What chapters are the focus of the securities broker exam? Which hero has the real question of last year's exam? Everything in the past is ok, but don't imitate the questions.

Second, multiple choice questions

1, securities are divided into () by nature.

A. marketable securities

B. priceless securities

C. Capital security

D. monetary securities

2, from its field analysis, foreign exchange risk can be roughly divided into ().

A. Commercial exchange rate risk

B. Financial exchange rate risk

C. Global exchange rate risk

D. regional exchange rate risk

3, securities itself has no value, but it represents a certain property rights, holders can use securities to obtain a certain number of ().

A. commodities

B. currency

C. Interest income

D. Dividend income

4. Commodity securities are documents that prove that the holder has the ownership or use right of commodities, and obtaining such securities is equivalent to obtaining the ownership of such commodities. The following are commodity securities ().

A. bill of lading

B. waybill

C. Warehouse stack list

D. deposit slip

5, bank securities is a kind of monetary securities, it mainly includes ().

A. cashier's check

B. bank draft

C. bank check

D. time deposit certificate

6. The property right of securities means that securities record the property right content of the obligee, which represents some kind of property ownership, and owning securities means enjoying property rights.

A. have

B. Use

C. benefits

D. handling

7. Securities are liquid, also known as liquidity. The circulation of securities is realized by ()

A. accept

B. Discounting

C. Trade

D. Legacy

8, the horizontal structure of the securities market is composed of (), etc.

A. Bond market

B. Stock market

C. Distribution market

D. Fund market

9, according to the delivery time, the financial market can be divided into ().

A. Financial markets

B. Spot market

C. Futures market

D. Capital market

10, according to the direct object of the transaction, the financial market can be divided into ().

A. interbank lending market

B. Treasury bond market

C. Stock market

D. Financial futures market

1 1, the capital market refers to the capital trading market with a term of more than one year, in which () is a capital market tool.

A. Dispute mediation

B. Corporate bonds

C. stocks

D. treasury bills

12. Since the 1970s, the securities market has experienced a highly prosperous situation. Not only has the scale of the securities market expanded, but securities trading has also become increasingly active, and it has gradually formed a brand-new feature of ().

A. Financial securitization

B. Internationalization of the securities market

C. Group investors

D. computerization of the securities market

13, before World War II, securities generally only included stocks, corporate bonds and national debt; After World War II, the securities varieties are constantly innovating, mainly ().

A. floating rate instruments

B. warrants

C. Repaying corporate bonds in installments

D. convertible bonds

E. composite securities

14. The fundamental reason for the networked development of the securities market is that online trading has obvious advantages ().

A. Breaking through the time and space constraints, investors can trade anytime and anywhere;

B. Intuitive and convenient, online not only browsing and consulting, but also online consulting;

C. Low cost

D. More security

15, from the examination and approval system to the approval system is a profound change in China's securities market, its significance lies in ().

A. Strengthen the responsibilities of intermediaries such as securities companies.

B. Improved the transparency of the securities market

C. Maintain the principle of three publics

D. Improving the quality of listed companies

16,1On July 28th, 1999, the China Securities Regulatory Commission issued the Notice on Further Improving the Stock Issuance Mode, which carried out major reforms on the issuance mode of new shares with a total share capital of over 400 million yuan, and adopted the method of combining ().

A. allotment of shares to legal persons

B. Online distribution to the public

C. issuing warrants

D. Placement by securities companies

17, in the securities market, investors can be divided into () according to their attitude towards risk.

A. Group investors

B. Individual investors

C. speculators

D. Investors

18, the main body of the securities market refers to all kinds of investors who enter the securities market to buy and sell securities, of which () belongs to institutional investors.

A. family

B. Government

C. Financial institutions

D. Enterprise

19. Securities market intermediaries refer to all kinds of institutions that provide services for securities issuance and trading. The following () are securities intermediaries.

A. Securities companies

B. Accounting firm

C. stock exchanges

D. Asset appraisal agency

20, China's securities companies according to their business, can be divided into ().

A. Comprehensive securities companies

B. Acting as a securities company

C. Brokerage securities companies

D. Self-operated securities companies

2 1. Securities service institutions refer to legal institutions engaged in securities service business, mainly including ().

A. securities depository and clearing company

B. Accounting firm

C. securities investment consulting company

D. Securities credit rating agencies

Generally speaking, there are two financing methods: direct financing and indirect financing. Indirect financing is an activity in which both the supply and demand sides of funds raise funds through banks. The following () are tools for indirect financing.

A. stocks

B. time deposit certificate

C. Compact Disc (plural of compact disc)

D. Corporate bonds

23. Financial markets are divided into money markets and capital markets according to the maturity of trading instruments. The capital market is a market for financing long-term funds, and the following () is a capital market.

A. Repurchase agreement market

B. Bond market

C. Fund market

D. Insurance market

24. Stock refers to the certificate issued by a joint stock limited company to prove that shareholders hold shares, from which we can see that the basic element of stock is ().

A. Issuer

B. Sharing

C. Holder

D. have a face value

25. Securities such as stocks have the nature of ().

A. Basic securities

B. mortgage securities

C. warrant securities

D. Capital security

26, registered stock refers to the stock and stock company shareholders' names recorded in the stock register, it has the following characteristics ().

A.you don't have to pay in one lump sum

B. The transfer is relatively complicated or limited

C. easy to report the loss

D. demand a one-time payment of all shares

27, according to the provisions of the "company law", ordinary shareholders enjoy () legal shareholders' rights and interests.

