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1、2017 年上半年湖南省证券从业资格考试：证券市场的自律管理考试试题本卷共分为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.（）指基金在证券交易所和银行间市场之外所涉及的资金清算，包括申购、增发新股、支付基金相关费用以及开放式基金的申购与赎回等的资金清算。A场外资金清算B全国银行间债券市场交易资金清算C交易所交易资金清算D场内资金清算2.在下列指标的计算中，唯一没有用到收盘价的是_ AMACD BBIAS CRSI DPSY 3.中央银行在证券市场上买卖有价证券是在开展它的_业务。A政
2、策性B投融资C保值D公开市场操作4.下列关于证券经纪商的说法中，不正确的是_。A指接受客户委托、代客买卖证券并以此收取佣金的中间人B与客户是委托代理关系C必须遵照客户发出的委托指令进行证券买卖D承担交易中的价格风险5.如果某可转换债券面额为1000 元，规定其转换比例为40，则转换价格为_元。A5 B25 C50 D100 6._是一种在交易所上市交易的、基金份额可变的基金运作方式。A指数型基金BLOF 基金C开放式基金DETF 基金7.首次公开发行股票并在创业板上市的，其发行人在盈利能力方面应符合的要求有_。A最近 1 年营业收入不少于5000 万元B最近 1 年盈利，且净利润不少于300
3、万元C最近两年净利润累计不少于2000 万元，且持续增长D最近两年营业收入增长率均不低于20%8.取得自营业务资格的证券公司应当设专人和专用的交易终端从事自营业务，不得因自营业务影响经纪业务，这反映了_原则。A时间优先B价格优先C会员优先D客户优先9.公司以应付票据等债务凭证作为股息，称之为_。A股票股息B财产股息C负债股息D建业股息10.基金估值时，其所持有的配股权证，从配股除权日起到配股确认日止（）。A按市价高于配股价的差额估值B按该股的市价估值C按配股价估值文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5
4、C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:C
5、B6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5
6、C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:C
7、B6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5
8、C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:C
9、B6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5
10、C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6D暂不估值11.向四大国有商业银行定向发行的是（）。A长期建设国债B特别国债C记账式国债D凭证式国债12.公开募集证券说明书所引用的审计报告、盈利预测审核报告、资产评估报告、资信评级报告，应当由有资格的政权服务机构出具，并有至少_名有从业资格的人员签署。A1 B2 C3 D4 13.金融期货交易结算所实行的每日清算制度是一种（）。A有资产的结算制度B无资产的结算制度C无负债的结算制度D有负债的结算制度14.（）原则是公司内部部门和岗位的设置应当权责分明，相互制衡。A有效性B独立性C相互制
11、约D健全性15.对指数基金认识正确的是_。A由于指数基金的投资非常分散，可以完全消除投资组合的系统风险B指数基金是20 世纪 90 年代以来出现的新的基金品种C投资组合模仿某一股价指数或债券指数，当价格指数上升时，基金收益减少D对于投资者尤其是机构投资者来说，指数基金是他们避险套利的重要工具文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7
12、V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9
13、K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7
14、V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9
15、K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7
16、V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9
17、K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K616.长期政府债券的利率比短期政府债券利率高，这是对_的补偿。A信用
18、风险B通胀风险C利率风险D政策风险17.下列基金类别中，_的管理费率最高。A证券衍生工具基金B货币市场基金C股票基金D债券基金18.基金资产净值是指_。A基金资产总值除以基金总份额后的价值B基金资产总值减去基金管理费后的价值C基金资产总值减去负债后的价值D基金资产总值减去基金管理费和基金托管费后的价值19.证券公司应按上一年营业费用总额的_计算营运风险的风险准备。A5%B10%C15%D20%20.在回购交易中，标准品种只分_。A券种B回购期限C债券利率D债券价格21.可转换证券实际上是一种普通股票的_ A长期看涨期权B长期看跌期权文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR
19、9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C
20、2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR
21、9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C
22、2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR
23、9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C
24、2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR
25、9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6C短期看涨期权D短期看跌期权22.当通货膨胀在一定的可容忍范围内持续时，股价将_。A快速上升B加速下跌C持续上升D大幅波动23.根据相关规定，目前我国证券公司向客户收取的佣金不得高于证券交易金额的_。A百分之三B千分之三C百分之五D千分之五24.关于上海证券交易所推出的大宗交易系统专场业务，以下说法错误的是_。A2008 年 5 月推出B只能由股份持有者发起出售需求C由证券交易所组织专场D由中国结算公司完成结算25.对
