【作者】 张妍妍；

【导师】 齐延平；

【作者基本信息】 山东大学 ， 宪法学与行政法学， 2012， 博士

【摘要】 在美国,受宪法第一修正案保护的言论类型非常多,如政治言论、商业言论、诽谤言论、仇恨言论、象征性言论、宗教言论等。大多数学者认为,美国言论自由领域实行“双阶理论”,即将言论分为高价值言论和低价值言论,对不同位阶的言论给予不同程度的宪法保障；对高价值言论如政治言论赋予近乎绝对性的宪法保障,而对于低价值言论如商业言论则提供有限的宪法保护。但是本文认为,对商业言论提供不同于政治言论及其他言论类型的宪法保护水平,主要源于言论的类型特质及制度功能的相异性,而非基于言论价值的高低不同。商业言论自由以营利为主要目的,事关消费者权益及社会公益的特质决定其必须遵守合法真实性原则,方能获取第一修正案保护。随着社会的发展,商业言论自由的权利内容体系不断充实,宪法保障体系日趋完善,它不再是一项简单的广告主发布商业广告的权利,还直接关系到公众获取商业信息的权利。将商业言论自由纳入第一修正案的宪法保障体系内不仅具有合理性,而且是对言论自由权利的拓展与深化。基于其宪政地位的确立,政府规制商业言论的家长制作风和行为得到有效遏制,对商业言论自由的规制行为须出于维护公益的目标,且不得违反第一修正案。本文以美国商业言论自由的发展历程入手,探讨其发展的理论基础和蕴含的宪政价值,立足于商业言论自由与社会公益或其他合法权益衡平的基础上研究商业言论自由的权利范围、行为界限、行政规制和司法审查标准等重要问题。通过对美国商业言论自由的系统整理和规范研究,希望能对我国治理违法性、虚假性和误导性广告、保障合法真实性商业信息的现实需求发挥有效的借鉴意义。本文除去导论和尾论,主要包括七章。第一章以商业言论自由的源起为始对商业言论自由与美国宪法第一修正案所保护的言论自由权利的属种关系进行了总括性探讨。通过对商业言论自由数十年的发展历程进行梳理,归纳出其经历了完全不受宪法保护、受有限的宪法保护、整体纳入宪法保护和宪法保护标准的确立这四个发展阶段。在此基础上,本文将美国司法界识别商业言论的做法主要归纳为获利动机论、内容基准论和综合因素论。尽管在政府的系统规制、消费者组织的强力制衡和广告行业的自觉自治下,商业言论自由获得了第一修正案较高程度的保障,但是关于其是否应受美国宪法保护的问题,美国司法界和学术界至今仍存在激烈交锋,本文将这些观点大体分为反对说和赞成说,并将反对说归纳为政治民主论、立法原意论、获利动机论、法人本质论和广告误导论等,通过对反对说观点的逐一批驳,验证了商业言论自由被纳入第一修正案保护范围的合理性。第二章论证了商业言论自由应受第一修正案保护的理论基础。商业言论自由有利于实现经济领域的繁荣、促进思想市场的自由、保障公共利益的达致和推动个人自治的实现,因此具有重要的宪政价值。商业言论自由促进了经济领域内真实信息的自由流动,为消费者提供更多的选择途径。通由无数的私人经济决定,经济得以在整体上以一种理智的、信息充分的形式运行,这本身就是一个公共利益问题。并且,商业言论自由在宣传产品、服务的同时,自身也凝结了巨大的精神力量,体现了个体全面实现自身价值的内在需求。它不仅是市场主体自身的理性反映,也是消费者权益得到满足和社会公益得以实现的前提条件。第三章探讨了当商业言论自由与公共利益、他人权益和青少年权益发生冲突时,美国司法界如何对这些利益进行衡平。商业言论自由原则实际上要考虑两方面权益,既要保障公民的商业言论自由,对抗政府以维护社会利益、行使治安权为名实行的种种非法限制,又要保证政府能够正常行使职权,以维护包括公共卫生和健康、公共秩序和安全、公共道德、公众知情权在内的社会公共利益及其他利益。由于广告受众的特殊性,儿童广告需要受到更多的规制,如将对儿童来说不宜或不良的商业言论尽量隔绝于他们的接触范围之外。基于商业言论自由属于第一修正案所保护的言论自由范畴,且具有自身的独特性,其规制体系的构成既包括言论自由中对其适用的一般性原则,又包括特殊性规则。第四章阐述了商业言论自由规制的一般性原则,主要包括禁止事先审查原则和公共场所公开原则。商业言论自由受第一修正案保护,不得因为其对民众产生有害影响之类的猜测而受到政府的事先审查,但并非意味着对其表达后所产生一切问题的豁免审查。公共场所开放原则对于商业言论自由的顺利实现意义重大,本文将公共场所范围分为传统性公共场所、现代意义上的公共场所和临时性公共场所。政府在决定对商业言论自由进行规制时应考虑相关公共场所的历史传统和现有用途,判断某私人物业是否起到了公共职能来确定其是否属于商业言论自由行使的场所。公共场所开放原则在适用中可能受到“时间、地点和方式”规制的限制,但该限制不能超越宪法允许的底线。第五章研究了商业言论自由规制的特殊性规则。除了上述一般性规制原则之外,商业言论自由的宪法保障体系在很大程度上通过特殊性规则予以体现。对于合法真实性商业言论,美国采取“四步分析法”予以有效保护,即通过以下四个步骤逐一评判政府规制商业言论行为的合宪性：第一步,待裁决的商业言论是否合法?如果商业广告排除了违法性、虚假与误导性,分析的第二步继续进行。第二步,对商业言论的限制能否确保实质性利益的实现?第三步,该限制措施能否直接促进该实质性利益的实现?第四步,该限制是否为增强实质利益所必需?尽管“四步分析法”在保障商业言论自由方面发挥了卓有成效的作用,但它并非健全的司法审查标准,在司法适用中仍然存在弊端。本文认为,要对其予以完善,总体来说,政府的规制行为须遵循合法性原则、合目的性原则及合比例性原则等内在原则。同时,商业言论自由的实现离不开对在违法性、虚假与误导性商业言论的强力规制。如果商业言论存在虚假陈述或遗漏必要信息等情形,且构成实质性影响,可能误导公众,该言论就构成虚假与误导性言论而受到相应管理机构的严惩。为规范商业言论的发布,美国建立起包括事前证明原则、强制信息披露和禁止过分夸大三大制度在内的防范机制。第六章探讨了特定媒介下的商业言论自由。与传统媒体相比,广播、电话、有线电视和互联网等特定媒体拓展了商业言论自由行使的信息市场,为商业言论自由的发展提供了难得的机遇,但又构成了对传统商业言论自由的一个挑战。特定媒介在传播特性上更具有侵入性和无所不在性,并且部分媒体属于先天稀缺型媒体,需要政府行为的更多介入,以更好地“服务于公共利益、便利和需要”。第七章对中国语境下的商业言论自由进行了探索。中美两国商业言论自由在宪法规定、法律体系、法律文化传统和法治推动力量方面存在一定的差异。要去除目前我国商业言论规制过程中存在的立法、执法和司法方面的缺陷,需要遵循宪政法治理念来构建我国商业言论自由的保障体系,既要从消极方面不干扰商业言论自由的正常行使；又要从积极方面消除其行使的不利条件,保障社会公益的顺利实现。更多还原

