最新2019年电视广播大学证券投资学考试必考重点(完整版).doc

电大证券投资学考试小抄单选题1、世界最大的股票交易所是(B)A伦敦股票交易所B纽约股票交易所C东京股票交易所D香港联合交易所2、(A)于1882年和琼斯合伙创办“道-琼斯公司”和报纸午后新闻简讯。后改版为华尔街日报。1884年首次编制美国股票价格平均指数，后成为著名的道-琼斯股票指数。A查尔斯道B马柯维茨C托宾D萨缪尔森3、中国人自己创办的第一家证券交易所是(D) A上海股份工所B上海公业公所C上海证券物品交易所D北平证券交易所 4、(A)认为不管是股票还是商品价格的波动，都与大自然的潮汐一样，一浪跟着一波，周而复始，具有相当程度的规律性，展现出周期循环的特点，任何波动均有迹有循。A波浪理论B随机漫步理论C道氏股价波动理论 D相反理论 5、按照证券投资品种的不同,可以把证券投资风险划分为(A) A股票投资风险和债券投资风险B系统性风险和非系统性风险C个人投资风险和机构投资风险D场内交易风险和场外交易风险 6、按照证券投资风险的产生根源和造成影响的不同，可以把证券投资风险划分为(B)A.股票投资风险和债券投资风险B.系统性风险和非系统性风险C.个人投资风险和机构投资风险D.场内交易风险和场外交易风险 7、证券公司长期投资按年末余额的(C)差额提取投资风险准备；按税后利润的（）提取一般风险准备。A5%,10%B2%,5%C1%,10% D10%,1%8、社会保障基金的投资范围规定，用于银行存款和国债的投资比例是(B) A.不高于50%B.不低于50%C.不低于40% D.不低于10% 9、由证券公司办理的证券发行称为(D) A私募发行B公募发行C自办发行D承销发行 10、证券市场中介机构包括证券登记公司、证券投资咨询公司、会计师事务所、资产评估事务所、律师事务所、证券信用评级机构和(D)等机构。A证券交易所B证券业协会C证券沙龙D证券公司 11、(B)是指个人投资者通过购买不同证券组合类型的投资基金，形成资金集合后再选择证券品种进行投资的方式。A直接投资B间接投资C机构投资D个人投资 12、运用组合投资理论，选择各种证券，进行匹配结合，可以(C) A杜绝风险 B平衡风险C降低风险D消除风险 13、新股在二级市场上市首日，其即时行情显示的前收盘价格是其(D) A最高价B最低价C开盘价D发行价 14、公司最近(B)连续盈利，发行的A股才可以上市交易。A两年B三年 C四年D五年 15、上海证券交易目前规定：在开盘集合竞价的时间内(B) A接受撤单申B不接受撤单申报C接受交易和撤单申报D不接受交易和撤单申报16、我国证券公司向客户收取的A股交易的佣金最高为交易金额的(B) A1B2C3D4 17、投资者要进行记账式债券的买卖，就必须在(A)设立账户。 A证券交易所B中国人民银行C工商银行D中国银行 18、债券代表债券投资人对公司资产的(D) A所有权B处置权C支配权D债权 19.把债券分为政府债券、金融债券和公司债券的依据是(A) A按债券发行人 B按债券体现内容C按债券上市与否D按债券购买者 20、债券代表债券投资者对公司资产的(D)A所有权B处置权C分配权D债权 21、封闭式基金具有固定的封闭期，通常在(D)年以上A10年B15年C20年D5年22、基金管理人和托管人之间的关系是(C)的关系。A所有者和监督者B委托和受托C经营者和监管者D委托代理 23、美国称证券投资基金为(C) A证券投资信托基金B单位信托基金C共同基金D证券投资基金 24、(B)的主要业务是发起设立基金和管理基金A基金持有人B基金管理人C基金托管人D基金投资者 25、在金融期货交易中,大多数金融期货合约采取(A)的结算方式A对冲B实物交割C现金交割D转手交易 26、期货合约是由(C)统一制定的A证券交易所B中国证监会C期货交易所 D财政部 27.(C)是基准利率 A回购利率和再贴现率B回购利率和同业拆借利率C再贴现率和同业拆借利率D再贴现率,回购利率和同业拆借利率 28、(B)只能在期权到期日执行，既不能提前,也不能推迟。A卖出期权 B欧式期权C美式期权D看涨期权 29、一般来讲，期权合约剩余的有效时间越长，则期权价格越(A)A高B低C不变D不确定 30、实值期是指期权的内在价值为(B)A负B正C零D任意数 31、(D)不属于宏观经济分析 A价格总水平分析B银行贷款总额分析C经济结构分析D区位分析 32、GDP的三种计算方法是(C)A价值法,收入法,支出法 B价值法,收入法,生产法C支出法,收入法,生产法D价值法,支出法,生产法 33、K线图的阳线表示(D)A开盘价高于收盘价开盘价等于收盘价C收盘价等于最低价D收盘价高于开盘价 34、(B)是用统计处理的方式，将若干天的股票价格加以平均，然后连接成一条线，用来观察股价变动趋势A趋势线B移动平均线C涨跌比率D超买超卖线 35、以下哪个公式是净资产收益率的计算公式(B)A每股市价/每股收益 B净利润/平均净资产C主营业务利润/主营业务成本D净利润/销售 36、由心理线公式计算出来的百分比值，超过75时为超买，低于(B)时为超卖A20B25C50 D.30 37、动向指数又叫移动方向指数或趋向指数，是属于(C)的技术性指标。A成交量分析B平均数分析C 趋势分析D人气分析 38、市盈率反映单靠普通股的收益要多长时间才可收回购买股票的投资，其投资收益率是多少，其计算公式为(A)A普通股每股市价/普通股每股收益B普通股每股收益/普通股每股市价C年度末股东权益/年度末普通股数 D股东权益总额/资产总额 * 100% 39、若流动比率大于1，则下列说法正确的是(A)A营运资金大于零B短期偿债能力绝对有保障C速动比率大于1D现金比率大于20% 40、二板市场最初是由(B)创建的。A英国B美国 C加拿大D日本多选题1、证券投资的功能包括(ABCDE)A筹集资金的功能B配置资本的功能C发展信用的功能D调控经济的功能E分散风险的功能2、资本证券是拥有一定量的资本所有权和收益索取权的凭证。资本证券包括(BDE)A本票B股票 C支票D债券E基金 3、全额交易结算资金制度(AB)A是一种证券交易风险防范制度B是我国证券公司的所有业务都必须遵守的制度C是世界上的发达国家普遍采用的制度D是有利于减少证券交易风险的制度 4、对于证券公司来说，风险监察主要体现在(ABD)几个方面A事先预警B实时监控C内部监察D事后监察 5、机构投资者面临的主要风险是(ABCDE)A经纪业务风险 B自营业务风险C承销业务风险D内部管理风险E结算业务风险 6、我国股市散户众多的弊病在于(ABCD)A投机性强，容易导致股市狂涨狂跌B易受庄家左右C不利于参与对上市公司治理结构的改革D换手率高 7、2 股份公司的组织机构一般由(ABC)组成A股东大会B董事会C监事会D经理班子 8、3 股票场外交易的形式，包括(ACD)A柜台市场B第二市场C第三市场D第四市场 9、发行人在确定债券期限时，要考虑的因素主要有(ABC)A资金使用方向B市场利率变化C债券变现能力D发行费用10、确定债券票面金额，要考虑的因素有(BCD) A资金使用方向 B发行对象C市场资金供给情况D发行费用 11、对于商业银行所从事的基金业务，目前主要指(BD)，由中国人民银行和中国证监会一起共同实行监管职责。A基金发行B基金托管C基金申购D基金代销E基金赎回12、封闭式基金按照发行对象和范围来划分，可以分为(CD)A网上发行B网下发行C公募发行D私募发行E包销发行 13、利率期货的种类包括(ABCD) A国库券期货B欧洲美元定期存款期货C美国中期国债期货D美国长期国债期货 14、股票指数期货的套利交易包括(ABC)A跨月份套利B跨市场套利C跨品种套利D跨合约套利 15、某投资人预期某种标的物价格将下降，他可以(BC)A卖出看跌期权B卖出看涨期权C买入看跌期权D买入看涨期权 16、国民经济总体指标主要有(BCD)。