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1、证券法宗旨美国：SEC.(b)Considerationofpromotionofefficiency,competition,andcapitalformation.—WheneverpursuanttothistitletheCommissionisengagedinrulemakingandisrequiredtoconsiderordeterminewhetheranactionisnecessaryorappropriateinthepublicinterest,theCommissionsh
2、allalsoconsider,inadditiontotheprotectionofinvestors,whethertheactionwillpromoteefficiency,competition,andcapitalformation.为提高效率、促进竞争、及资本形成的考虑。在根据本法制定具体规则、需要考虑或决定某项行动对公共利益是否必要或适当时，证券交易委员会除了要考虑保护投资者之外，还应该考虑行动是否会将提高效率、促进竞争及资本形成。中国：《证券法》第一条 为了规范证券发行和交易行为，保护
3、投资者的合法权益，维护社会经济秩序和社会公共利益，促进社会主义市场经济的发展，制定本法。Article1ThisLawisenactedforthepurposeofregulatingtheofferingandtradingofsecurities,protectinginvestors'legalrightsandinterests,maintainingsocialeconomicorderandpublicinterests,andpromotingthedevelopmentofthesoc
4、ialistmarketeconomy.诚实信用原则：《合同法》当事人行使权利、履行义务应当遵循诚实信用原则。Article6Thepartiesshallobservetheprincipleofgoodfaithinexercisingtheirrightsandperformingobligations.《公司法》公司从事经营活动，必须遵守法律、行政法规，遵守社会公德、商业道德，诚实守信，接受政府和社会公众的监督，承担社会责任。Article5Whenengaginginbusinessandop
5、eration,thecompanymustabidebylawsandadministrativeregulations,sticktosocialmoralityandbusinessethics,honestyandfiduciary,acceptthesupervisionbythegovernmentandthegeneralpublic,andowesocialresponsibilities.股份有限公司股东大会由全体股东组成，股东大会是公司的权力机构，依照本法行使职权。Article98
6、Shareholder'sMeetingofjointstockcompaniesiscomposedbyallshareholders,whichasthecompany'sorganofauthority,shallexerciseitsdutiesandpowersinaccordancewiththislaw.董事、监事、高级管理人员应当遵守法律、行政法规和公司章程，对公司负有忠实义务和勤勉义务。董事、监事、高级管理人员不得利用职权收受贿赂或者其他非法收入，不得侵占公司的财产。Article14
7、8Directors,supervisorsandseniormanagersshallabidebylaws,administrativeregulationsandthearticlesofassociation,andowethedutyofloyaltyandcare.Directors,supervisorsandseniormanagersshallnotabusetheirauthoritiesbyacceptingbribesorreceivingotherillegalincome,a
8、ndshallnotconvertcompanyassets.《证券法》证券发行、交易活动的当事人具有平等的法律地位，应当遵守自愿、有偿、诚实信用的原则。Article4Allpartiesinvolvedintheofferingandtradingofsecuritieshaveequallegalstatusandshallobservevoluntary，compensatoryandfiduciary.书上范围3.Avoidanc