【Abstract】 In the United States, freedom of speech protected by the First Amendment is diverse, such as political speech, commercial speech, defamation speech, hatred speech, symbolic speech, religious expression and so on. Many scholars consider commercial speech is an expression related solely to the economic interests of the speaker, thus it has low value. The nature of commercial speech—to promote the sale of goods and services determines that only when it is in line with the principle of truthfulness, it is eligible to the protection of the First Amendment. With the development of society, the value system, the regulation system and the judicial review standards of commercial speech freedom are more clear and specific. It can expand and deepen the essential right of speech. Since it is entitled to constitutional protection, it has a claim to safekeeping from unwarranted intrusion.On the basis of measuring commercial speech and other lawful rights and interests, this paper explores embodiment of its constitutional value and researches the scope of its rights, behavior boundaries, administrative rules, and judicial review standards. By systematic research and reorganization of commercial speech freedom in America, this paper intends to provide some guidance for Chinese government to regulate illegal, false or misleading advertising and protect truthful and lawful commercial speech. The paper consists of seven parts besides the introduction and the conclusion.Chapter1lists the development of commercial speech freedom in America. This paper includes the development stage of commercial speech to four stages:not subject to constitutional protection, enjoy a limited measure of protection, entitled to the protection of the First Amendment as a whole and higher degree of constitutional protection. This paper concludes there are three theories to distinguish commercial speech:the main purpose theory, the content-based view and comprehensive factors theory. Under the systemic regulation of the government, strong balance of consumer’s organization and self-government of the advertising, Commercial speech freedom now enjoys high measure of constitutional protection. There are much confusion between the pros and cons of whether commercial speech freedom should be protected by the First Amendment in theorists and the bar. This paper will oppose views summarized as theories of the political democracy, the judicial originalism, the profit motive, the nature of corporate and misleading advertisements. Through refuting the above theories, we can see it is reasonable for commercial speech to be protected by the First Amendment.Chapter2demonstrates the theoretical basis of commercial speech freedom. It promotes the economic development and freedom of ideas-market. As an important element in nation’s economic system, it promotes the free flow of truthful information of goods and services, enriches the economic market, and provides consumers with more choices. It also promotes achievement of public interest and autonomy of the individual. In summary, commercial speech has an important constitutional value.Chapter3focuses on how the US Court to keep balance among commercial speech freedom and public interest, others’and adolescents’ rights. It by no means sacrifices one right to meet the other but to analysis case by case. We should take two aspects into consideration. First, it should protect citizens’ commercial speech freedom against government illegal restriction in name of community interests. Second, it should also enable the Government to perform its functions to maintain public interests, such as public health, public order and safety, public morality and so on. Minors are incapable of rational