AGDP和工业增加值B失业率和通货膨胀C货币供应量D国际收支 17、下列属于图形分析方法的有(ABC)A线形图B柱状图CK线图D超买超卖线 18、下列关于随机指数的说法正确的是(ABD) A随机指数是一种较短期，敏感指标B分析比较全面D随机指数的典型背驰准确性颇高 19、对于上市公司最重要的财务指标包括(ABD)A每股收益B每股净资产C流动比率D净资产收益率 E存货周转率 20、债券的主要形式有(ABCDE)A普通债券B浮动利率票据C可转换债券D零息票债券E双币债券等形式 判断题1、货币证券是指本身能使持有人或第三者取得货币索取权的有价证券。如股票和债券等。 错误2、有价证券是指经证券机关核准，并在证券交易所注册登记，获得交易所内公开买卖资格的证券。 错误 3、息社会自身的发展必然要求突破实物资本的限制，实现社会财富的虚拟化和信用化，才能满足网络技术的发展要求，形成与信息社会相适应的财富存在形式。正确 4、资本证券是拥有一定量的资本所有权和收益索取权的凭证。它包括股票、债券、基金证券及其衍生品种。正确 5、x财政部颁布的“证券公司财务制度”中规定了证券公司应提取坏账准备。提取坏账准备的标准是按照每年年末应收账款余额的3% 错误 6.1998年8月，国务院批准了证券监管机构体制改革方案，决定理顺监管体制，完善监管体系，加强对全国证券、期货业的集中统一监管。根据这一方案，中国人民银行的证券监管职能全部移交证监会；撤消国务院证券委，其职能并入证监会。 正确 7、xxx“证券公司财务制度”中规定：证券公司自营证券可根据自营证券的总市价低于总成本的差额，按年提取和清算跌价准备。 正确 8、在证券经纪业务中，客户是委托人，证券经纪商是受托人。正确 9、做市商制度是不同于竞价交易方式的一种证券交易制度，一般为柜台交易市场所采用。 正确 10、同时从事证券经纪业务和自营业务的证券公司，必须在经营这些业务时实行严格的“防火墙”制度。 正确 11、委托型或间接型投资是指个人投资者通过购买不同证券组合类型的投资基金，形成资金集合后再选择证券品种进行间接投资的方式。 正确 12、利率固定的情况下，预期未来市场利率水平要上升，意味着今后股票的行市上升 错误 13、运用组合投资理论，选择各种证券，进行匹配结合，以便有效地杜绝投资中的风险，增加投资收益。 错误 14、股票流通价格是反映国民经济动向的“晴雨表”。正确 15、证券清算和交割两个过程统称为证券结算。正确 16、在公司股权日益分散的情况下，一般要掌握公司的50%的股份，就可以实现对公司的控股。 错误 17、目前,证券交易所每日开盘时采用连续竞价方式,在日常交易中采用集合竞价方式。错误 18、进利率债券的利率随着时间的推移，后期利率将比前期利率更高，呈累进状。 正确 19、现债券的实际利息是发行价格与票面金额的差额。正确 20、债券偿还期限是指债券从发行之日起至偿清本金之日止的时间。 错误 21、开放式基金的投资人可以在首次发行结束后，立即向投资管理人或中介机构提出购买和赎回申请。 错误22、我国规定开放式基金的申购手续费不得超过申购金额的5%，实际操作中，一般低于2%。 正确 23、开放式基金可以进行长期投资，封闭式基金不能全部用来投资。 错误 24、基金管理人与基金托管人之间是委托与受托关系。 错误 25、欧洲美元定期存款期货的最小变动价位是0.01%。正确 26、世界上首次推出外汇期货的交易所是芝加哥期货交易所。 错误 27、股票指数期货到期后采用“现金结算”，而不用股票作实物交割。正确28、欧式期权的购买者只能在期权到期日这一天行使其权利。 正确 29、剩余期限对期权价格的影响直接作用在时间价值上，对期权的内在价值并无影响。正确 30、一般地说，标的资产的收益率越高，看涨期权的价格越高。错误 31、( )每股收益多,意味着分红一定也多。 错误32、二板市场上市标准高，同时有高风险性。 错误 33、处于行业生命周期幼稚期的企业更适合投资人而非投机者 错误34、“不做假账”是会计人员的基本职业道德和行为准则，所有会计人员必须以诚信为本，操守为重，坚持准则，不做假账。 正确35、与在以上，大势属空头市场。与在以下，大势属多头市场。错误 36、当六日强弱指标下降至时，表示股市有超卖现象，如果一旦继续下降至以下时则表示已到严重超卖区域，股价极可能有止跌回升的机会。正确37、布林线的带状区呈水平方向移动时，可以视为处于“常态范围”。此时，股价向上穿越“上限”时，将形成短期回档，为短线的买入信号；股价向下穿越“下限”时，将形成短期反弹，为短线的卖出时机。错误 38、x产权比率低是低风险、低收益的财务结构，表明债权人的利益因股东提供的资本所占比重较大而具有充分保障。正确 39、招股说明书不属于证监会规定的上市公司财务报告信息披露的内容。 错误40、缺口分为普通缺口，突破缺口，持续性缺口与消耗性缺口等四种。 正确请您删除一下内容，O(_)O谢谢！2016年中央电大期末复习考试小抄大全，电大期末考试必备小抄，电大考试必过小抄Acetylcholine is a neurotransmitter released from nerve endings (terminals) in both the peripheral and the central nervous systems. It is synthesized within the nerve terminal from choline, taken up from the tissue fluid into the nerve ending by a specialized transport mechanism. The enzyme necessary for this synthesis is formed in the nerve cell body and passes down the axon to its end, carried in the axoplasmic flow, the slow movement of intracellular substance (cytoplasm). Acetylcholine is stored in the nerve terminal, sequestered in small vesicles awaiting release. When a nerve action potential reaches and invades the nerve terminal, a shower of acetylcholine vesicles is released into the junction (synapse) between the nerve terminal and the effector cell which the nerve activates. This may be another nerve cell or a muscle or gland cell. Thus electrical signals are converted to chemical signals, allowing messages to be passed between nerve cells or between nerve cells and non-nerve cells. This process is termed chemical neurotransmission and was first demonstrated, for nerves to the heart, by the German pharmacologist Loewi in 1921. Chemical transmission involving