Esta tese analisa um regime jurídico convencionalmente designado numerus clausus dos direitos reais, examinando-o sob três aspectos. O primeiro deles concerne às funções que esse regime desempenha no interior do ordenamento jurídico. Em um sistema de direito patrimonial privado que promove a autonomia contratual e predispõe restrições jurídico-negociais ao poder de dispor, entre as quais se ressaltam os direitos subjetivos reais, o regime de numerus clausus se apresenta como uma previsão legal dos tipos de contratos que restringem o poder de dispor e, assim, modificam o poder de adquirir do sujeito passivo universal. Conquanto sofram essa modificação em sua esfera jurídica, esses sujeitos de direito não tomam parte na celebração daqueles contratos. De maneira que as funções do numerus clausus dirigem-se, fundamentalmente, ao concerto de um fenômeno de heteronomia privada: por meio de um catálogo, o adquirente pode não apenas conhecer quais são os contratos que, a despeito de sua declaração jurídico-negocial, afetam os seus interesses econômico-sociais, mas também desconsiderar a eficácia, sobre si, dos contratos que, extrapolando aquele catálogo, circunscrevem-se, seguramente, a só quem, dele, foi parte. Em segundo lugar, sustenta-se uma qualidade negativa e outra positiva no numerus clausus. Negativamente, esse regime jurídico se identifica por uma grave limitação na autonomia contratual, especialmente na autonomia dos contratos de disposição. Nesse sentido, e porque o poder de dispor não é uma posição jurídica exclusiva da titularidade de direitos subjetivos reais, assim como as conseqüências de suas restrições não despontam apenas no direito das coisas, não apenas a disposição contratual de direitos subjetivos reais, mas também a disposição contratual de créditos, de participações societárias e de propriedade imaterial submete-se, igualmente, a um numerus clausus. Essa circunstância remete a uma duplicidade de regimes de autonomia contratual no direito dos contratos: enquanto não há um tipo de contrato em gênero (tipicidade vinculativa) e predominam as regras cogentes (tipicidade fixa) para os contratos de disposição, os contratos obrigacionais obedecem a uma tipicidade aberta. Positivamente, por seu turno, o numerus clausus legitima uma poderosa técnica jurídica de oponibilidade de interesses econômico-sociais: o contrato de disposição. Selecionando um dos poucos tipos de contratos de disposição predispostos pela lei, os contratantes afetam, por meio da regra da prioridade e da imunidade contra disposição, a eficácia de contratos de cuja formação não tomam parte, sejam contratos subseqüentes, obrigacionais ou de disposição, sejam contratos precedentes, meramente obrigacionais. Sem dúvida, o ordenamento jurídico apresenta outras técnicas jurídicas de oponibilidade de interesses econômico-sociais aos terceiros-adquirentes, geralmente ligadas a procedimentos de publicidade, tais como a boa-fé. Muito embora elas manifestem efeitos semelhantes, por vezes contradizendo o regime de numerus clausus, não se verifica uma derrogação desse último, identificada, por vezes, como uma realização dos direitos obrigacionais. No fundo, em se tratando de fatos jurídicos inconfundíveis, as metódicas de argumentação e aplicação do direito, pressupostas em cada um deles, são, outrossim, diferentes. Essas diferenças correspondem, por fim, ao terceiro e último daqueles três aspectos sob os quais se analisa o numerus clausus. Efetua-se, para tanto, o estudo de dois casos representativos, colhidos da jurisprudência brasileira, a qual aplica ora esse último regime, ora a boa-fé, sem que isso signifique nenhuma contradição, uma vez que a excepcionalidade dessa última confirma o caráter do numerus clausus como a regulação motriz do tráfico jurídico, orientada à segurança da aquisição e à estabilidade de determinadas relações de intercâmbio dos bens econômicos. / My dissertation focuses on a legal regime generally referred to as \"numerus clausus of property rights\". It does so by examining three main aspects of the theme. First of all it analyses the function of that legal regime, which is the source of its perceived legitimacy nowadays. This function consists in tendering for buyers a welldefined catalogue describing all the possible agreements concerning the goods they intend to buy and that are going to be considered as burdens. In a Private Law system, which fosters the private autonomy and prearranges burdens, the numerus clausus works as a menu of those contracts likely to create burdens. All the other contracts not listed in that menu even if they make reference to certain goods will not be treated as burdens. Thus, the buyer may know that his own interests over these goods will not be affected. Second the dissertation identifies a positive and a negative quality in this function. A possible negative aspect is that the numerus clausus is a heavy limitation to private autonomy, mainly to exchange contracts. In this sense, not only the exchanges involving property interests (rights in rem) but also those affecting credits and other kinds of rights (rights in personam) are submitted to the same legal regime which leads to Private Law generally recognizing two kinds of private autonomy regimes in Contract. While inexchange