【正文】 的基本特征。股權(quán)轉(zhuǎn)讓合同效力判斷的基本原則在處理股權(quán)轉(zhuǎn)讓合同效力問題時(shí)，必須遵循一定的基本原則。 丁贛南，“股權(quán)轉(zhuǎn)讓合同效力研究”，《商品與質(zhì)量公司股權(quán)的流轉(zhuǎn)、交易和變動(dòng)，不僅涉及到交易雙方的法益和權(quán)利義務(wù)劃分，而且受到公權(quán)力強(qiáng)制性規(guī)范的調(diào)整，可以輕易突破合同相對(duì)性原則，涉及到其它合作股東的人合利益和資合利益，涉及到公司內(nèi)部的治理結(jié)構(gòu)及組織構(gòu)成，涉及到債權(quán)人的價(jià)值判斷和解決手段的選擇，涉及到與政府的社會(huì)責(zé)任，是在股東與股東之間、公司與外界社會(huì)之間的利益和權(quán)利保護(hù)的再次衡平。（3）國(guó)家應(yīng)用公權(quán)力強(qiáng)制規(guī)范手段進(jìn)行干預(yù)　　鑒于公司的復(fù)雜性和公司在經(jīng)濟(jì)生活中的重要地位，國(guó)家為了公共利益目的可以進(jìn)入公司運(yùn)營(yíng)的私領(lǐng)域進(jìn)行適度干涉和規(guī)范，在保障股權(quán)的前提下，保證市場(chǎng)有序運(yùn)行。另一方面，作為股權(quán)轉(zhuǎn)讓的受讓人，也要具備成為商事主體即公司股東的特別要件，也就是說，對(duì)于某些公司來講，要成為其公司的股東，必須符合特定的條件。一、有限責(zé)任公司股權(quán)轉(zhuǎn)讓合同效力判斷的基本理論問題（一）股權(quán)轉(zhuǎn)讓合同的概念與特征股權(quán)轉(zhuǎn)讓合同的概念通常來說，涉及股權(quán)轉(zhuǎn)讓的雙方當(dāng)事人都會(huì)簽訂一份股權(quán)轉(zhuǎn)讓合同，作為雙方股權(quán)轉(zhuǎn)讓的依據(jù)。另一方面，在司法實(shí)踐中，關(guān)于有限責(zé)任公司股權(quán)轉(zhuǎn)讓的糾紛有很多，而相當(dāng)數(shù)量的糾紛都與合同效力有關(guān)，諸如：公司章程的規(guī)定對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響、股東優(yōu)先購買權(quán)對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響、瑕疵出資對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響、隱名投資行為對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響等。因此，股權(quán)轉(zhuǎn)讓合同，也相應(yīng)包括有限責(zé)任公司和股份有限公司兩種股權(quán)轉(zhuǎn)讓合同。狹義的股權(quán)轉(zhuǎn)讓指依照當(dāng)事人的合意，公司股東將其所持有的公司股權(quán)轉(zhuǎn)讓給其他民事主體的法律行為。 Defective capital contribution。 Equity transfer contract。s defective capital contribution fact, should be based on the principle of public summons, such defective share transfer contract is deemed to be valid。關(guān)鍵詞：有限責(zé)任公司；股權(quán)轉(zhuǎn)讓合同；效力；公司章程；瑕疵出資；股東優(yōu)先購買權(quán)；隱名投資Limited liability pany equity transfer contract effectiveness——an empirical analysis of the research angle of viewAbstractWith the development of modern market economy, equity has gradually bee an important legal forms of social wealth. Since the transfer of shares is limited to the transfer of pany ownership transfer, does not cause the interruption of normal business pany, also is advantageous to the assignee at low cost and high efficiency features such as the way into the pany, are increasingly favored by investors. In practice, limited liability pany shareholders opt out mainly by the transfer of equity, the equity transfer and dispute is also being more and more. Although the original pany law in our country for equity transfer of limited liability pany has regulation, but because too principle and simple, frequency leads to problems in the judicial practice. Relatively intact because of this, the new pany law established a limited liability pany shares transfer system framework, made detailed provisions and provisions of the original. But due to the rapid development of market economy, the current legislative provisions and belong to a level, the principle of on practice and is still plagued by many problems in judicial practice, judges and scholars of law and judicial practice has poured into great enthusiasm to solve these problems, has carried on the unremitting research. This paper will adopt the method of empirical analysis, bining with already collected cases, use of contract law and pany law system and principle, with the limited liability pany equity transfer contract effectiveness a monographic study on several important matters to do. This paper is divided into five parts: The first part discuss the basic theory of equity transfer contract effectiveness judgment problem. The author mainly from the concept and characteristics of equity transfer contract, the basic principles of equity transfer contract effectiveness judgment point of view in this paper. The second part discuss the provisions of the pany39。