acetylcholine is known as cholinergic. Acetylcholine acts as a transmitter between motor nerves and the fibres of skeletal muscle at all neuromuscular junctions. At this type of synapse, the nerve terminal is closely apposed to the cell membrane of a muscle fibre at the so-called motor end plate. On release, acetylcholine acts almost instantly, to cause a sequence of chemical and physical events (starting with depolarization of the motor endplate) which cause contraction of the muscle fibre. This is exactly what is required for voluntary muscles in which a rapid response to a command is required. The action of acetylcholine is terminated rapidly, in around 10 milliseconds; an enzyme (cholinesterase) breaks the transmitter down into choline and an acetate ion. The choline is then available for re-uptake into the nerve terminal. These same principles apply to cholinergic transmission at sites other than neuromuscular junctions, although the structure of the synapses differs. In the autonomic nervous system these include nerve-to-nerve synapses at the relay stations (ganglia) in both the sympathetic and the parasympathetic divisions, and the endings of parasympathetic nerve fibres on non-voluntary (smooth) muscle, the heart, and glandular cells; in response to activation of this nerve supply, smooth muscle contracts (notably in the gut), the frequency of heart beat is slowed, and glands secrete. Acetylcholine is also an important transmitter at many sites in the brain at nerve-to-nerve synapses. To understand how acetylcholine brings about a variety of effects in different cells it is necessary to understand membrane receptors. In post-synaptic membranes (those of the cells on which the nerve fibres terminate) there are many different sorts of receptors and some are receptors for acetylcholine. These are protein molecules that react specifically with acetylcholine in a reversible fashion. It is the complex of receptor combined with acetylcholine which brings about a biophysical reaction, resulting in the response from the receptive cell. Two major types of acetylcholine receptors exist in the membranes of cells. The type in skeletal muscle is known as nicotinic; in glands, smooth muscle, and the heart they are muscarinic; and there are some of each type in the brain. These terms are used because nicotine mimics the action of acetylcholine at nicotinic receptors, whereas muscarine, an alkaloid from the mushroom Amanita muscaria, mimics the action of acetylcholine at the muscarinic receptors. Acetylcholine is the neurotransmitter produced by neurons referred to as cholinergic neurons. In the peripheral nervous system acetylcholine plays a role in skeletal muscle movement, as well as in the regulation of smooth muscle and cardiac muscle. In the central nervous system acetylcholine is believed to be involved in learning, memory, and mood. Acetylcholine is synthesized from choline and acetyl coenzyme A through the action of the enzyme choline acetyltransferase and becomes packaged into membrane-boundvesicles. After the arrival of a nerve signal at the termination of an axon, the vesicles fuse with the cell membrane, causing the release of acetylcholine into thesynaptic cleft. For the nerve signal to continue, acetylcholine must diffuse to another