北京2017年上半年证券从业资格考试证券公司的治理结构和内部控制结构考试题

北京2017年上半年证券从业资格考试：证券公司的治理结 构和内部控制结构考试题 本卷共分为1大题50小题，作答时间为180分钟，总分100分，60分及格。 一、单项选择题（共50题，每题2分。每题的备选项中，只有一个最符合题意） 1.发行公司债券，首期发行数量应当不少于总发行数量的_，剩余各期发行的数量由公司自行确定，每期发行完毕后_个工作日内报中国证监会备案。（） A25%；3 B25%；5 C50%；3 D50%；5 2.中国证监会自收到开放式基金管理人验资报告和基金备案材料之日起_个工作日内予以书面确认。 A3 B5 C10 D15 3.发审会后至发行前期间，如果发行人公布了新的重大事项临时公告，保荐人（主承销商）、律师应在（）个工作日内，向中国证监会报送会后重大事项说明或专业意见。 A2 B5 C7 D10 4.上海证券交易所的分类股价指数包括_五大类。 A工业、商业、地产业、公用事业和综合 B工业、商业、金融业、公用事业和综合 C工业、商业、地产业、运输业和综合 D工业、商业、地产业、公用事业、运输业 5. 中央政府债券的发行主体是（）。 A证监会 B国务院 C中央银行 D财政部 6. 投资者向证券经纪商发出买卖证券的委托指令时，要求证券经纪商按证券交易所内当时的市场价格买卖证券的委托方式为_。 A限价委托 B特价委托 C市价委托 D当面委托 7. 目前，财政部在上海、深圳证券交易所和银行间债券市场上以_方式发行记账式国债。 A承购包销 B行政分配 C承购代销 D公开招标 8. 债券代表其投资者的权利，这种权利称为_。 A债权 B资金使用权 C财产支配权 D资产所有权 9. 在证券交易中，涨跌幅的计算公式是_。 A涨跌幅价格=当日开盘价(1+ -涨跌幅比例) B涨跌幅价格=前日收盘价(1+ -涨跌幅比例) C涨跌幅价格=前日开盘价(1+ -涨跌幅比例) D涨跌幅价格=前日平均价(1+ -涨跌幅比例) 10. 1952年，_发表了一篇题为证券组合选择的论文，这篇著名的论文标志着现代证券组合理论的开端。 A哈理马柯威茨 B威廉夏普 C史蒂芬罗斯 D詹森 11. 证券市场按照证券进入市场的顺序，可以分为_。 A发行市场与流通市场 B场外市场与交易所市场 C主板市场与二板市场 D二板市场与三板市场 12. 全国银行间市场质押式回购成交合同的内容_。 A由正回购方决定 B由中国人民银行统一制定 C由逆回购方决定 D由回购双方约定 13. 关于红筹股描述不正确的是_。 A红筹股不属于外资股 B红筹股是指在中国境外注册、在香港上市但主要业务在中国内地或大部分股东权益来自中国内地的股票 C红筹股已经成为内地企业进入国际资本市场筹资的一条重要渠道 D红筹股属于境外上市外资股 14. _是为投资额较大的个人投资者和机构投资者提供的最具个性化的服务。 A邮寄服务 B自动传真、电子信箱与手机短信 C“一对一”专人服务 D座谈会 15. Earthquakes are the most lethal of all natural disasters. What causes them Geologists explain them in terms of a theory known as plate tectonics. Continents are floating apart from each other, this is referred to as the continental drift. About sixty miles below the surface of the sea, there is a semimolten bed of rock over which plates, or slabs, carry continents and sea floors at a rate of several inches a year. As the plates separate from each other, a new sea floor is formed by the molten matter that was formerly beneath. Volcanic islands and large mountain ranges are created by this type of movement. The collision of plates causes geological instability such as that in California called the San Andreas Fault, located between the Pacific and North American plates. The plates there are constantly pushing and pulling adjacent plates, thereby creating constant tremors and a potential for earthquakes in the area.Geologists would like to be able to predict earthquakes accurately. Using laser beams, seismographs, gravity-measuring devices, and radio telescopes, they are presently studying the San Andreas Fault to determine the rate of strain and the amount of ground slippage. Calculations indicate that sometime within the next ten years, California will be struck by a major earthquake.In spite of the geologists’ theory of plate tectonics, there are still gaps in man’s understanding and knowledge of the causes of earthquakes. Powerful earthquakes have occurred in places where plate boundaries are hundreds of miles away. In the 1800s, New Madrid, Missouri and Charleston, South Carolina, were shaken by earthquakes that no one had foreseen.Certain areas of the world are quake prone. Italy, Yugoslavia, and Algeria have experienced many quakes. In November 1980, Naples was struck by an especially devastating quake. China and Japan have also been hit by horrendous quakes. In 1923, Tokyo and Yokohama were reduced