筆者認(rèn)為，對(duì)于瑕疵股權(quán)轉(zhuǎn)讓合同的效力，應(yīng)區(qū)分情況予以認(rèn)定：如果公司登記材料明確記載股東瑕疵出資事實(shí)的，應(yīng)該基于公示公信原則，將此類瑕疵股權(quán)轉(zhuǎn)讓合同認(rèn)定為有效；如果公司登記材料無法反映出股東出資瑕疵的事實(shí)的，則要根據(jù)是否存在欺詐情形來確定該合同是否有效。筆者認(rèn)為對(duì)于沒有滿足股東優(yōu)先購買權(quán)的股權(quán)轉(zhuǎn)讓合同的效力判斷不可一概而論，而應(yīng)具體考察受讓人的善意狀態(tài)。筆者主要從股權(quán)轉(zhuǎn)讓合同的概念與特征、股權(quán)轉(zhuǎn)讓合同效力判斷的基本原則的角度論述。有鑒于此，新《公司法》較為完整地確立了有限責(zé)任公司股權(quán)轉(zhuǎn)讓的制度框架，并對(duì)原有的條文作出了細(xì)化規(guī)定。 學(xué)位論文作者簽名： 日期： 年 月 日摘要隨著現(xiàn)代市場(chǎng)經(jīng)濟(jì)的發(fā)展，股權(quán)已經(jīng)逐步成為社會(huì)財(cái)富的重要法律表現(xiàn)形式。西北政法大學(xué)碩士學(xué)位論文有限責(zé)任公司股權(quán)轉(zhuǎn)讓合同效力研究——一個(gè)實(shí)證分析的視角作者姓名：吉 睆專 業(yè)：法律碩士（非法學(xué)）研究方向：民 商 法指導(dǎo)教師：張 曉 飛 副教授培養(yǎng)單位：法律碩士教育學(xué)院西北政法大學(xué)碩士學(xué)位論文獨(dú)立完成與誠(chéng)信聲明本人鄭重聲明：所呈交的碩士學(xué)位論文，是本人在指導(dǎo)教師的指導(dǎo)下，獨(dú)立進(jìn)行研究工作所取得的成果。本人完全意識(shí)到本聲明的法律結(jié)果由本人承擔(dān)。盡管我國(guó)原公司法對(duì)有限責(zé)任公司的股權(quán)轉(zhuǎn)讓已有規(guī)定，但因過于原則和簡(jiǎn)陋，導(dǎo)致在司法實(shí)踐中問題頻生。本文共分五個(gè)部分：第一部分討論有限責(zé)任公司股權(quán)轉(zhuǎn)讓合同效力判斷的基本理論問題。第三部分討論股東優(yōu)先購買權(quán)對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響。第四部分討論瑕疵出資對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響。筆者認(rèn)為隱名投資者股東資格的判斷，應(yīng)當(dāng)以《公司法司法解釋三》第二十五的規(guī)定為原則，同時(shí)，對(duì)于隱名投資者簽訂的股權(quán)轉(zhuǎn)讓合同，如果該股權(quán)轉(zhuǎn)讓是隱名投資者的真實(shí)意思表示，整個(gè)股權(quán)轉(zhuǎn)讓程序符合法律的規(guī)定，則應(yīng)認(rèn)定為合法有效。t think to satisfy the shareholders right of first refusal of the equity transfer contract effectiveness judgment not to generalize, but detailed study state of the assignee of goodwill. If the assignee subjective is wellintentioned, under the condition of the contract shall take effect with other elements, shall be deemed to be valid. If the transferee is subjectively malicious, the equity transfer contract shall be deemed to be null. The fourth part discuss the effects of defective capital contribution to the equity transfer contract effectiveness. The author thinks that, regarding the defective equity transfer of the effectiveness of the contract, shall be identified to distinguish the situation: if the pany registration material history of shareholder39。 On the other hand, as long as the assignee of responsibility for the make up for, the equity transfer contract is signed by both sides is valid. The fifth section discusses dormant investment behavior on the influence of the equity transfer contract effectiveness. The author thinks that the judgment of concealed investor shareholders qualifications, shall be in the pany law judicial interpretation three 25 provisions for the principle, at the same time, the equity transfer contract signed for silent investors, if the equity transfer is the real intention of dormant investors, the stock transfer procedures in accordance with legal provisions, it shall be deemed to be valid. Keywords：Limited liability pany。s articles of association。 Dormant investment目錄引言 1一、有限責(zé)任公司股權(quán)轉(zhuǎn)讓合同效力判斷的基本理論問題 2（一）股權(quán)轉(zhuǎn)讓合同的概念與特征 2股權(quán)轉(zhuǎn)讓合同的概念 2股權(quán)轉(zhuǎn)讓合同的特征 2（二）股權(quán)轉(zhuǎn)讓合同效力及其判斷的基本原則 3股權(quán)轉(zhuǎn)讓合同效力 3股權(quán)轉(zhuǎn)讓合同效力判斷的基本原則 3二、公司章程的規(guī)定對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響 5（一）案例介紹 5強(qiáng)制轉(zhuǎn)讓股東權(quán)引發(fā)的糾紛 5對(duì)強(qiáng)制轉(zhuǎn)讓股權(quán)糾紛的判例分析 5（二）法律分析 61．公司章程的規(guī)定對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響的不同觀點(diǎn) 62. 筆者的觀點(diǎn) 7三、股東優(yōu)先購買權(quán)對(duì)股權(quán)轉(zhuǎn)讓合同效力的影響 9（一）案例介紹 9因優(yōu)先購買權(quán)的行使引發(fā)的股權(quán)轉(zhuǎn)讓糾紛 9對(duì)侵犯優(yōu)先購買權(quán)的判例分析 10（二）法律分析 11股東優(yōu)先購買權(quán)的權(quán)利性質(zhì) 11股東優(yōu)先購買權(quán)的行使 11侵犯優(yōu)先