I. Multiple choice questions

1. According to the Implementation Measures for Restricting Securities Trading of China Securities Regulatory Commission, the time for the investigation department to restrict securities trading shall not exceed () trading days. If the case is complicated, it may be extended for () trading days upon approval.

A. 10, 10

B. 15, 10

C. 15,5

D. 15, 15

Your answer: D.

Title score: 10

Score of this question: 10.0

2. The relevant judicial interpretation in the Supreme People's Court stipulates that the standard for serious insider trading is ().

A. The transaction amount exceeds 500,000, and the profit and loss avoided exceeds 6,543.8+0.5 million.

B The transaction amount exceeds 6,543,800+0,000, and the profit and loss avoided exceeds 250,000.

C. The transaction amount exceeds 2 million, and the profit or loss avoided exceeds 500,000.

D. The transaction amount exceeds 2.5 million, and the profit and loss avoided exceeds 750,000.

Your answer is: A.

Title score: 10

Score of this question: 10.0

3. According to the relevant regulations of the Supreme People's Court, the Supreme People's Procuratorate, Ministry of Public Security and China Securities Regulatory Commission, the first-instance cases suspected of securities and futures crimes are under the jurisdiction of (), and the people's procuratorate at the same level is responsible for prosecution, and the public security organs at or above the prefecture (city) level are responsible for filing investigations.

A. the Supreme People's Court

B. Higher People's Courts of all provinces, autonomous regions and municipalities directly under the Central Government

C. intermediate people's court

D. Basic people's courts

Your answer: C.

Title score: 10

Score of this question: 10.0

4. Manipulators "use the linkage between different markets, use the advantages of funds and positions to cause price anomalies in one market, thus affecting the price of another market, and"

The act of making a profit is called ().

A. Manipulation of false declarations

B. Hat-grabbing technique

C. Manipulation in the name of market value management

D. Cross-market manipulation

Your answer: D.

Title score: 10

Score of this question: 10.0

5. The price sensitive period of inside information starts from () and ends when the inside information is made public or the information no longer has a significant impact on the securities trading price.

A. the date when the inside information was formed

B. The day when inside information began to brew.

C. when the inside information has not been formed.

D. the date of discussion and adoption of relevant resolutions by the board of directors.

Your answer is: B.

Title score: 10

Score of this question: 10.0

Second, multiple choice questions

6. The main laws and regulations of China Securities Regulatory Commission on securities and futures inspection and enforcement include ().

A. Securities Law of People's Republic of China (PRC)

B. People's Republic of China (PRC) Securities Investment Fund Law

C. Administrative Punishment Law of the People's Republic of China

D. Administrative Compulsory Law of the People's Republic of China

E. Regulations of the State Council Municipality on the Administration of Futures Trading

Your answers: a, c, e, b, d.

Title score: 10

Score of this question: 10.0

7. Insider trading implementation subject (behavior subject) includes ().

A. insiders with undisclosed information

B. People who illegally obtain undisclosed information

C. Insider of inside information

D. People who illegally obtain inside information

Your answer is: D.

Title score: 10

Score of this question: 10.0

Third, the judgment question

8. Insider information refers to undisclosed information that involves the company's operation and finance or has a significant impact on the company's securities market price.

Your answer: correct.

Title score: 10

Score of this question: 10.0

9. The Seventh Amendment to the Criminal Law of People's Republic of China (PRC), published in February 2009, increased penalties for illegal acts such as trading with undisclosed information.

Your answer: correct.

Title score: 10

Score of this question: 10.0

10. If the punished person (party) contacted or contacted the insider or insider before the inside information was made public, and his securities trading activities were highly consistent with the inside information, and he could not give a reasonable explanation or provide evidence to exclude his existence of engaging in related securities trading activities by using inside information, the people's court may confirm that the insider trading behavior identified in the punishment decision was established.

Your answer: correct.

Title score: 10

Score of this question: 10.0

Total score of test paper: 100.0