to rubble by gigantic tremors that were followed by fires, tornadoes, and finally a thirty-four-foot tsunami, or tidal wave, which was caused by the earth’s drop into the waters of Tokyo Bay. More than 150,000 people died in that earthquake.What effects have geologists’ predictions of earthquakes had The Chinese in Haicheng in 1974 were warned that an earthquake might occur within the next year or two. With the help of amateur seismologists’ observations of animal behavior and the rise and fall of water in wells and measurements of quantities of radioactive gas in water, professional geologists were able, in January 1975, to predict an earthquake within the next six months. On February 4, Haicheng was destroyed, but because its residents have been evacuated, very few people were killed. In California, where earthquake is an ever present menace, building codes now require quakeproof structures, and Civil Defense units have intensified their training in how to deal with disaster should it strike or, perhaps more accurately, when it strikes. Should predictions of a quake within the next ten years be accurate, many Californians may be able to save both their lives and their property.Geologists are using modern technology to (). Ahelp predict earthquakes Benhance their reputations Cmeasure the accuracy of earthquakes Dcontrol ground slippage 16. 由于内部融资无须直接支付相关的资金使用费，所以内部融资的成本主要是_。 A机会成本 B沉没成本 C资金使用成本 D会计审计成本 17. 证券公司监督管理条例规定，证券公司解聘合规负责人，应当有正当理由，并自解聘之日起_个工作日内将解聘的事实和理由书面报告国务院证券监督管理机构。 A1 B2 C3 D4 18. 有一投资者在某日申报债转股500手，但此转股的初始价格为每股20元，该可转债可转换成发行公司股票数量为_股。 A2500 B500 C5000 D25000 19. 操纵证券、期货交易价格，获取不正当利益或者转嫁风险，情节严重的，处_年以下有期徒刑或者拘役，并处或者单处违法所得1倍以上5倍以下罚金。 A2 B3 C4 D5 20. 股东在取得固定的股息以后，又从股份有限公司领取的利益。称之为_。 A红利 B资本增值收益 C股票股息 D资本利得 21. 证券公司在接到客户委托后，应尽快地按规定程序向交易所进行申报，这里所体现的经纪业务原则是_。 A合法原则 B效率原则 C公平原则 D公正原则 22. 以下不属于经营战略具有的特征为_。 A全局性 B长远性 C纲领性 D精确性 23. 若某上市公司股票是预备交换股票，则该上市公司最近一期末的净资产应不低于人民币_元。 A5000万 B1亿 C10亿 D15亿 24. 对于企业负债，一般规定偿还期在_年以上的借款为长期负债。 A1 B2 C3 D5 25. Earthquakes are the most lethal of all natural disasters. What causes them Geologists explain them in terms of a theory known as plate tectonics. Continents are floating apart from each other, this is referred to as the continental drift. About sixty miles below the surface of the sea, there is a semimolten bed of rock over which plates, or slabs, carry continents and sea floors at a rate of several inches a year. As the plates separate from each other, a new sea floor is formed by the molten matter that was formerly beneath. Volcanic islands and large mountain ranges are created by this type of movement. The collision of plates causes geological instability such as that in California called the San Andreas Fault, located between the Pacific and North American plates. The plates there are constantly pushing and pulling adjacent plates, thereby creating constant tremors and a potential for earthquakes in the area.Geologists would like to be able to predict earthquakes accurately. Using laser beams, seismographs, gravity-measuring devices, and radio telescopes, they are presently studying the San Andreas Fault to determine the rate of strain and the amount of ground slippage. Calculations indicate that sometime within