multiple-choice

The title 1: () means that securities are the materialized external form of rights, it is the carrier of rights, and rights already exist.

A. warrant securities √

B. Basic securities

C. mortgage securities

D. Capital security

Topic 2: Regarding non-public offering, the following statement is true ().

A. the public offering of securities by a listed company to a specific target.

B. the public offering of securities by listed companies to unspecified objects.

C. The behavior of a listed company issuing securities to a specific object in a non-public way √.

D. the behavior of listed companies to issue securities to unspecified objects in a non-public way.

Topic 3: The behavior prohibited by securities practitioners is ().

A accepts the entrustment of investors and customers to provide securities investment consulting services.

B taking advantage of his position to engage in securities trading and gain speculative interests.

C. accept the entrustment of customers and charge various fees according to the prescribed standards.

Hold lectures, reports and analysis meetings on securities investment consulting services.

Topic 4: When the closed-end fund expires, the () after assets verification shall be distributed according to the proportion of investors' investment.

A. total assets of the fund

B. Undistributed income

C. Net assets of the fund √

D. base point capital

Topic 5: () refers to stocks registered outside China and listed in Hongkong, but whose main business is in China Mainland or most shareholders' rights and interests come from China Mainland.

A. red chips √

B.a shares

C. blue chip stocks

D.h shares

Topic 6: Discounted bonds are repaid by () at maturity.

A. Total principal and interest

B. Market price

C. Issue price

D. face value √.

Topic 7: According to (), national debt can be divided into deficit national debt, construction national debt, war national debt and special national debt.

A. Repayment period

B. Distribution criteria

C. Use of funds √

D. Circulation or not

Topic 8:8 Mode adopted: Is Nasdaq a twin or a subsidiary, that is, the Growth Enterprise Market is divided into ().

A the Nasdaq national market accounts for about 90% of the total market value, and the Nasdaq small capital market accounts for about 10% of the total market value.

B the Nasdaq national market accounts for about 85% of the total market value, while the Nasdaq small capital market accounts for about 15% of the total market value.

C.NASDA(2 national markets, with Nasdaq small capital market accounting for about 95 %√ of the total market value)

D the Nasdaq national market accounts for about 80% of the total market value, while the Nasdaq small capital market accounts for about 20% of the total market value.

Topic 9: The difference between registered shares and bearer shares lies in ().

A. Differences in shareholders' obligations

B. Differences in shareholders' rights

C. Differences in recording methods √

D. Differences in shareholder attributes Source: China Securities Examination Network

Title 10: The object of financial futures trading is ().

A. financial futures contracts √

B. stocks

C. combination

D other financial instruments with certain ownership or creditor's rights.

Topic 1 1: The correct understanding of index funds is ().

A. Because the investment of index funds is very dispersed, the systemic risk of portfolio can be completely eliminated.

B. Index fund is a new fund variety that has appeared since 1990s.

C. the portfolio imitates a stock price or bond index. The price index rose and the fund's income decreased.

D. For investors, especially institutional investors, index funds are an important tool for hedging and arbitrage.

Title 12: The funds of securities investment funds are mainly invested in ().

A. marketable securities √

B. Family business

C. stamps

D. jewelry

Topic 13: () means that the total amount of approved fund shares is fixed within the term of the fund contract, and the fund shares can be traded on the legally established stock exchange.

barter business

A. Corporate funds

B. Contract funds

C. Closed-end funds √

D. Open-end funds

The topic 14: () marks the basic formation of the organizational framework for establishing a centralized and unified securities registration and settlement system in China.

A. China Securities Depository and Clearing Co., Ltd. was established √.

B. Shanghai Securities Depository and Clearing Company was established

C. Shenzhen Securities Depository and Clearing Company was established

D. establishing a central securities depository and clearing co., ltd.

Title 15: When a securities depository and clearing company provides net settlement services for securities trading, the principle that settlement participants should follow is ().

A. Immediate delivery

B. delivery by payment

C. installment delivery

D. Shop around √.

Topic16:1984165438+10, () 20 billion yen bonds were publicly issued in Tokyo, marking the official entry of China into international bond markets.

A. Banks in China

B. China Trust Commercial Bank

C. Agricultural Bank of China

D. Bank of China √

Topic 17: Capital market is a market for financing long-term funds, which can be divided into ().