nearby neuron or muscle cell, where it will bind and activate areceptorprotein. There are two main types of cholinergic receptors, nicotinic and muscarinic. Nicotinic receptors are located at synapses between two neurons and at synapses between neurons and skeletal muscle cells. Upon activation a nicotinic receptor acts as a channel for the movement of ions into and out of the neuron, directly resulting indepolarizationof the neuron. Muscarinic receptors, located at the synapses of nerves with smooth or cardiac muscle, trigger a chain of chemical events referred to as signal transduction. For a cholinergic neuron to receive another impulse, acetylcholine must be released from the receptor to which it has bound. This will only happen if the concentration of acetylcholine in the synaptic cleft is very low. Low synaptic concentrations of acetylcholine can be maintained via a hydrolysis reaction catalyzed by the enzyme acetylcholinesterase. This enzyme hydrolyzes acetylcholine into acetic acid and choline. If acetylcholinesterase activity is inhibited, the synaptic concentration of acetylcholine will remain higher than normal. If this inhibition is irreversible, as in the case of exposure to many nerve gases and some pesticides, sweating, bronchial constriction, convulsions, paralysis, and possibly death can occur. Although irreversible inhibition is dangerous, beneficial effects may be derived from transient (reversible) inhibition. Drugs that inhibit acetylcholinesterase in a reversible manner have been shown to improve memory in some people with Alzheimers disease. abstract expressionism, movement of abstract painting that emerged in New York City during the mid-1940s and attained singular prominence in American art in the following decade; also called action painting and the New York school. It was the first important school in American painting to declare its independence from European styles and to influence the development of art abroad. Arshile Gorky first gave impetus to the movement. His paintings, derived at first from the art of Picasso, Mir, and surrealism, became more personally expressive. Jackson Pollocks turbulent yet elegant abstract paintings, which were created by spattering paint on huge canvases placed on the floor, brought abstract expressionism before a hostile public. Willem de Koonings first one-man show in 1948 established him as a highly influential artist. His intensely complicated abstract paintings of the 1940s were followed by images of Woman, grotesque versions of buxom womanhood, which were virtually unparalleled in the sustained savagery of their execution. Painters such as Philip Guston and Franz Kline turned to the abstract late in the 1940s and soon developed strikingly original stylesthe former, lyrical and evocative, the latter, forceful and boldly dramatic. Other important artists involved with the movement included Hans Hofmann, Robert Motherwell, and Mark Rothko; among other major abstract expressionists were such painters as Clyfford Still, Theodoros Stamos, Adolph Gottlieb, Helen Frankenthaler, Lee Krasner, and Esteban Vicente. Abstract expressionism presented a broad range of stylistic diversity within its largely, though not exclusively, nonrepresentational framework. For example, the expressive violence