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Master's Dissertation
DOI
https://doi.org/10.11606/D.2.2020.tde-06052021-002243
Document
Author
Full name
Fabiana Mendonça Martins de Almeida
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2020
Supervisor
Committee
Munhoz, Eduardo Secchi (President)
Guerreiro, Jose Alexandre Tavares
Patella, Laura Amaral
Yazbek, Otavio
Title in Portuguese
Disciplina jurídica da companhia aberta: objeto, estrutura e fronteiras
Keywords in Portuguese
Companhia aberta -- Brasil
Mercado de capitais -- Brasil
Sociedade comercial -- Brasil
Abstract in Portuguese
Esta dissertação é dedicada ao estudo da disciplina jurídica da companhia aberta inaugurada pelas Leis n. 6.385/1976 e 6.404/1976, com foco na identificação de seu objeto e na análise de sua estrutura. Nesse intuito, busca promover uma análise panorâmica da matéria, para então examinar de maneira mais aprofundada as normas legais e regulamentares que escoram as fronteiras dessa disciplina, notadamente (i) as normas sobre o registro de emissor e o registro de oferta pública de distribuição de valores mobiliários, em atenção ao sentido e alcance da admissão à negociação de valores mobiliários nesse mercado, que determina o enquadramento como companhia aberta, de acordo com a definição legal; (ii) aquelas voltadas a tratar diferentemente as diferentes companhias abertas, conforme as espécies de valores mobiliários de sua emissão admitidos à negociação e o seu porte, que erigem fronteiras internas dentro dessa disciplina; e (iii) aquelas que permitem a ampliação do acesso a esse mercado por companhias não registradas como abertas, gerando um movimento quase que de erosão das fronteiras externas dessa disciplina. O tema adquiriu maior complexidade na medida em que o universo de normas aplicáveis às companhias abertas foi continuamente alterado e ampliado para fazer face à realidade. Deste quadro resulta uma nova e mais ampla taxonomia, que, por sua vez, revela um distanciamento da antiga dicotomia absoluta entre companhias abertas e fechadas que originalmente pautou a definição do objeto e da estrutura dessa disciplina. Espera-se contribuir para a elucidação desse quadro, em especial no tocante aos critérios para enquadramento como companhia aberta, bem como para a promoção de reflexão em torno dos contornos dessa disciplina jurídica, inclusive quanto aos novos caminhos que a ela se apresentam.
Title in English
Legal discipline of publicly-held company: object, structure and boundaries
Keywords in English
Admission to trading
Corporate law
Public companies
Registration categories
Registration exemption
Securities regulation
Abstract in English
This dissertation provides an analysis concerning the legal discipline on public companies, focusing on the investigation of its underlying object and on the examination of its structure, as introduced by Brazilian Laws No. 6,385/1976 and 6,404/1976. In this regard, it initially provides a panoramic overview of the subject matter and subsequently explores cornerstone legal and regulatory provisions that determine this discipline's boundaries, namely (i) the rules on the registration of securities issuers and on the registration of public offerings, with due regard to the definition and scope of the admission to trading on regulated securities markets, upon which the legal discipline governing public company applies; (ii) those designed to adapt the legal discipline on public companies according to the type of securities admitted to trading and according to their stature, thereby establishing internal boundaries within this body of rules; and (iii) those that enable access to regulated securities markets by non-registered companies, ultimately reshaping this discipline's external boundaries. New layers of complexity amassed as the body of rules governing public companies was continually adjusted and amended to address the ongoing reality. A new and more diverse taxonomy arises therefrom, that in turn reveals a departure from the outmoded dichotomy between public and private companies that originally dictated the object and the structure of the governing discipline. Accordingly, this dissertation aims to contribute towards the elucidation of the current legal framework governing public companies, particularly regarding applicable classification criteria, as well as to encourage further reflection on this discipline's overall contours and on the several paths available in this legal field.
 
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Release Date
2023-05-06
Publishing Date
2021-05-10
 
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