A. Benefit from assets

B. Main decision-making power

C. Choose a manager

D. formulate specific rules of the company

28, preferred stock is different from ordinary stock, it has the characteristics of ().

A. Fixed dividend yield

B. Priority of dividend distribution

C. Priority of distribution of surplus assets

D. General non-voting rights

29. Overseas listed stocks refer to the stocks raised by joint-stock companies from overseas investors and listed overseas. The following () are foreign shares listed overseas.

A.a shares

B.n shares

C.h shares

D.b shares

30, bonds have the basic nature of ().

A. bonds are securities.

B. bonds are a kind of virtual capital.

C. Bonds are the embodiment of creditor's rights

D. comprehensive rights securities

3 1 is called () if it can't get a certain income for the holder or a third party.

A. Commercial securities

B. Capital security

C. marketable securities

D. certificate securities

32, the purpose of securities investors to participate in securities investment is ().

A. Earn more than the bank interest.

B. Preserving and increasing value

C. Participate in company management

D. Earn the market price difference

33, China's "company law" regulation, the issue price and par value of the stock ().

A. Equality

B. irrelevant

C. Exceeding par value

D. below par value

34, according to the relationship between bond interest rates and market interest rates, bonds can be divided into fixed-rate bonds and floating-rate bills, of which () is a fixed-rate bond.

A. simple interest bonds

B. Compound interest bonds

C. floating rate instruments

D. variable interest rate bonds

35, bonds can be divided into () according to the repayment method.

A. Temporary repayment

B. Repayment due

C. Deferred repayment

D. midway repayment

36, bonds and stocks in () in the same position.

A. both are securities.

B. Both are financing means.

C. These two rates of return affect each other.

D. the risks are similar.

37. The characteristic of bonds is ().

A. High security

B. Good liquidity

C. Stable income

D. Duty-free treatment

38, according to the different issuance standards, national debt can be divided into ().

A. Physical national debt

B. Monetary bonds

C. book-entry treasury bonds

D. voucher-type national debt

39, in our country, the issuance of capital construction bonds is mainly ().

A. the State Council

B. National Energy Investment Corporation

C. National Raw Materials Investment Corporation

D. Ministry of Railways

40, bond issuers generally do not need to guarantee the bond issuer is ().

A. government securities

B. Financial securities

C. Corporate bonds issued by large reputable companies

D. Corporate bonds issued by ordinary companies

4 1, the following bonds belong to key enterprises ().

A. power construction bonds

B. Key steel enterprise bonds

C. Non-ferrous enterprise bonds

D. Petrochemical enterprise bonds

42, looking at international bond markets's activities since the 1960s, the main purpose of issuing international bonds is ().

A. make up the balance of payments deficit

B. Collect foreign currency funds to make up for the shortage of domestic budget funds

Financing for some large and super-large engineering projects to spread high risks.

D. funding certain international organizations to support their activities

43. There are many kinds of securities in a broad sense, including ().

A. Commodity securities

B. bill of lading

C. monetary securities

D. Capital security

44, the centralized bidding of securities trading should implement the principle of ().

A. quantity first

B. Price priority

C.time is the most important thing.

D. location priority

45. The functions of the Listing Committee of the Stock Exchange are:

A. examining and approving the listing of securities

B. examine and approve the financial budget and final accounts proposed by the general manager.

C. Draft listing rules and put forward suggestions for amending them.

D. election and removal of directors

46, from the form of bonds, China's national debt can be divided into ().

A. Certificate-based national debt

B. Bondholders

C. book-entry treasury bonds

D. convertible bonds

47, the main cost in the operation of the fund is ().

A. Management fee

B. Trusteeship fees

C. risk fee

D. Investment costs

48, () shall not be recruited as employees of the stock exchange.

A. Employees of stock exchanges who have been dismissed for violating laws and regulations

B. Dismissed staff of state organs

C. Dismissed employees of securities companies

D. Dismissed employees of state-owned enterprises

49, the provisions of the code of conduct for securities practitioners include ().

A. guaranteed sex

B. Self-regulatory behavior

C. Ethical sexual behavior

D. Prohibition of sexual behavior

50, the priority of preferred stock is mainly manifested in ().

A. stock options

B. Distribution of surplus assets

C. Distribution of company income

D. Voting rights in company operation

5 1. The main form of company in China's company law refers to ().

A. limited liability company

B. gmbh & Co. Kg

C. company limited by shares

D. unlimited company

52, China's securities law stipulated in the way of entrustment are ().

A. Market entrustment

B. Limit delegation

C. Stop loss entrustment

D. limit stop-loss entrustment

53, the difference between securities investment funds and stocks and bonds is ().

A. Different risk levels

B. Different income levels

C. The raised funds are invested in different ways.

D. the relationship reflected is different.

54, the difference between closed-end funds and open-end funds is ().

A. Different identities of investors

B. Different time limits and distribution scale limits

C. Fund units have different trading methods and price calculation standards.

D. Different investment strategies

55, the parties to the securities investment fund mainly have ().

A. Fund holders

B. Fund sponsors

C. fund custodian

D. fund managers

56, securities companies in the following matters, don't need the the State Council securities regulatory authority for examination and approval is ().

A. Establishment or cancellation of branches

B. Change of registered capital

C. change the general manager

D. Change of legal representative

57. The shareholders' meeting includes ().

A. Founding Congress

B. Extraordinary general meeting of shareholders

C. Annual meeting of shareholders

D. Extraordinary general meeting of shareholders

58. The main institutions involved in A.D.R business include ().

A. the issuing company of the underlying securities

B. Trustee bank