and activity in paintings by de Kooning or Pollock marked the opposite end of the pole from the simple, quiescent images of Mark Rothko. Basic to most abstract expressionist painting were the attention paid to surface qualities, i.e., qualities of brushstroke and texture; the use of huge canvases; the adoption of an approach to space in which all parts of the canvas played an equally vital role in the total work; the harnessing of accidents that occurred during the process of painting; the glorification of the act of painting itself as a means of visual communication; and the attempt to transfer pure emotion directly onto the canvas. The movement had an inestimable influence on the many varieties of work that followed it, especially in the way its proponents used color and materials. Its essential energy transmitted an enduring excitement to the American art scene. Science and technology is quite a broad category, and it covers everything from studying the stars and the planets to studying molecules and viruses. Beginning with the Greeks and Hipparchus, continuing through Ptolemy, Copernicus and Galileo, and today with our work on the International Space Station, man continues to learn more and more about the heavens. From here, we look inward to biochemistry and biology. To truly understand biochemistry, scientists study and see the unseen bystudying the chemistry of biological processes. This science, along with biophysics, aims to bring a better understanding of how bodies work from how we turn food into energy to how nerve impulses transmit. Chemistry is a science that explains how salt, something on every table in the world, can be made from sodium and chlorine, two elements that are poisonous to humans. From its beginnings, when Aristotle defined the existence of the atom, to modern chemistry, which combines atomic theory and organic chemistry, this field continues to advance our lives. In technology, youll find many of the things that make life easier today. This includes medical advances like MRI machines, fuel-efficient transportation, portable computing devices, and flat screen televisions. Advances in the field of technology continue to amaze and astound. Modern computing technology is able to communicate wirelessly to the Internet and to other devices advances that have freed computers from desks and made technology and information available to more and more people. Enrico Carusos ascendancy coincided with the dawn of the twentieth century, when the world of opera was moving away from the contrivedbel canto(“beautiful singing”) style, with its emphasis on artifice and vibrato, to averismo(“realism”) approach. The warmth and sincerity of his voiceand personalityshone in this more natural style and set the standard for contemporary greats like Luciano Pavarotti, Placido Domingo, and JosCarreras. Through his exploitation of the nascent phonograph industry, Caruso is also largely responsible for the sweeping interest in opera of the 1910s and20s. And for this, Stanley Jackson wrote in his bookCaruso,he may never be rivaled, for later tenors could not hope to find themselves in a similarly fortuitous position and thus would most certainly“find it more difficult to win such universal affection as the bubbly, warm-hearted little Neapolit