A. Stock market and bond market

B. Medium and long-term credit market and securities market √

C. Short-term capital markets and long-term capital markets

D. Securities market and money market

Topic 18: The following statement is wrong ().

A. A pilot securities company shall establish a dynamic monitoring, early warning and replenishment mechanism for net capital to ensure that the net capital and related financial indicators continue to meet the requirements.

B. The pilot securities companies must publicly disclose the annual reports and announcements of major events audited by accounting firms with securities-related business qualifications on the website of China Securities Association.

C. If the pilot securities company does not meet the application conditions, it shall report to China Securities Industry Association within 7 working days, and explain the reasons and countermeasures.

D. The pilot securities company shall establish a risk control system for securities proprietary business, customer asset management business and debt repurchase business, and effectively monitor the securities position, profit and loss status, risk status and trading activities.

Topic 19: Main considerations for insurance companies to invest in securities ().

A. Improving liquidity and diversifying risks

B. Principal security and rate of return √

C. Raising funds

D. Balancing the shortfall in funds

Topic 20: About the description of ETF, what is wrong is ().

A. Whether the index ETF can be successfully issued is closely related to the choice of the basic index.

B.ETF mainly involves three participants, namely the manager, the trustee and the investor.

The important feature of C.C.ETF lies in its unique dual trading mechanism.

D. Index Participation (Ⅱ PS) launched by Toronto Stock Exchange at 199 1 is the earliest exchange-traded fund in a strict sense.

Topic 2 1: The following are the rights of the principal in the securities consignment transaction ().

A. choose a broker.

B. Understand the trading risks and clarify the trading methods.

C. Use the correct entrustment method

D. Fill in the account opening questions truthfully. Source: China Securities Examination Network

Topic 22: The following does not belong to market manipulation ().

A the insider divulges inside information to others, so that others can use the information for insider trading.

(2) selling or offering to sell securities that do not belong to them, disrupting the order of the securities market.

C. manipulating the price of securities trading alone or in collusion.

Influence the issuance and trading of securities by spreading rumors and other means.

Topic 23: A stock should record certain matters, the contents should be comprehensive and true, and these matters should be confirmed in the form of law, reflecting the characteristics of a stock.

A. stocks are comprehensive rights securities.

B. stocks are essential securities.

C. stocks are securities.

D. stocks are warrants.

Topic 24: The difference between non-securities investment funds and stocks and bonds is ().

A. the funds raised are invested in different ways.

B. Different investors √

C. Reflect different economic relations

D. Different risk levels

Topic 25: When the holder of certificate bonds redeems cash in advance, in addition to repaying the principal, the interest is calculated according to the actual holding days and the corresponding interest rate grade, and the handling agency collects the handling fee according to the () of the payment of the principal.

A.2‰ √

B.4‰

C.5‰

D.3% .

Topic 26: () is a debt certificate issued by the state to investors to raise funds, promising to pay interest within a certain period of time and repay the principal at maturity.

A. National bonds

B. Government bonds √

C. Corporate bonds

D. financial bonds

Topic 27: The following financial derivatives with risk-return symmetry are ().

A. futures contracts √

B. option contract

C. Convertible securities

D. guarantee

Topic 28: What is not a building block tool is ().

A. financial options

B. Financial futures

C. Structured financial derivatives √

D. Financial forward contracts

Topic 29: One of the mistakes in understanding listed securities is ().

A the price of open-end funds belongs to listed securities √.

B listing must be submitted by the company, approved by the securities regulatory agency or the stock exchange according to law, and signed a listing agreement with the stock exchange.

C. listed securities are also called listed securities.

Having the qualification of publicly trading on the exchange.

Topic 30: For a large-scale transaction of securities without price limit, the transaction price must be determined by negotiation between the buyer and the seller between the top and bottom of the previous closing price () or between the highest and lowest transaction prices that have been completed in the bidding time of the day.

A: 60%

30% √

About 40%

D.20%

Topic 3 1: The Securities Law of People's Republic of China (PRC) directly links the minimum registered capital with the types of business engaged by securities companies. A securities company is engaged in any business such as securities underwriting and sponsorship, securities self-management and securities asset management, and the minimum registered capital is RMB ().

200 million yuan

500 million yuan

5 billion yuan

D. 1 100 million √.

Topic 32: The administrative examination and approval of the establishment of a securities company shall be made by the securities regulatory body within () months from the date of acceptance.

