Regarding the rights and obligations of both parties to insurance, which of the following statements is incorrect?

Account opening teller: 1,000 yuan/month

College degree or above in economics or computer science, typing speed of 80 words/minute or above.

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

2002 Securities Practitioner Qualification Examination - Securities Trading Question Book

I , single-choice questions (this major question has 60 questions, each question is 0.5 points, maximum 30 points). Among the 4 options given in the following questions, only one best meets the question requirements. Please put The corresponding options on the answer sheet should be blackened. No marks will be awarded if they are not marked or if they are marked incorrectly.

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

A. Withdraw from the business income of the securities registration and clearing company

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

C. Withdraw from the securities registration and clearing company Withdrawn from the company's capital

D. The securities company pays a certain proportion of the securities transaction volume

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

A. Transaction size B. Type of transaction objects

C. Nature of transaction D. Trading place

3. The current trading methods adopted by my country’s Shanghai and Shenzhen Stock Exchanges The quotation method is ().

A. Verbal quotation B. Written quotation

C. Computer quotation D. Manual quotation

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

A. Debt B. OTC trading

C. Fund D. Options

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

A. Act as a medium for securities buying and selling B. Improve the efficiency of the securities market

C. Provide consulting services D. Prevent stock price fluctuations

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

A. Company system B. Membership system

C. Contract system D. Partnership system

7. The Shanghai and Shenzhen stock exchanges are responsible for their members stipulations of obligations ().

A. Completely consistent B. Approximately the same

C. There is a big difference D. Completely inconsistent

8. In our country, according to the meaning of different types of seats , the seat that will operate the trading of stocks, bonds and funds of type A is called ().

A. Self-operated seats B. Agent seats

C. Ordinary seats D. Special seats

9. Which of the following is not a risk of securities trading? System precautions ().

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

C. Bad debt provision D. Industry inspection

10. For open-end funds That is, by adding a certain handling fee on the basis of the fund (), the buying and selling prices of the fund securities can be obtained.

A. Net liability value B. Net asset value

C. Total liability value D. Total asset value

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

A. System construction, implementation monitoring, and bad debt preparation

B. Law formulation, internal inspection, and subsequent supervision

C. System construction, internal supervision , Industry inspection

D. Law formulation, implementation monitoring, and post-event supervision

12. Brokerage securities companies in my country can only engage in ().

A. Brokerage business B. Proprietary business

C. Underwriting business D. Issuance business

13. In securities brokerage business, the agency-client relationship is established One link is account opening, and the other link is ().

A. Subject B. Entrustment

C. Agent D. Object

14. When opening a capital account to prepare for stock trading, () must retain its Copies of ID card, securities account card and other relevant information.

A. Securities practitioners B. Investors

C. Representatives of securities brokers D. Stock exchange staff

15. New China Securities Trading The period that appears is ().

A. Early 1980s B. Mid-1980s

C. Late 1980s D. Early 1990s

16. When a securities company accepts orders to buy and sell from two or more clients at the same time of the same type, quantity, and price, it should () complete the transaction.

A. Self-hedging B. Reporting to the exchange for bidding

C. Negotiating with the client for hedging D. Hedging after reporting to the exchange for approval

17. Which of the following is not a characteristic of securities brokerage business ().

A. Immutability of transaction items B. Confidentiality of customer information

C. Authoritativeness of customer instructions D. Intermediary nature of securities brokers

18. Regarding stock accounts, which of the following statements is wrong ().

A. The stock account is an important certificate for identifying the identity of the shareholder

B. The stock account has the legal effect of identifying the identity of the shareholder

C. Opening a stock account is A condition for investors to trade stocks

D. Anyone who wants to buy and sell stocks can open a stock account

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

A. Domestic natural persons B. Domestic legal persons

C. Chinese citizens who have settled abroad D. Natural persons in Taiwan

20. Equity registration using () It is the same as the equity registration of online pricing or online bidding issuance method.

A. Subscription certificate issuance method B. Issuance method linked to savings bank funds

C. Market value placement issuance method D. Offline issuance method

21. Under the secondary custody system, investors can transfer their custody shares from one securities business department to another securities business department for custody. This process is usually called ().

A. Compound custody B. Dual custody

C. Designated custody D. Transfer custody

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

A. The minimum balance in the account when opening an account is the equivalent of US$1,000

B. First go to the securities company to open an account with your ID card, and then go to the foreign exchange deposit bank to handle the transfer

C. The use of foreign currency cash is not allowed

D. Foreign currency cash deposits can be used

23. The declaration price of my country's fund transactions is calculated in ().

A.100 shares B.1 lot

C.1 share D.1 trading unit

24. In our country, the commission is 5 yuan. The collection starting point does not apply to ().

A.Shanghai Stock Exchange A shares B.Shenzhen Stock Exchange A shares

C.Fund D.B shares

25. () is when investors send transactions to securities brokers When an order is issued for a certain security, the securities broker is required to buy or sell the security at the current market price on the stock exchange.

A. Limit order B. Market order

C. Face-to-face order D. Telephone order

26. Investors cannot issue orders in the form of ( ) appears in the form.

A. Agency entrustment B. Face-to-face entrustment

C. Telephone entrustment D. Correspondence entrustment

Hope to adopt it

Extended reading: Insurance How to buy, which one is better, and a step-by-step guide to avoid the "pitfalls" of insurance