the next ten years, California will be struck by a major earthquake.In spite of the geologists’ theory of plate tectonics, there are still gaps in man’s understanding and knowledge of the causes of earthquakes. Powerful earthquakes have occurred in places where plate boundaries are hundreds of miles away. In the 1800s, New Madrid, Missouri and Charleston, South Carolina, were shaken by earthquakes that no one had foreseen.Certain areas of the world are quake prone. Italy, Yugoslavia, and Algeria have experienced many quakes. In November 1980, Naples was struck by an especially devastating quake. China and Japan have also been hit by horrendous quakes. In 1923, Tokyo and Yokohama were reduced to rubble by gigantic tremors that were followed by fires, tornadoes, and finally a thirty-four-foot tsunami, or tidal wave, which was caused by the earth’s drop into the waters of Tokyo Bay. More than 150,000 people died in that earthquake.What effects have geologists’ predictions of earthquakes had The Chinese in Haicheng in 1974 were warned that an earthquake might occur within the next year or two. With the help of amateur seismologists’ observations of animal behavior and the rise and fall of water in wells and measurements of quantities of radioactive gas in water, professional geologists were able, in January 1975, to predict an earthquake within the next six months. On February 4, Haicheng was destroyed, but because its residents have been evacuated, very few people were killed. In California, where earthquake is an ever present menace, building codes now require quakeproof structures, and Civil Defense units have intensified their training in how to deal with disaster should it strike or, perhaps more accurately, when it strikes. Should predictions of a quake within the next ten years be accurate, many Californians may be able to save both their lives and their property.Geologists are using modern technology to (). Ahelp predict earthquakes Benhance their reputations Cmeasure the accuracy of earthquakes Dcontrol ground slippage 26.某B股最后交易日的收盘价为0.800美元/股，每股红利为0.005美元/股，股权登记日收盘价为0.799美元/股，则该股除息报价为_美元/股。 A0.800 B0.799 C0.795 D0.794 27.保险公司次级债务的偿还只有在确保偿还次级债本息后偿付能力充足率_的前提下，募集人才能偿付本息。 A不低于100% B不高于100% C不低于50% D不高于50% 28._在股票市场上涨时提高股票投资比例，而在股票市场下跌时降低股票投资比例，从而既保证资产组合的总价值不低于某个最低价值，同时又不放弃资产升值潜力。 A动态资产配 B买入并持有策略 C投资组合保险策略 D变动混合策略 29.基金管理公司的筹建和开业须经_批准。 A中国证监会 B证券交易所 C中国证券业协会基金业委员会 D国家工商管理局 30. 我国货币市场基金投资组合的平均剩余期限不得超过_天。 A90 B180 C270 D360 31. 对于股份有限公司申请股票在主板市场上市应当符合的条件，阐述错误的是_。 A股票经国务院证券监管管理机构核准已向社会公开发行 B公开发行的股份达公司股份总数的25%以上；公司股本总额超过人民币4亿元的，公开发行股份的比例为10%以上 C公司股本总额不少于人民币3000万元 D公司在最近3年无重大违法行为，财务会计报告无虚假记载 32. 股息的来源是公司的_。 A税前利润 B税后利润 C所有利润 D公积金转增收益 33. 做市商在其所报的价位上接受投资者的买卖要求，以（）与投资者交易，并赚取（）。 A自有资金或证券；手续费收入 B客户资金或证券；手续费收入 C自有资金或证券；买卖证券的差价 D客户资金或证券；买卖证券的差价 34. 以下不属于社会公益基金的是_。 A福利基金 B养老保险基金 C科技发展基金 D教育发展基金 35. 公司的法定代表人为_。 A董事长 B总经理 C董事会指定 D公司章程规定 36. 在下列几种股票价格中，道氏理论认为最重要的是_。 A开盘价 B收盘价 C全天最高价 D全天最低价 37. 甲是某证券公司的经理，与乙是好友，一日甲邀请乙带家人到他家作客，乙来到甲的书房无意间看到甲的公司文件，发现有一股票将会使其大大获利，于是偷偷记下了这个股票名称，第二天进行该交易获利10万元，则甲的行为_。 A不构成犯罪 B构成内幕交易罪 C构成泄露内幕信息罪 D构成侵犯商业秘密罪 38. 上市公司并购重组中，因国有股行政划转或者变更、在同一实际控制人控制的不同主体之间转让股份、继承取得上市公司股份超过（）的，收购人可免于聘请财务顾问。 A10% B20% C25% D30% 39. 根据证券公司从事代办股份转让主办券商业务资格管理办法(试