First, multiple choice questions

1, about the conditions for the establishment of a futures brokerage company, the following statement is wrong ()

The minimum registered capital is 20 million yuan.

B, the main management personnel and business personnel must have the qualification of futures business.

C, qualified senior management personnel.

D having a corporate governance structure that conforms to the modern enterprise system.

Reference answer: a

2. Before opening an account for a customer, a futures brokerage company shall show it to the customer in advance ().

A. Futures brokerage contract B. Futures brokerage business rules

C. Trading Rules of Futures Exchange D. Risk Statement of Futures Trading

Reference answer: D.

3. Investors who have objections to the contents of the transaction settlement report shall submit written objections to the futures brokerage company in ().

A, 15 days after the transaction is completed b, 30 days after the transaction is completed.

C, the day of receiving the settlement report D, the time agreed in the futures brokerage contract.

Reference answer: D.

4. If a futures brokerage company is suspected of serious violation of laws and regulations, during the period under investigation, the China Securities Regulatory Commission may () and make corresponding treatment according to the investigation conclusion.

1. Suspend part of its futures business; B. Cancel the business license of its business department.

C, cancel its futures brokerage qualification D, cancel its futures brokerage business license.

Reference answer: a

5. An enterprise applying to engage in overseas futures business shall have at least () employees who have engaged in overseas futures business for more than () years and obtained the qualification certificate of futures practitioners issued by China Securities Regulatory Commission or overseas futures regulatory agencies, including full-time futures risk managers.

a，3，2 B，3， 1

c、5，2 D、5， 1

Reference answer: b

6. A series of business operation procedures, management methods and measures formulated by futures brokerage companies to standardize their own business behaviors and prevent risks are collectively referred to as ():

A, internal control mechanism B, internal control text system

C, internal supervision system D, internal control mode

Reference answer: b

7. Those who have obtained the qualification certificate of futures practitioners and have not engaged in futures business for () years in a row will lose their qualification certificate.

a、 1 B、3

c、5 D、7

Reference answer: b

8. If the applicant for the qualification of futures practitioners provides false or misleading materials in violation of regulations, and the circumstances are serious, the futures industry association will give the following disciplinary action ():

A. suspend the qualification of futures practitioners for 6 to 12 months.

B. Disqualification of futures practitioners

C. Revoke the qualification of futures practitioners, and reject their application for qualification within 3 years or permanently.

D. Revoke the qualification of futures practitioners and impose a fine.

12. The following () changes of a futures brokerage company shall be approved by the agency of the China Securities Regulatory Commission and reported to the China Securities Regulatory Commission for the record.

I. Change of legal representative

B, modify the articles of association

C. Change of domicile or business premises

D. Change the shareholders who hold more than 0/0% equity of the futures brokerage company/KLOC or have actual control rights.

Reference answers: a, c, d

13. When the general manager of the futures exchange is temporarily unable to perform his duties for some reason, () shall perform his duties on his behalf:

A. First Deputy General Manager B. Deputy General Manager designated by the General Manager

C. senior management personnel designated by the general manager d. personnel of temporary representatives of the board of directors.

Reference answer: b

14. The futures exchange shall submit the financial accounting report audited by an accounting firm with securities and futures-related business qualifications to the China Securities Regulatory Commission at the address:

Within 30 days after the end of each quarter.

B, within 3 months after the end of each year

C, within 60 days after the end of each year

D within 30 days after the end of each quarter and within 60 days after the end of each year.

Reference answer: b

15. The Measures for the Administration of Futures Exchanges shall be implemented as of (), and the old measures promulgated on August 3 1 and 1999 shall be abolished at the same time.

a，200 1 10 1。

July 2002 1

2002 10 month

D, May 2002, 1

Reference answer: b

16. When the futures market is abnormal, except for the futures exchange, () it may decide to take necessary risk disposal measures such as delaying the opening of the market and suspending trading.

A. China Securities Regulatory Commission B. China Futures Association

C. Agency of China Securities Regulatory Commission

Reference answer: a

17, the following senior managers of futures brokerage companies should have the wrong conditions:

First, good health

B, have good professional ethics.

C, engaged in futures and securities work for more than 5 years.

D, obtain the qualification of futures practitioners

Reference answer: C.

18, the following statement is true ():

A. After the China Securities Regulatory Commission approves the qualifications of the senior management of the brokerage company, the China Futures Association will issue the qualification certificate of the senior management of the futures brokerage company to the approved personnel.

B. The dispatched offices of China Securities Regulatory Commission shall review and manage the qualifications of senior managers of futures brokerage companies according to the Measures for the Administration of Qualifications of Senior Managers of Futures Brokerage Companies.

C, China Securities Regulatory Commission is responsible for the examination and management of the qualifications of senior executives of futures brokerage companies.

D China Securities Regulatory Commission's examination and management of the post qualifications of senior executives of futures brokerage companies includes: examination and confirmation of post qualifications, assessment during the term of office, suspension and revocation of post qualifications, post-leaving audit and other related matters.

Reference answer: C.

