1 [multiple-choice questions] According to the current laws in China, it is () for an issuer to sell securities to investors without providing the prospectus.

A. Insider trading behavior

B. Market manipulation

C. Fraud against customers

D. False statements

Reference answer: C.

Reference analysis:

According to China's current laws and regulations, the issuer sells securities to investors without providing investors with the prospectus, which is an act of deceiving customers.

2 [multiple-choice questions] Securities companies with feasible restructuring plans can apply for administrative restructuring to () because of significant risks, but the financial information is true and complete, and they are supported by the provincial people's government or relevant parties.

A. Central Bank

B. China Securities Regulatory Commission

C. China Securities Association

D. the State Council Securities Regulatory Authority

Reference answer: b

Reference analysis:

Securities companies with significant risks, but true and complete financial information, supported by the provincial people's government or relevant parties, and a feasible restructuring plan may apply to the China Securities Regulatory Commission for administrative restructuring.

3 [multiple-choice questions] Among the following items, the one that does not belong to the supervision type of listed companies is ().

A. Information disclosure supervision

B. Corporate governance supervision

C. regulation of mergers and acquisitions

D. Supervision of insider trading behavior

Reference answer: D.

Reference analysis:

The supervision of listed companies includes information disclosure supervision, corporate governance supervision and merger and reorganization supervision, among which information disclosure supervision is the main content of daily supervision of listed companies. The supervision of insider trading belongs to the supervision of market transactions, not the supervision of listed companies.

4 [multiple-choice questions] If the number of shares in the initial public offering is more than () billion shares, you can place shares with strategic investors.

A. 1

B.2

C.3

Dingsi

Reference answer: D.

Reference analysis:

If the initial public offering of shares exceeds 400 million shares, shares can be placed with strategic investors.

5 [multiple-choice questions] An issuer who issues shares for the first time and is listed on the Growth Enterprise Market shall have a certain asset scale, that is, the net assets at the end of the recent 1 period shall not be less than () million yuan, and the total issued share capital shall not be less than () million yuan.

In the year 2000; 3000

b . 3000； 5000

c . 1000； 5000

d . 5000； 8000

Reference answer: a

Reference analysis:

The Measures for the Administration of Initial Public Offering and Listing on the Growth Enterprise Market requires that the issuer of initial public offering and listing on the Growth Enterprise Market shall meet the following conditions: the net assets at the end of the recent 1 period shall not be less than 20 million yuan, and the total share capital after issuance shall not be less than 30 million yuan.

6. CSI 100 index takes () as the sample space.

A. Sample stocks of Shanghai and Shenzhen 300 Index

B. Sample stocks of SSE 100 index

C. Shanghai and Shenzhen 300 industrial index sample stocks

D. sample stocks of CSI 500 index

Reference answer: a

Reference analysis: CSI 100 index takes the sample stocks of CSI 300 Index as the sample space, and the sample number is 100. The sampling method is to sort the stocks in the sample space according to the total market value. In principle, the first 100 stocks are selected to form a sample, except the stocks that are determined by the expert Committee to be unsuitable as samples.

7. The Shanghai Composite Index takes all listed stocks as samples.

A. Take the number of shares in circulation as the weight and calculate by simple average method.

B. Take the stock circulation as the weight and calculate by the weighted average method.

C. Take the stock circulation as the weight and calculate by the simple average method.

D. Take the number of shares in circulation as the weight and calculate by the weighted average method.

Reference answer: b

Reference analysis: The Shanghai Composite Index is based on 199065438+February19, with all listed stocks as samples and stock circulation as weights, and calculated by the weighted average method.

8. Shanghai Stock Exchange and Shenzhen Stock Exchange were officially put into operation on ().

February and July

B. 199 1 July and 199 1 year1February.

July 0 and1October199 10.

D. 1992 10 month and 199 1 July.

Reference answer: a

Reference analysis: Shanghai Stock Exchange 199065438+February19 officially opened; Shenzhen Stock Exchange officially opened on July 3rd 199 1. Both stock exchanges are made up of members and are non-profit enterprise legal persons.

9. The following does not belong to ordinary shareholders to exercise the right to return on assets is ().

A. joint-stock companies can only use retained earnings to pay dividends.

Dividends are paid to reduce the registered capital.

C. the company's demand for cash

D. the company's ability to enter the capital market and obtain funds

Reference answer: b

Reference analysis: there are certain restrictions on the exercise of the right to return on assets by ordinary shareholders: (1) legal restrictions. As a general principle, a joint-stock company can only use its retained earnings to pay dividends. Paying dividends cannot reduce its registered capital, and a company cannot pay dividends when it is insolvent. (2) Other restrictions. Such as the company's demand for cash, the status of shareholders, the company's operating environment, the company's ability to enter the capital market to obtain funds and so on.

10. The minimum trading margin of the CSI 300 stock index futures contract is () of the contract value.

A. 10%

12%

C. 15%

18%

Reference answer: b

Reference analysis: The minimum trading margin of the Shanghai and Shenzhen 300 stock index futures contracts is 12% of the contract value.

1 1. When sending shares, transfer () of the listed company to the equity account.

A. Capital

B. retained earnings

C. Income

D. Paid-in capital

Reference answer: b

Reference analysis: Stock dividend, also known as stock dividend, refers to the behavior of a joint-stock company to distribute shares to the original shareholders free of charge. When sending shares, the retained earnings of listed companies are transferred to equity accounts, including surplus reserves and undistributed profits. At present, listed companies generally only send shares with undistributed profits.

