 1977, 1780-1860
[16] 沈扬．商标权担保若干法律问题探析．www．chinaiprlaw．com，2003-05-20
[17] [美]泰勒．商标的选定和保护．商标通讯，1993，(7)：25
[18] 拉鲁斯大百科全书．北京：知识出版社，1981，168
[19] 小岛庸和．无体财产权知的所有权知识．东京：创成社，1998，277
[20] 北京专利与商标事务所．专利与商标案例分析．北京：中国政法大学出版社，2000，77
[21] 桑德罗·斯奇马尼．物与物权．范怀俊译．北京：中国政法大学出版社，1993，19
[22] 冯晓青，唐超华．知识产权法教程．长沙：湖南大学出版社，2001，398-399
[23] 王泽鉴．民法学说与判例研(第一册)．台北：台湾三民书局，1980，477
[24] 王传丽．与贸易有关的知识产权．政法论坛，1995，(1)：113
[25] 史尚宽．物权法论．北京：中国政法大学出版社，1999，455
[26] 吴汉东．知识产权法．北京：中国政法大学出版社，2001，230-232
[27] 周林彬．物权法新论．北京：北京大学出版社，2003，708-709
[28] John L Simpson, Joachim E MenzeMihail Buruiana. Registration of Pledges under Law on Pledge of the Repulic of Moldova of 23 May 1998. www.Europeanbank.com, 2004-4-15
[29] 陈华彬．物权法研究．香港：金桥文化出版有限公司，2001，198
[30] 谢冬伟．德国商标和其他标志保护法．见：郑成思．知识产权文丛第三卷．2000，451
[31] David Newlery, Nicholas Stern. The theory of taxation for developing countries. London: Oxford University Press, 1987, 45-47
[32] 万光狭．效率与公平．北京：人民出版社，2000，131-132
[33] 诺思．制度、制度变迁与经济绩效．上海：上海三联书店，1994，124-138
[34] [美]理查得·A·波斯纳．法律的经济分析．蒋兆康译．北京：中国大百科全书出版社，2003，76
[35] Alchain A A. Some Economics of Property Rights. Santa Monica Rand Paper, 1961, 2316
[36] Calabresi G. Some Thoughts on Risk Distribution and the Law of Torts. Yale Law, 1961,445-453
[37] Coase R H. The Problem of Social Cost. Journal of Law& Economics, 1960, (3): 1-44
[38] 宋承先．现代西方经济学．上海：上海复旦大学出版社，1997，114-115
[39] Richard A Poser. The Problem of Jurisprudence, 1990, (12): 33-35
[40] [美]理查得·A·波斯纳．法律的经济分析．蒋兆康译．北京：中国大百科全书出版社，2003，98
[41] Hayek F A Individualism and Economics Order. University of Chicago Press, 1949, 1-7
[42] Collard D A, Altruism. Economy. A Study of Non-Selfish Economics, Martin Robertson, 1978, 44-48
[43] [英]弗兰克·H·奈特．社会成本解释中的一些谬误．段勇译．经济学季刊，1977，(38)：582
[44] [美]杰西·杜克米尼，詹姆斯·E·克罩尔．财产权．第2版．钟灿译．香港：香
港大学出版社，1997，25
[45] 周其仁．真实世界的经济学．北京：中国发展出版社，2002，22-25
[46] 张广兴．债法总论．北京：法律出版社，1997，276
[47] 卢平．对我国无形资产评估立法问题的思考．法商研究，1996，(3)：97-99