judgment, so children’s advertising should adopt special rules. Effective measure is to keep bad or improper commercial speech out of children’s reach.Commercial speech being entitled to the constitutional protection, its regulation system should consist of general principles and special principles. Chapter4describes the general principle, abstracted from freedom of speech that should be applied to commercial speech. One is principle of prior review prohibition. Exemption from prior review dose not mean exemption from all following issues. Advertiser should be responsible for consequences caused by illegal, false or misleading information. This is a protection rather than a violation of commercial speech. The other is principle of public places. Public place is an important channel of commercial speech freedom. This paper divides public places into traditional public places such as streets and parks, public places in the modern sense and temporary public places. When regulating commercial speech, the Government should take into consideration the traditional and current usage of public places and whether a private property has played a public function. In application the second principle may be subject to the "time, place and manner" rule, but such restriction should not violate the First Amendment.Chapter5studies the special regulations. To protect truthful and lawful commercial speech, the court takes a four-step test,(1) the speech must concern a legal activity and must not be misleading,(2) there must be a substantial governmental interest to be achieved by the restriction,(3) the restriction must be narrowly drawn to advance that interest, and (4) the restriction must be no more extensive than necessary to meet that interest. But it is not a perfect test, its application often results in distinct decisions in similar cases. So the administration must follow three coherent principles:principles of legality, proportionality and purposiveness. But if an advertisement implies false message or omits necessary information, which may constitute substantial injures to consumers, it would be punished heavily. Three measures are taken to govern the terms of advertising:prior proof measure, mandatory information disclosure and overstatement prohibition.Chapter6discusses commercial speech freedom under some specific media. Such medias as radio, telephone, television and the Internet expand speech area, but they also constitute a challenge to the traditional commercial speech. These medias are more invasive and ubiquitous, so they need more government’s intervention as to serve the public interest, convenience and needs.Chapter7discusses about the development of commercial speech freedom in China. Commercial speech freedom in China is different from U.S. in the status of constitutional provisions, legal system, the traditional legal culture and the strength to promote the development of law. To remove the defects in legislative, executive and judicial domains and establish system of commercial speech freedom in China, on the negative aspect, we must try not to interfere with the truthful and lawful commercial speech; and on the positive aspect, we must eliminate the adverse conditions for its normal operation and protect the public interest.更多还原