contracts the autonomy is limited, in executory contracts the autonomy is sensitively wider. A possible positive aspect is that the numerus clausus establishes a very powerful tool for opposing interests to third parties: the exchange contract. By selecting one of the few exchange contracts available in that menu, parties may oppose their interests in future transactions they will not take part in. Exchange contracts are obviously not the only system available for opposing interests in Private Law. The so called good faith system, connected with publicity devices, works also in that way, but using a very different legal strategy. Although the legal doctrine is used to identify the application of the good faith system with a \"realization\" of personal rights, that seems problematic. As a matter of fact, as different legal conceptions, exchange contracts submitted to a numerus clausus regime and good faith system require different techniques and arguments. These different procedures are discussed in the third section of my dissertation. In this section I discuss major cases in Brazilian Law which apply sometimes the numerus clausus systems and sometimes the good faith system. I argue that there is no contradiction between the both fashions of judicial decision, unless one simply uses the incoherent notion of \"realization\".

Die vorliegende Dissertation ist dreiteilig: i) deskriptiv, ii) komparatistisch, und iii) theoretisch. Nach einer allgemeinen Diskussion über die Geschichte und Grammatik des Guinea-Bissau Kreol (GBK) und einer Übersicht über die Herangehensweisen an artikellose Nominalphrasen (Bare Noun Phrases; BNPs), bietet die vorliegende Arbeit eine ausführliche Beschreibung der Distribution und Interpretation von BNPs in GBK. Sie können als Argumente und nicht-Argumente erscheinen. Bei Subjekten, indirekten Objekten, bei Topikalisierung, “dislocation” und “clefting” ergeben sie definite Interpretationen. Artikellose direkte Objekte können alle möglichen Interpretationen haben, ausgenommen eine pluralisch-spezifische Lesart. Die Interpretation von BNPs wird von kontextuellen Zusammenhängen als auch von Aspekt und Prädikattyp bestimmt. Perfektive und kontinuativ-imperfektive Kontexte lösen definit-spezifische Lesarten für artikellose Objekte aus. Artikellose Objekte in habituell-imperfektiven Kontexten ergeben eine indefinite, nicht-spezifische Lesart. Artikellose Subjekte von “stage level”-Prädikaten ergeben eine existentiale Interpretation, indeterminierte Subjekte von “individual level”-Prädikaten dagegen leiten definit-generische Lesarten ab. Die vorliegende Arbeit beinhaltet auch einen interlingualen Vergleich zwischen Kreol- und Nicht-Kreolsprachen: i) Cape Verdean Creole, Santome, Papiamentu und Brazilianisches Portugiesisch; und ii) Mandarin Chinesisch, Vietnamesisch und Gbe Sprachen. Die Distribution und Interpretation von BNPs ist sehr homogen. Alle erlauben sowohl singularische als auch pluralische Lesarten für BNPs: BNPs sind bezüglich Numerus unspezifiziert. Das führt uns zur theoretischen Diskussion über Numerus: ausgehend von Depréz’s (2007) Plural Parameter und seinen grundlegenden Annahmen (BNPs sind unspezifiziert für Numerus, und die grundlegende Denotation von Nomen ist Art vom Typ e), wird ein neues Modell sowie eine konsequente Sprachtypologie entwickelt. / The nature of the present dissertation is threefold: i) descriptive, ii) comparative, and iii) theoretical. After a brief general discussion on the history and grammar of Guinea-Bissau Creole, and after an extensive review of various approaches on BNPs, both from the semantic and syntactic perspective, the present work will offer an exhaustive description of the distribution and interpretation of Bare Noun Phrases in GBC. They may be found in both argument and nonargument positions. The general tendency for BNPs in GBC is to yield a definite reading (subjects, recipient objects, in topicalizion, dislocation and clefting). One difference is that bare patient objects may yield any possible interpretation, except from the specific plural. BNPs interpretation is driven by contextual factors as well as by aspect and predicate type. Perfective and continuous imperfective contexts trigger definite specific readings for bare objects. One difference is that bare objects in habitual imperfective contexts yield indefinite nonspecific interpretations. As for predicate types, bare subjects of stage-level predicates yield existential readings, whereas bare subjects of individual-level predicates derive definite generic readings. The present work also undertakes a crosslinguistic comparison between creoles and noncreoles: i) Cape Verdean Creole, Santome, Papiamentu and Brazilian Portuguese; and ii) Mandarin Chinese, Vietnamese and Gbe languages. It turns out that BNPs distribution and interpretation are quite homogeneous. Importantly, BNPs in any of these languages may yield both singular and plural readings: BNPs are thus unspecified as for Number. This leads us to our theoretical discussion on Number: starting from Depréz’s (2007) Plural Parameter and its basic assumptions (e.g. BNPs are unspecified as for Number, and the basic denotation of nouns is kind of type e), a new model, and the consequent linguistic typology, is developed.

