This afternoon, the teller of each subsidiary securities company will be rewarded with 100 points.

College degree or above, majoring in economics and computer, typing speed is above 80 words/minute.

This is the recruitment condition of Bi Xia Road Sales Department of United Securities ~ ~ ~

2002 Securities Qualification Examination-Securities Trading Examination Paper

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1. Single-choice questions (this big question * * 60 small questions, 0.5 points for each small question, ***30 points) Of the four options given in the following small questions, only one is the most suitable one. Please black out the corresponding options on the answer sheet, and do not score if you don't.

1. The securities settlement risk fund of China Securities Depository and Clearing Corporation shall not ().

A. Business income from securities registration and clearing companies

B. Extract from the income of the securities registration and clearing company

C. funds withdrawn from the securities registration and clearing company

D. A securities company shall pay according to a certain proportion of the securities trading business volume.

2. According to (), the types of securities trading can be divided into stock trading, bond trading, fund trading and other financial derivatives trading.

A. Transaction scale B. Diversity of transaction objects

C. Nature of the transaction D. trading places

3. The quotation method currently used by Shanghai and Shenzhen Stock Exchanges in China is ().

A. Oral quotation B. Written quotation

C. Computer quotation D. Manual quotation

4. From the content, the warrant has the nature of ().

A. Creditor's rights B. OTC transactions

C. Fund D. Options

5. () is not the role that a securities broker should play.

A.b. Improving the efficiency of the securities market

C. Providing consulting services D. Preventing stock price fluctuations

6. The organizational form of Shenzhen Stock Exchange and Shanghai Stock Exchange belongs to ().

A. Company system B. Membership system

C. Contract system D. Partnership system

7. Provisions of Shanghai and Shenzhen Stock Exchanges on Member Obligations ().

A. Almost the same

C. there is a big difference. D. totally inconsistent

8. In our country, according to the meaning of different kinds of seats, the seats for buying and selling A-share stocks, bonds and funds are called ().

A. Self-operated seats B. Acting seats

C. Ordinary seats D. Special seats

9. Which of the following does not belong to the institutional preventive measures for securities trading risks ()?

A. Full transaction settlement fund system B. Risk reserve system

C. Bad debt provision D. Industry inspection

10. For open-end funds, the buying price and selling price of fund securities can be obtained by adding or subtracting a certain handling fee from the fund ().

A. Net debt B. Net assets

C. Total liabilities D. Total assets

1 1. For securities companies, in terms of risk prevention of securities trading, self-discipline management mainly refers to ().

A. System construction, implementation monitoring and bad debt provision

B. Legislation, internal inspection, post supervision

C. system construction, internal supervision and industry inspection

D. Legislation, implementation monitoring and post supervision

12. Brokerage securities companies in China can only engage in ().

A. Brokerage business B. Self-operated business

C. Underwriting business D. Issuance business

13. In the securities brokerage business, one part of establishing the principal-agent relationship is to open an account, and the other part is ().

A. Subject B. Entrustment

C. Agent D. Objection

14. When opening a capital account for stock trading, () you must keep your ID card, a copy of your securities account card and other relevant information.

A.b. investors

C. representative of securities broker D. staff of stock exchange

15. The period when the New China Stock Exchange appeared was ().

A.20 Early 1980s

C.1late 1980s1early 1990s

16. When a securities company accepts the entrustment of two or more customers and buys and sells securities of the same kind, quantity and price at the same time, it shall conclude the transaction.

A. Self-hedging B. Report the purchase price to the exchange

C. negotiate hedging with customers. D. hedge after reporting to the exchange for approval.

17. The following does not belong to the characteristics of securities brokerage business ().

A. Invariance of transactions B. Confidentiality of customer information

C. the authority of customer instructions D. the intermediary nature of securities brokers

18. Regarding the stock account, the following statement is wrong ().

A. the stock account is an important document to identify the identity of shareholders.

B. the stock account has the legal effect of confirming the identity of shareholders.

C. Opening a stock account is a condition for investors to conduct stock trading.

D anyone who wants to buy or sell stocks can open a stock account.

19. The following persons who are not qualified to open a B-share account are ().

A. Domestic natural person B. Domestic legal person

C. Citizens of China who have settled abroad D. Natural persons in Taiwan Province Province

20. The equity registration in () is the same as that in online pricing or online auction.

A. subscription card issuance method B. issuance method linked to savings bank funds

C. Market value allotment issuance method D. Off-line issuance method

2 1. Under the two-tier custody system, investors can transfer their custody share from one securities business department to another. This process is usually called ().

A. Composite trusteeship B. Double trusteeship

C. Designated guardianship D. Transfer guardianship

22. Regarding the opening of B-share capital accounts by domestic residents, the following statement is wrong ().

A The minimum balance of the account at the time of opening an account is equivalent to $65,438+0,000.

B: First, open an account with your ID card in a securities company, and then transfer money to a foreign exchange deposit bank.

C. foreign currency cash is not allowed.

D. you can use foreign currency cash deposits.

23. The declared price of fund transactions in China is denominated in ().

A. 100 copies B. 1 batch

C. 1 copy D. 1 trading unit.

24. In our country, 5 yuan is not applicable as the starting point of commission collection ().

A. SSE A shares B shares SZSE A shares

C. fund D.B share

25. () refers to the investors to the securities broker entrust instruction, according to the current market price of the stock exchange to buy or sell securities.

A. Quota entrustment B. Market entrustment

C. face-to-face entrustment D. telephone entrustment

26. Investors cannot give orders in the form of ().

A. agency entrustment B. face-to-face entrustment

C. Telephone entrustment D. Letter entrustment