19. If the qualifications of the senior management personnel of the futures brokerage company do not meet the requirements of the annual inspection, they will not pass the annual inspection, and the China Securities Regulatory Commission will ():

First, suspend the qualifications of the senior management personnel of the futures brokerage company, and make an announcement.

B. punish senior managers.

C, cancel the qualification of the senior management of the futures brokerage company, and make it public.

E. companies that prompt executives to work.

Reference answer: C.

20, the following statement is correct ():

A, the futures brokerage company shall explain to customers the main meaning of all the terms in the futures brokerage contract, and remind customers that they have the obligation to explain.

B, the customer can sign a contract with the futures brokerage company only after confirming that he has understood the meaning of the main terms of the contract.

3. A futures brokerage company shall have relevant documents such as futures trading laws and regulations, futures exchange rules, business rules and detailed rules at the company headquarters for customers' inquiry.

D. Customers have the right to ask the futures brokerage company about the meaning of futures trading laws and regulations, futures exchange rules, business rules and their detailed rules, and the futures brokerage company has the obligation to explain the customers' inquiries.

Reference answer: D.

Published in: Securities Practitioners Examination _ Examination University

Second, multiple choice questions

1, about the conditions for setting up a futures brokerage company, the following statement is correct ():

I. It shall comply with the provisions of the Company Law.

B, shall meet the conditions stipulated in the Interim Regulations on the Administration of Futures Trading.

C, qualified senior management personnel.

D having a corporate governance structure that conforms to the modern enterprise system.

Reference answers: a, b, c, d

2. A futures brokerage company shall not set up a business department in the following ways: ()

A, joint venture B, cooperation

C, joint venture D, contracting

Reference answers: a, b, c, d

3. In the following () cases, the futures brokerage company may terminate the futures brokerage contract with the investor, and liquidate and cancel the investor's account.

A. The natural person investor dies, loses capacity for civil conduct or the legal person investor terminates.

The natural person investor was declared missing by the court.

Investors were declared bankrupt by the court.

D the agreement between the futures brokerage company and the investors does not violate laws and regulations.

Reference answers: a, c, d

4. The following statement is wrong: ()

1. A licensed enterprise can only open one margin account for overseas futures business.

B the number of domestic futures foreign exchange accounts of licensed enterprises shall be determined by the foreign exchange bureau in consultation with the China Securities Regulatory Commission according to the business needs of the enterprises.

C. Licensed enterprises propose risk exposures supported by data at the end of each year, and go through the registration formalities with the State Administration of Foreign Exchange after being approved by the China Securities Regulatory Commission.

4. The authorization of the licensed enterprise to the executor of the trading order shall be confirmed by the overseas futures brokerage institution and reported to the China Securities Regulatory Commission for the record.

Reference answers: a, b, c

5. Futures brokerage companies should establish a strict accounting control system. The establishment of accounting control system should follow the principle of ().

A, standardization B, programming

C, authorized responsibility, supervision and restriction D, accounting check.

Reference answers: a, b, c, d

6. The following () institutions shall be ordered to make corrections if they employ personnel without futures practitioners' qualification certificates or fail to fulfill the filing and reporting obligations stipulated in the Measures for the Administration of Futures Practitioners' Qualification (Revised). If the circumstances are serious, the China Securities Regulatory Commission will impose a fine of 654.38+0 million yuan to 30,000 yuan.

A. futures exchange b futures brokerage company

C, futures trading hall D, futures exchanges that are not members of futures brokerage companies

Reference answer: c, d

7, the following belongs to the scope of authority of China Futures Association is ():

First, for the futures trading hall and other institutions to hire people without the qualification certificate of futures practitioners, if the circumstances are serious, a fine of more than 30,000 yuan 10000 yuan will be imposed.

B. Be responsible for granting, managing and canceling the qualifications of futures practitioners.

C, specify the time and frequency of the qualification examination for futures practitioners, and formulate the examination outline.

D stipulate the conditions for applying to take the qualification examination for futures practitioners.

Reference answer: b, c, d

8, the following belongs to the terms of reference of the China Securities Regulatory Commission is ():

First, for the futures trading hall and other institutions to hire people without the qualification certificate of futures practitioners, if the circumstances are serious, a fine of more than 30,000 yuan 10000 yuan will be imposed.

B. Types specified in the Qualification Certificate for Futures Practitioners.

C. Approve the Outline of Qualification Examination for Futures Practitioners

D, organize futures practitioners qualification examination

Reference answer: a, c

9. In the futures exchange, the following positions supervised by the China Securities Regulatory Commission are ():

A. General Manager B. Deputy General Manager

C. Chairman D. Vice Chairman

Reference answers: a, b

10. Futures trading shall be approved by the China Securities Regulatory Commission in any of the following circumstances. ( ):

1. To formulate or modify the articles of association and business rules of the company.

Listing, suspension, cancellation or resumption of futures trading varieties

C. listing, modification or termination of futures contracts

D. adjust the price limit.

Reference answers: a, b, c

1 1, and the following behaviors that futures brokerage companies prohibit futures trading are ():

A. Make a profit guarantee to customers. B. Agree to share the profits with customers.

C. Entrusted business D. Accepted entrusted business.

Reference answers: a, b, c, d

12. The functions that a futures exchange should perform include: ()

1. Formulate and implement the business rules of stock exchanges.

Release market information

C, supervise the futures business of members, and report the violations of members to the China Securities Regulatory Commission for investigation.