Diese Dissertation untersucht das variable Verhalten von sogenannten „bare nouns“ (Nominale ohne Artikel) im Persischen. Dieses Verhalten kann jedoch nicht verstanden werden ohne eine Reihe von entscheidenden Eigenschaften der persischen Satzstruktur zu betrachten. Dazu gehören Informationsstruktur, Prosodie und Wortstellung, sowie die semantischen und syntaktischen Funktionen verschiedener morphologischer Markierungen im Persischen. Die vorliegende Dissertation kann daher zum besseren Verständnis von satzinterner Syntax, Semantik und Prosodie des Persischen beitragen. Ich beginne meine Untersuchung mit dem Vergleich der BNs in verschiedenen Positionen mit Nominalen, die mit verschiedenen Morphemen gekennzeichnet sind. Die quasi-inkorporierten Nominale im Persischen scheinen zur Klasse der diskursintransparenten inkorporierenden Sprachen zu gehören. Doch dies scheint nicht immer zu stimmen, unter bestimmten Umständen zeigen persische BNs Diskurstransparenz. In Kapitel 3 untersuche ich daher, unter welchen Umständen BNs Diskurstransparenz zeigen und warum. In Kapitel 3 präsentiere ich einen Alternativvorschlag zu Farkas & de Swart, in dem ich darlege, dass ein BN tatsächlich einen neuen Diskursreferenten einführt. Aber der Numerus von BNs ist neutral (numerusneutralen Diskursreferenten).In der zweiten Hälfte der Dissertation wird die Interpretation von BNs in verschiedenen Positionen und mit unterschiedlichen grammatischen Funktionen diskutiert. Kapitel 4 konzentriert sich auf BNs in Objektposition. Wir stellen einen direkten Vergleich an zwischen BNs als tatsächliche BNs, d.h. Nominale, die nicht mit einem Morphem markiert sind, und Kontexten, in denen sie mit dem Morphem -ra auftreten. Ich werde argumentieren, dass -ra lediglich markiert, dass ein BN oder auch ein anderes Nominal nicht in seiner VP-internen Position interpretiert, sondern in eine VP-externe Domäne bewegt wird. Das bedeutet, das Morphem -ra ist ein syntaktisches Morphem auf Phrasenebene. / This thesis explores the variable behavior of bare nouns in Persian. Bare singular nouns realize different grammatical functions, including subject, object and indirect object. They receive different interpretations, including generic, definite and existential readings. However, the task of understanding the reasons for, and limits on, this variation cannot be achieved without understanding a number of pivotal features of Persian sentential architecture, including Information Structure, prosody, word order, and the functions of various morphological markers in Persian. With respect to the discourse transparency of Incorporated Nominals, under certain circumstances, Persian bare nouns show discourse transparency. These circumstances are examined in chapter 3, and it is proposed that bare nouns do introduce a number neutral discourse referent. This proposal is phrased within Discourse Representation Theory. In the second half of the dissertation, the interpretation of bare nouns in different positions and with different grammatical functions are discussed. Under the independently supported hypothesis of position>interpretation mapping developed by Diesing (1992), we will see the role of the suffix -ra in indicating that an object has been moved out of VP. For subjects, there is no morphological marking corresponding to –ra on objects, and we have to rely on prosody and word order to determine how a VP is interpreted using theories of the interaction of accent and syntactic structure. It is proposed that both subject and object originate within the VP, and can move out to the VP-external domain. The motivation for these movements are informational-structural in nature, relating in particular to the distinctions between given and new information, and default and non-default information structure.