权利质权若干问题研究

【作者】 丁珂；

【导师】 罗晓静；

【作者基本信息】 郑州大学 ， 经济法， 2003， 硕士

【摘要】 财产权利在现代社会中具有广泛的意义，权利成为物质财产的异化形态，财产的代表。由于标的物的财产性，使得这些权利具有了交换价值，这也就为权利设质创造了基本的条件。有了基本条件，加之权利设质的便捷和有效性，使得权利设质在人们的经济生活中的地位日益重要。权利质权作为一种担保物权，因其标的的鲜明个性，尤宜市场经济与信用关系高度发达的需要。因此，笔者在本文中仅通过对权利质权的内涵、性质与价值分析、权利质权的设定、权利质权的效力、权利质权的实现进行探讨，并提出一些自己的看法。 就权利质权的性质而言，它是一种担保物权，是转移担保财产占有的质权，其标的是以所有权以外的可转让的财产权，须具有可让与性、财产性、适质性等特点，权利质权是以出质财产的交换价值为担保利益，以取得客体的交换价值优先受偿为终极目的。 基于物权理论注重从物的“所有”为中心，到注重以物的“利用”为中心的变化，所有权社会化和价值化的发展趋势，权利质权得到了较大发展。从价值上讲，权利质权首先具有的是担保功能，即为债权实现提供保障作用。也正因其担保功能，也使其在促进社会资金融通方面起积极作用，即融资功能；权利质权的设质简便、成本低、具有效益价值。本文通过对权利质权的价值分析，认为权利质权是更自由，更具广泛性，供社会选择利用余地更大的担保方式。 对于权利质权的设定，笔者从标的、设定方式两方面予以分析，权利质权的标的的设置必须符合积极、消极两个方面的条件，依据不同的标准，标的权利可作不同的分类，一般债权可否作为设质标的?本文中笔者赞同将其归为“可以质押的其他的权利”中，并列举了理由，笔者还对邮票可否设质作了专门的论述。 权利质权的设定因设押标的不同，有着不同的设定规则，本文中笔者对一般债权质权，证券权利质权，股权质权，知识产权质权的设定分别作详尽的论述，一般债权质权的设定须具备书面形式，移转债权证书的占有，并应通知第三债务人;有价证券质权的设定又分为无记名证券质权的设定、记名证券质权的设定和指示证券质权的设定;股份质权根据股票的记名与不记名，分别作了阐述;知识产权质权的设定中规定了设定的通则，又分别论述了专利权、商标权、商号权、著作权质权的设定。 权利质权的效力主要指对所担保的债权范围，标的的效力范围和对双方当事人的效力，着重讨论了一般债权中质权人的权利与义务，质权人有留置权、孽息的收取权，对出质人及第三债务人之间行为的限制、转质权、优先受偿权、代位行使担保权、受救济权等权利，质权人有妥善保管证书的义务。 权利质权的实现主要有四个方面，即:流质禁止、实现的方法、权利质权的竟存及实现顺序. 因权利质权的标的多样性，其法律关系也较为复杂。因此，本文旨在通过对具体情况进行阐述与分析。更多还原

【Abstract】 Ownership of property is significant in modern society. Ownership becomes dissimilation form of material property and the symbol of the property. Because of the property characters of the target, this ownership holds the value for exchange. This produces the basic condition for the setting of mortgage of the ownership. With this condition and the characters of convenient and effective mortgage sett i ng, the ro I e of the sett i ng of mortgage of the ownersh i p becomes more and more important in the economic life. As a real right security, the target of the mortgage setting of the ownership has distinctive characters, especially for the requirement of the development re I at i on between the market economy and cred i t stand i ng. Through the analysis to the connotative meaning, characters and value of the ownership and mortgage right, the author studied to the setting, utility and realization of ownership mortgage right and raised his opinions in this thesis.According to its characters, ownership mortgage right is a real right for security. It is the transfer of guaranteed property except ownership. It should be transferable property that can be set as pawn . Ownership mortgage right takes the exchangeable value of the pawn property as the security interest and takes acquisition of theThe author agrees to put it in the "other rights that can be set as a pawn." And raised his reasons. The author also discussed if stamps can be set a pawn.The setting of the ownership mortgage right follows different rules according to different mortgage targets. The author made a detailed discussion to the setting of mortgage right of common creditor’ right, securities, stocks and intellectual property. The setting of the mortgage right for common creditor’s right should be in written form. The holding of the cert if icate of creditor’s right should be transferred and the third party should be informed. The sett i ng of the mortgage right for securities can be divided into the setting for registered securities, non-registered securities and indicated securities. The setting of the mortgage right for stocks can be divided into registered stocks and non-registered stocks. The author gave respective explanation to them. In the discussion to the setting of the mortgage right for intellectual right, the author set the general principle and had respective explanation to mortgage patent, trade mark, firm name and works.The utility of the ownership mortgage right mainly involves the scope of creditor’s right covered by security, the utility of the target and the utility of the two parties. The discussion focusedon the right and liability of the mortgagee in common creditor’s right. The mortgagee has the right to retain, to collect multiplied i nterest, to limit the act i v i ty of the mortgagor and the third debtor, to transfer the mortgage right, to have the lien to be imbruted to have subrogation of security right and to be redressed. The mortgagee takes the liability to keep relevant certificates.The realization of right and mortgage right involves four aspects:realization conditions for lien, methods for realization, therelation between the existence and effectiveness of the ownershipmortgage right. The author made a simply analysis to the problemsfor the realization of common creditor’s right.Due to variations of the targets of the mortgage rights, the legal relations are also complicated. Therefore, this paper aims to make description and analysis to concrete cases.更多还原