股权变更登记制度法律问题研究.pdf

摘要 股权变更登记制度对于股权转让协议的效力、股东身份的认定和股权变更 的时点都具有重要意义。股权变更登记对内涉及股权转让双方与公司、与其他 股东之间的权利义务关系,对外则涉及股权转让双方与公司外第三人之间的权 利义务关系。由于我国立法上没有明确股权变更登记的法律效力,理论界对此 至今未达成共识,司法实践中也标准不一,以致许多股权转让纠纷因此而起, 实值得我们密切关注和深入研究。 本文分为六章。第一章是股权变更登记概述,介绍了股权变更登记的种类、 特征和程序,界定了研究中涉及的相关概念,提出问题,引入本文所要讨论的 主题并勾勒出本文的基本框架。第二章分析了股权变更登记与股权转让合同效 力的关系。有效的股权转让合同是股权转让的基础和前提,因而本文利用一章 探讨股权变更登记对股权转让效力的影响。第三章股东名册变更登记的法律效 力和第四章工商变更登记的法律效力是本文的核心,讨论了两种股权变更登记 类型性质、法律效力以及其对股权变动效力的影响。第五章自然引申出股权变 更登记手续不完备时利害关系人权益的保护问题。第六章针对目前我国股权变 更登记制度中存在的若干问题,提出相关立法建议。 本文运用比较研究的方法,借鉴了一些国家(或地区)股权变更登记的相 关问题的立法例和理论研究成果,从中汲取有益的理论和经验,拓宽关于股权 变更登记制度问题的研究思路,为我国未来司法实践提供借鉴。 关键词:股东名册变更登记;工商变更登记;股权变动;登记生效主义;登记 对抗主义 1Abstract The registration modification of the shareholding is of great significance to the effectiveness of the share transfer agreement, identification of the shareholders’ status and the share right variation. The registration modification of the shareholding affects the rights and obligations among the parties to the share transfer agreement, the company and other shareholders internally as well as the interest of a third party externally. The ambiguous stipulations of the legislation gives rise to the dissent in both the academia and the judicial practice and results in a number of share transfer disputes, which deserves our close attention and in-depth study This paper is divided into six chapters. Chapter I is an overview of the registration modification of the shareholding, covering the types, features, procedures and relevant concepts of the registration modification of the shareholdingIt leads into the discussion of the key topic and outlines the framework of this paperChapter II analyzes the relevance between the registration modification of the shareholding and the effectiveness of the share transfer agreement which is the basis and prerequisite of the share transfer. Chapter III and Chapter IV, the core of this paper, discuss the legal effect of the modification of the register of shareholders in the company and the