26、指数基金认识正确的是_。A由于指数基金的投资非常分散，可以完全消除投资组合的系统风险B指数基金是20 世纪 90 年代以来出现的新的基金品种C投资组合模仿某一股价指数或债券指数，当价格指数上升时，基金收益减少D对于投资者尤其是机构投资者来说，指数基金是他们避险套利的重要工具26._主要投资于可带来现金收入的有价证券，以获取当期的最大收入为目的。A成长型基金B平衡型基金C收入型基金D货币型基金文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P
27、6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编
28、码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P
29、6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编
30、码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P
31、6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编
32、码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P
33、6B5C7 ZR9Q7V6V1K627.证券经纪业务营销人员职业道德建设的根本、市场经济的基本原则是_。A客户至上B公平竞争C勤勉尽责D友好合作28.为了满足投资者中途抽回资金、实现变现的需要，_一般在基金资产中保持一定比例的现金。A封闭式基金B开放式基金C国债基金D股票基金29.要通过股票组合取得更好的非系统风险的效果，应当（）。A选择同一行业的股票B选择每股收益差别很大的股票C选择不同行业的股票D选择相关性较差的股票30.充抵保证金的有价证券，在计算保证金金额时应当以证券市值按一定折算率进行折算，其中折算率最高的是_。A上证 180 指数成分股股票B交易所交易型开放式指数基金C国债D深证
34、100 指数成分股股票31.下列说法正确的是_ A分散化投资使系统风险减少B分散化投资使因素风险减少C分散化投资使非系统风险减少D分散化投资既降低风险又提高收益32.下列关于客户开立资金账户程序的说法中，错误的是_。文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9
35、Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2
36、F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9
37、Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2
38、F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9
39、Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2
40、F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6A证券营业部为客户开立资金账户应严格遵守“实名制”原则B客户须持有效身份证明文件或法人合法证件，以客户本人名义开立C客户可以通过证券公司网上营业
41、部开立资金账户D资金账户应与客户开立的各类证券账户、在存管银行开立的结算账户名称一致、名实相符33.某公司发行认股权证，规定在债券到期前的5 年时间内，每5 个认股权证可按15 元的执行价格来购买1 股该公司普通股票。那么，当普通股价格为30 元时，认股权证的价值等于_元。A1 B2 C3 D4 34.通常情况下，_，赎回的期权价值就越大，越有利于发行人。A赎回期限越短、转换比率越低、赎回价格越低，B赎回期限越长、转换比率越高、赎回价格越低C赎回期限越长、转换比率越低、赎回价格越高D赎回期限越长、转换比率越低、赎回价格越低35.我国的国际储备主要是外汇储备和_。A黄金储备B特别提款权C在 IM
42、P 的储备头寸D美元36.金融衍生工具交易一般只需要支付少量的保证金或权利金就可签订远期大额合约或互换不同的金融工具。这体现了金融衍生工具的_特征。A跨期性B杠杆性C联动性D不确定性或高风险性37.上市公司通过_形式向投资者披露其经营状况的有关信息。文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K
43、7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V
44、6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K
45、7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V
46、6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K
47、7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V
48、6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6A年度报告B中期报告C临时报告D以上都是38.基金管理公司开展特定客户资产管理业务时的管理费率、托管费率不得低
49、于同类型或相似类型投资目标和投资策略的证券投资基金管理费率、托管费率的_。A50%B60%C70%D80%39.截止到 2005 年底，在证券交易所挂牌交易的权证有_只。A3 B1 C7 D920 40.下列关于无记名股票阐述，不正确的是_。A无记名股票转让相对简便B无记名股票安全性较差C无记名股票认购股票时可以分次缴纳出资D无记名股票认购股票时要求一次缴纳出资41.某上市公司发行普通股1000 万股，每股面值1 元，每股发行价格5 元，支付手续费20万元，支付咨询费60 万元，该公司普通股本的会额为（）元。A1000 万B4920 万C4980 万D500 万42.债券质押式回购交易，是指正
50、回购方在将债券出质给逆回购方融入资金的同时，双方约定在将来某一指定日期，由正回购方按_计算的资金额向逆回购方返回资金，逆回购方向正回购方返回原出质债券的融资行为。文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI2R9P6B5C7 ZR9Q7V6V1K6文档编码:CB6G4C2F9K7 HI