论美国动产担保公示的功能——以与大陆法系比较为视角

On the Function of the Perfection of Secured Interest in UCC

美国动产担保的"公示"没有设权效力、权利正确性推定效力和公信力,不具有权利设定和交易安全保护的功能,类似于大陆法系"公示对抗主义"中的"公示",但并非与之完全对应,不同之处表现为登记为动产担保的普遍公示方式,且原则上各种公示方式并无优劣之分,公示的先后顺序决定优先权的顺位。对于第三人来说,美国《统一商法典》第9编中"公示"的功能仅在于通知担保物上已存在之担保利益;而交易安全的保护,则主要依靠美国《统一商法典》第9编中登记的有效性规则和功能主义分析方法的运用。这种功能定位形成的原因在于第9编起草者对现实主义法学思想的推崇、第9编调整商事法律关系的本质属性,以及商事实践中已经形成的第三人双重查阅的交易习惯。

Perfection of secured interest in UCC doesn＇t have the effect of establishing security right, presumption of validity and correctness of credibility. It＇s similar to the publicity in Publicity Antagonism of continental law system, but not completely corresponding with it. The differences between them lie in that registration or filing is a universal way to perfect secured interests in almost all kinds of collaterals, and priority is decided by the order of perfection in most instances. For third parties, the only function of perfection is to notify them the existing secured interests in particular collateral. Protection of transaction security mainly relies on the registration rules and functionalism analysis. The reasons for this functional orientation include the drafters＇ highly admiration for legal realism, the essential attribute of UCC, and the commercial practice of double consult of third parties.