D, supervise the futures business of the delivery warehouse

Reference answer: b, d

13, the following statement is true: ()

The general meeting of members of the futures exchange shall be presided over by the chairman. And more than half of party member must attend the party.

B Within 5 days after the general meeting of the futures exchange/KLOC-0, the futures exchange shall report all the documents of the general meeting to the China Securities Regulatory Commission for the record.

C the board of directors is the permanent body of the general meeting of the futures exchange and is responsible for the general meeting.

D. Deciding to establish a special committee is one of the responsibilities of the Council.

Reference answer: c, d

14. In the course of futures trading, if one of the following circumstances occurs, the futures exchange may declare that it has entered an abnormal situation: ()

1. Transactions cannot be conducted normally due to force majeure such as earthquake, flood or fire, or computer system failure and other reasons not attributable to the futures exchange.

B. the member has settlement and delivery crisis.

C. When the futures price rises and falls continuously in the same direction.

D. the settlement and delivery crisis of members will have a significant impact on the market.

Reference answers: a, d

15. The following statement about futures trading margin is correct: ()

1. The deposit can be paid in cash, promissory notes, drafts and checks. Where the deposit is paid in the form of promissory note, draft, check, etc., the opening bank of the futures brokerage company can start trading only after confirming the arrival of the customer's funds.

Customers can pledge the deposit with treasury bonds or standard warehouse receipts according to the regulations of the futures exchange. A futures brokerage company may pledge the customer's pledge or dispose of it in other ways.

C. The customer shall guarantee the legality of the source of funds, explain the source of funds to the futures brokerage company, and provide relevant certificates.

D, the futures brokerage company has the right to adjust the margin ratio according to the provisions of the futures exchange or market conditions. The adjustment of margin by a futures brokerage company shall be subject to the announcement or notice of margin adjustment issued by the futures brokerage company.

Reference answers: a, d

16. The following statements about the effectiveness and modification of futures brokerage contracts are correct: ()

1. The Futures Brokerage Contract shall come into effect after being signed by both parties or their agents.

B the futures brokerage contract shall come into effect as of the date when the customer's account opening funds are remitted to the futures brokerage company's account.

C. If the futures brokerage contract is changed, modified or supplemented, both parties shall reach an agreement through consultation, and sign an agreement for change, modification or supplement as a supplement to the futures brokerage contract, and its effect shall be subordinate to the original contract.

D. Matters not covered in the performance of this contract shall be implemented in accordance with relevant national laws, regulations and policies, relevant articles of association and rules of futures exchanges, relevant business rules of futures brokerage companies and futures trading practices.

Reference answer: b, d

17. Regarding the qualifications of senior managers of futures brokerage companies, the following statements are correct: ()

1. The China Securities Regulatory Commission shall, within one month from the date of receiving the qualified application materials, decide whether to approve its post qualification.

B. If it is approved, the China Futures Association will issue the qualification certificate of the senior manager of the futures brokerage company.

C if it is not approved, it shall give a written notice to explain the reasons.

D. After the proposed senior management personnel of a futures brokerage company obtain the post qualification, they shall recommend the company to handle the post formalities for them within 6 months.

Reference answer: c, d

18. A futures brokerage company made the following mistakes: ()

A. If the legal representative of the company, Wang, is temporarily unable to perform his duties due to illness, Wang will appoint the general manager who has obtained the qualification of senior management to perform his duties on his behalf and report it to China Futures Association for the record.

B the company intends to employ Zhao, a director of its subsidiary, as the deputy general manager of the company, and Zhao has obtained the qualification of senior management.

C the company recommended Wu Mou, the company's chief financial officer, to apply for the post qualification of senior management, and Wu Mou's work experience certificate was issued by the company's shareholders' meeting.

D. Zhang, the vice president of the company, was put on file for investigation by the public security organ for alleged illegal behavior. Five working days after the incident, the company immediately reported to the agency of China Securities Regulatory Commission.

Reference answers: a, b, c, d

19. The qualifications of the following personnel of a futures brokerage company need to be approved and managed by the agency of China Securities Regulatory Commission in accordance with the qualifications of the general manager and deputy general manager in the Measures for the Administration of the Qualifications of Senior Managers of Futures Brokerage Companies: ()

A. Independent Director B. Head of Finance Department

C. heads of compliance review department and risk management department d. heads of branches of futures brokerage companies.

Reference answer: b, c, d

20. The legal representative, general manager and deputy general manager of a futures brokerage company shall be responsible for the normal operation of the company during their term of office, including: ()

I. Abide by relevant laws, regulations, rules and policies.

B. abide by the relevant rules and articles of association of the futures exchange.

C establish, improve and strictly implement futures business rules, financial accounting system, risk management and internal control system.

Cooperate with and accept the supervision of China Securities Regulatory Commission and its dispatched offices.

Reference answers: a, b, c, d