12. When there is a major event that may have a significant impact on the trading price of listed companies' securities and their derivatives, and investors have not yet learned about it, listed companies should disclose it ().

A. Prospectus

B. Listing announcement

C. Periodic reports

D. Interim report

Reference answer: D.

Reference analysis: When there is a major event that may have a great impact on the trading price of listed companies' securities and their derivatives, but investors have not yet learned about it, listed companies should immediately disclose an interim report to explain the cause, current situation and possible impact of the event.

13. () means that the company must disclose relevant information according to the law or the instructions of the securities regulatory agency and the stock exchange, and there shall be no major omissions.

A. The principle of truth

B. Principle of accuracy

C. the principle of good faith

D. principle of timeliness

Reference answer: C.

Reference analysis: this question examines the relevant knowledge of the principle of good faith.

14. The following statement about stock ex-dividend is wrong ().

Ex-dividend means that the securities no longer contain the recently announced dividend.

B ex-rights means that the securities no longer contain the recently announced rights issue, rights issue and transfer.

C. Theoretically, the stock price should rise according to the proportion of share offering, share allotment or increase on the ex-dividend date.

Theoretically, the stock price should fall by the same amount as the cash dividend per share on the ex-dividend date.

Reference answer: C.

Reference analysis: theoretically, the stock price should fall by the same amount as the cash dividend per share on the ex-dividend date; On the ex-dividend date, the share price shall be lowered according to the proportion of allotment, allotment or transfer. However, in practice, after ex-dividend and ex-right, the change of stock price is usually different from the theoretical price.

15. In China, the market code starting with 002 is ().

A. Motherboard

B. Growth Enterprise Market

C. Small and medium-sized board

D. The fourth board

Reference answer: C.

Reference analysis: Small and medium-sized board, that is, small and medium-sized enterprise board, refers to the growth enterprise market with circulation less than 1 100 million yuan. Small and medium-sized board market is the transition of GEM, and the market code of small and medium-sized board in China begins with 002.

16 [multiple-choice questions] The following statement about the auditors of stock issuance applications is incorrect ().

A. public contact with the issuer is not allowed.

B. it shall not be interested in the applicant for issuance.

C. Do not accept gifts from card issuers directly or through inquiries.

D. do not hold shares approved for issuance.

Reference answer: a

Reference analysis:

According to the provisions of the second paragraph of Article 23 of the Securities Law of People's Republic of China (PRC), the personnel involved in the examination and approval of the application for stock issuance shall not have an interest in the applicant, shall not directly or indirectly accept the gifts from the applicant, shall not hold the stocks approved for issuance, and shall not have private contact with the applicant.

17 [multiple-choice questions] Where a joint stock limited company is established by offering, the shares subscribed by the promoters shall not be less than () of the total shares of the company.

A.28%

B.30%

About 35%

D.40%

Reference answer: C.

Reference analysis:

According to Article 85 of the Company Law of People's Republic of China (PRC), if a joint stock limited company is established by offering, the subscribed shares shall not be less than 35% of the total shares of the company. However, if there are other provisions in laws and administrative regulations, those provisions shall prevail.

18 [multiple-choice questions] The principle () in the three principles requires that there is no discrimination in the securities market and the participants in the market have completely equal rights.

A. Equity

B. Justice

C. Publicity

D. open letter

Reference answer: a

Reference analysis:

The principle of fairness in the principle of "three publics" requires that there is no discrimination in the securities market and the participants in the market have completely equal rights.

19 [multiple choice questions] The following companies listed on the Shenzhen Stock Exchange need to go through two inquiry stages to determine the issue price ().

A. Companies listed on the New Third Board

B. Companies listed on the main board market

C. Companies listed on the Growth Enterprise Market

D. Companies listed on the SME board

Reference answer: b

Reference analysis:

When issuing shares for the first time, the issue price of the shares shall be determined by asking the inquiry object. For companies listed on the SME board and GEM of Shenzhen Stock Exchange, the issuer and its lead underwriter can determine the issue price according to the preliminary inquiry results; For companies listed on the main board market, pricing must go through two stages: initial inquiry and cumulative bidding inquiry, and it is no longer mandatory for all companies to go through two inquiry stages.

20 [multiple-choice questions] Regarding the conditions for a joint stock limited company to apply for listing on the Growth Enterprise Market of Shenzhen Stock Exchange, the following statement is ().

A. the stock has been publicly issued.

B the total share capital of the company shall not be less than 30 million yuan.

C the number of shareholders of the company shall not be less than 100.

D. there is no false record in the financial accounting report.

Reference answer: C.

Reference analysis:

A joint stock limited company applying for listing its shares on the Growth Enterprise Market of Shenzhen Stock Exchange shall meet the following conditions: the shares have been publicly issued; The total share capital of the company is not less than 30 million yuan; The publicly issued shares account for more than 25% of the total shares of the company; If the company's total share capital exceeds 400 million yuan, the proportion of publicly issued shares exceeds10%; The number of shareholders of the company shall be no less than 200; The company has no major illegal acts in the last three years, and its financial and accounting reports have no false records; Other conditions required by Shenzhen Stock Exchange.