A.4

B.8

C.2

D.6 √

Topic 33: The function of financial futures to lock in future cash flow by establishing opposite positions in spot market and futures market is called ().

A. Price discovery function

B. arbitrage function

C. Inference function

D. Hedging function √

Topic 34: A securities company shall calculate the risk reserve for operational risk according to () of the total operating expenses of the previous year.

A. 15%

B. 10% √

About 20%

4.5%

Topic 35: The following is not the basic function of the securities market ().

A. Pricing function

B. Financing-investment function

C. Enterprise transformation function √

D. Capital allocation function

Title 36: If banks or other financial institutions obtain goods structure loans, bill acceptance, letters of credit, letters of guarantee, etc. Those who resort to fraudulent means and cause heavy losses to banks or other financial institutions or have other serious circumstances shall be punished (

) fixed-term imprisonment or criminal detention.

A. Less than 5 years

B. Less than 3 years √

C. 10 years or less

D. Less than two years

Topic 37: The name of a securities registration and clearing company should be marked with the word ().

A. Securities registration and settlement √

B. Securities companies

C. company limited by shares

D. limited liability company

Title 38: Holders of securities licenses with equity ().

A. Converting one currency into another at a specific price, that is, a fixed exchange rate.

B. buy gold from the bond issuer according to the agreed terms.

C. Purchase the issuer's common stock at the agreed price √.

D. Purchase additional bonds from the issuer at the same price and yield as the main bonds.

Topic 39: The following description about the difference between bonds and stocks is wrong ().

A. the risk is different. the risk of stocks is greater than that of bonds.

B. The rights of the two are different. Bonds are creditor's rights certificates, and stocks are ownership certificates.

C. the maturity of the two is different. Bonds generally have a specified repayment period, while stocks are a lifelong investment.

D. They have different purposes. There are many economic entities that issue bonds, including the central government, local governments, companies and enterprises, while the economic entities that issue stocks are only joint stock companies and financial institutions.

Topic 40: Bearers of bearer shares attending the shareholders' meeting shall deposit their shares with the company before the meeting is held and at the end of the shareholders' meeting.

A.30

10

C.5 √

D.7

Topic 4 1: () is that the company distributes dividends to shareholders with property other than cash.

A. cash stocks

B. Stock dividends

C. Capital gains

D. Property dividend √

Topic 42: According to the Measures for the Administration of Securities Issuance of Listed Companies, the public offering price of listed companies shall not be lower than the average price of the company's shares in the () trading day before the announcement of the letter of intent to issue shares or in the 1 trading day before.

A.25

B.20 √

C. 10

D. 15

Topic 43: When a joint stock limited company goes bankrupt and liquidates, the order of assets liquidation is ().

Creditors, preferred shareholders and common shareholders √.

B. Common shareholders, preferred shareholders and creditors

C. Preferred shareholders, creditors and common shareholders

D. Creditors, common shareholders and preferred shareholders

Topic 44: According to the Basel Accord, banks engaged in international business must keep the ratio of their capital to weighted risk assets above 8%, of which the core capital is at least () of the total capital.

50% √

B.60%

About 40%

D.70%

Topic 45: The resolution of the shareholders' meeting to amend the Articles of Association, increase or decrease the registered capital, and the resolution of the company's merger, division, dissolution or change of corporate form must be passed by more than () of the voting rights held by the shareholders present at the meeting.

A.3/5

1/3

C. 1/2

D.2/3 √

Topic 46: If the face value of the convertible bond is 2000 yuan and the conversion price is 40 yuan, when the market price of the stock is 50 yuan, the current conversion value of the bond is () yuan.

A.40

1600

C.2500 √

D.2000 Examination Source: China Securities Examination Network

Topic 47: The issuer and its lead underwriter place shares with the inquiry object participating in the offline placement. If the number of publicly issued shares is less than 400 million shares, the number of allotment shall not exceed the total amount of this issue ().

A.40%

B.20% √

About 60%

D.80%

Topic 48: The first variety in financial futures is ().

A. Single stock futures

B. Bond futures

C. interest rate futures

D. foreign exchange futures √

Title 49: Stock return refers to the return of investors during the whole holding period from buying stocks to selling them. The following does not belong to the stock income ().

