Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization, SEC Proposed Rule, Release No. 34-50699; File No. S7-39-04, http://www.sec.gov/rules/proposed/34-50699.htm.
Speech by SEC Chairman: Remarks before the Securities Industry Association Annual Meeting , November 5, 2004, http://www.sec.gov/news/speech/spch110504whd.htm.
Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization, SEC Proposed Rule, Release No. 34-50699; File No. S7-39-04, http://www.sec.gov/rules/proposed/34-50699.htm.
Testimony Concerning Improving the Governance of New York Stock Exchange, by William H. Donaldson, Chairman of U.S. SEC, before the Senate Committee on Banking, Housing, and Urban Affairs, November 20,2003, http://www.sec.gov/news/testimony/ts112003whd.htm .
Benn Steil, "Changes in Ownership and Governance of Securities Exchanges: Causes and Consequences," in Robert E. Litan and Anthony M. Santomero, eds. Brookings-Wharton Papers on Financial Services, Washington D. C. :Brookings Institution Press, 2002.
Issues Paper on Exchange Demutualization, Technical Committee of International Organization of Securities Commissions (IOSCO), June 2001.
John W. Carson, Consultant for the World Bank, Conflicts of Interest in Self-regulation: Can Demutualized Exchanges successfully manage them? World Bank Policy Research Working Paper, December 2003.
我国交易所的会员（证券公司）并没有明确对交易所进行出资，实践中，我国的交易所长期不召开会员大会，会员没有享受应有的权利，交易所并非真正的会员制。同时，由于交易所的产权不清晰，交易所的治理结构并没有完全采用
公司法上的公司治理结构，我国的证券交易所也不是公司制交易所。
《
证券交易所管理办法》（2001）第
17、
20、
24条。
《
证券交易所管理办法》（2001）第
24条。
我国台湾《证券交易法》，第113、118条。
《
证券交易所管理办法》第
13、
14条。
《
证券法》第
48条。
《
证券法》第
55、
56条。