A. Capital gains

B. Dividend income

C. Capital losses and spillovers

D. Interest income √

Topic 50: Britain calls a securities company ().

A. securities limited liability company

B. Investment banks

C. Commercial banks √

D. securities companies

Topic 5 1: China began to issue book-entry treasury bonds in ().

A. 1992

B. 1994 √

C. 1996

D. 1995

Topic 52: Discounted bonds are bonds issued in the form of ().

A. Price difference

B. Insurance premium

C. Discount √

D. equality

Topic 53: Among the following options, the one that does not belong to bank securities is ().

bank draft

Bachelor of arts examination

C. cashier's check

Commercial draft √.

Topic 54: The correct understanding of the emergence and development of securities investment funds is ().

A it appeared at the end of 18 and the beginning of 19, driven by the industrial revolution.

B. Fund shares are managed and used by some people to gain benefits.

C. because of the high risk, it was not supported by the government at first.

D securities investment funds sell fund shares to raise funds by private placement.

Topic 55: The place where banks and other financial institutions are used as financing intermediaries is called () market.

A. Provision of funds

B. currency

C. Direct financing

D. indirect financing √

Topic 56: The Measures for the Administration of Initial Public Offering and Listing stipulates that an issuer applying for listing on the main board market must have been operating in strict accordance with the requirements of the joint-stock company for a period of time before listing. Therefore, the joint-stock company is required to apply for listing after () years of establishment.

A.2

B.3 √

C4

D. 1

Topic 57: According to the Law of People's Republic of China (PRC) on Securities Investment Funds, the following matters can be decided without convening a general meeting of fund holders.

A. replacing senior management personnel √

B. Changing the operating mode of the Fund

C. improve the remuneration standards of fund managers and fund custodians.

D. Fund raising or extending the term of the fund contract

Topic 58: CSRC sets early warning standards for various risk control indicators. For risk control indicators "not lower than" a certain standard, the early warning standard is 120% of the specified standard, and for risk control indicators "not higher than" a certain standard, the early warning standard is the specified standard ().

A: 75%

B.85%

About 70%

80% √

Topic 59: If a company commits the crime of providing false financial and accounting reports, the person in charge directly responsible for the company and other direct personnel shall be sentenced to () fixed-term imprisonment or criminal detention.

A. Less than 5 years

B.3 years

C. Less than 3 years √

D.5 years

Topic 60: China's securities law was formally established in ().

A. June 5, 2003 to1October 5, 2003

B.1April 1998

1998

D.1July √ 999.

multiple-choice question

Topic 6 1: The following do not belong to the ordinary national debt currently issued by our country ().

A. savings bonds (electronic)

B. Fiscal bonds √

C. Long-term construction of national debt √

D. book-entry treasury bonds

Topic 62: The composition of fund income includes ().

A dividends and bond interest invested by the fund √.

B. Deposit interest √

C. dividends from fund investment √

D. the price difference between buying and selling securities √

Topic 63: The national debt fund is ().

A. Securities investment funds with treasury bonds as the main investment object √.

B. guarantee by national credit √.

C. the income will be affected by the market interest rate √.

D. if the market interest rate increases, its income will increase.

Topic 64: The following are commercial securities ().

A. Commercial promissory notes √

B. cashier's check

C. check

D. Commercial paper √

Topic 65: The most extensive investor in the securities market is ().

A. Individual investors √

B. Financial institutions

C. Government agencies

D. Enterprise legal person

Topic 66: The operating system of the stock exchange includes ().

A. trading system √

B. Monitoring system √

C. Information system √

D. Settlement system √

Topic 67: The basic financial product corresponding to financial derivatives can be ().

A. Financial derivatives √

B. Inventory √

C. Bonds √

D. bank time deposit slip √

Topic 68: Structured financial derivatives can be divided into () according to the connected basic products.

A. exchange rate linked products √

B. Commodity linked products √

C. Interest rate linked products √

D. Stock linked products √

Topic 69: The level and status of macroeconomic development is an important factor affecting stock prices. The following belongs to a macro economy, and its factor is ().

A. Economic cycle √

B. Economic growth √

C. Exchange rate changes √

D. The introduction of major economic policies of the government

Topic 70: The bondholder belongs to ().

A. None of the above

B. Bookkeeping bonds

C. physical bonds √

D. certificate bonds