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1、1 2015 年广东省期货从业资格法律法规模拟试题一、单项选择题（共25 题，每题2 分。每题的备选项中，只有一个最符合题意）1、在我国，会员制期货交易所的注册资本出资人是（）。A企业法人B自然人C会员D国有企业2、_的计算方法就是求连续若干天市场价格(通常采用收盘价)的算术平均。A移动平均线B几何平均线C支撑线D压力线3、下列关于期货交易所理事长的说法，不正确的是（）。A理事长的任免，由理事会提名，会员大会通过B理事长不得兼任总经理C主持会员大会、理事会会议是理事长的职权D理事长因故临时不能履行职权的，由理事长指定的副理事长或者理事代其履行职权4、丁某在某期货公司营业部开立账户，从事期货投资
2、。某日，丁某发出以每手1000 元价格卖出白糖合约10 手，但由于该营业部场内交易员小王操作不慎，将丁某卖出指令敲成“买入”，从而导致丁某保证金不足，小王向营业部经理汇报后，给丁某透支了营业部其他客户保证金 3000 元。次日，该白糖合约价格下跌至600 元，交易员小王自作主张卖出5 手白糖合约，将透支的3000 元归还。当日，丁某发现这一事件，即提出索赔。如果丁某要提起诉讼，应当以（）为被告。A期货公司B期货公司营业部C小王D期货公司和小王5、我国的期货交易必须在（）内进行。A期货交易所B商品交易市场C商品产地D买卖双方约定的场所6、期货公司首席风险官的工作底稿和工作记录应当至少保存（）年。
3、A20 B15 C10 D5 7、内幕交易等重大期货违法行为时，经国务院期货监督管理机构主要负责人批准，可以限制被调查事件当事人的期货交易，但限制的时间最多为（）个交易日。A5 B10 2 C20 D30 8、期货经纪公司客户的开户资料应至少保留（）年。A3 B5 C10 D20 9、某企业委托期货公司为其办理期货交易。该企业在某交易日后保证金不足，且未在期货公司规定的时间内及时追加保证金，也没有自行平仓。期货公司在未征求该企业意见的情况下将其合约强行平仓，发生费用为X，同时产生损失Y，则下列说法正确的是（）。A企业承担损失Y，期货公司承担费用X B期货公司承担费用X和损失 Y C企业承担费用
4、X，期货公司承担损失Y D企业承担费用X和损失 Y 10、某期货交易所副总经理欲到该所会员单位的期货公司兼任高级顾问，其向期货交易所总经理报告并申请批准，该总经理（）。A不准许该副总经理兼职B可以批准该副总经理兼职C无权批准该副总经理兼职D可以助其以调用的形式进行兼职11、直接进入期货交易所交易大厅内进行期货交易的，必须是（）。A自然人B国有企业C投机客户D期货交易所会员12、大地期货公司按照规定每季都向保障基金管理机构缴纳后续保障基金，后由于该期货公司工作人员擅自代替客户进行期货交易，给客户造成了15 万元的损失，客户向期货公司提出赔偿请求。根据规定，大地期货公司应当补偿客户（）。A10 万
5、元B14 万元C15 万元D12 万元13、下列关于中国期货业协会的说法，不正确的是（）。A中国期货业协会的权力机构为全体会员组成的会员大会B中国期货业协会的章程由理事会制定C中国期货业协会的章程要报国务院期货监督管理机构备案D中国期货业协会理事会成员通过选举产生14、孙某在期货公司里面连续担任董事长、副总经理分别达5 年、4 年之久，张某已经获得了期货从业人员资格。2008 年由于期货行情稳定，形势良好，该期货公司的资本迅速扩大，达到 1.5 亿元，于是该期货公司开始申请金融期货全面结算会员资格。根据以上情况，回答下列问题：假设该期货公司在经营过程中，2007 年曾经由于严重违规期货交易被当
6、地证监局要求整改，张某受到中国证监会的行政处罚。经整改完成后，证监会检验合格，期货公司欲申请金融期货结算业务资格，假设其他条件均符合规定，中国证监会应当（）。A予以批准文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F
7、5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J1
8、0T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9
9、D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S
10、1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9
11、J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1
12、Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R33 B不予批准C给予其一定考察期限，考察期限内无违法行为的才予以批准D予以批准，但应当限制其结算
13、业务范围15、沪深 300 股指期货合约的交易代码是_。ACU BAL CFU DIF 16、期货公司缴纳的期货投资者保障基金在其（）中列示。A资产B营业成本C资本金D负债17、期货公司董事会拟免除首席风险官职务的，应当向（）报告。A中国证监会B公司住所地中国证监会派出机构C财政部D地方财政局18、法规、政策规定向投资者承诺或保证收益，情节严重的，由中国期货业协会（）A暂停从业人员资格6 个月至 12 个月B撤销期货从业人员资格并在2 年内拒绝受理其从业人员资格申请C撤销期货从业人员资格并在3 年内或永久性拒绝受理其从业人员资格申请D公开通报批评19、期货从业人员执业行为准则（试行）自（）起施
14、行。A2003 年 7 月 1 日B2003 年 7 月 10 日C2008 年 6 月 30 日D2008 年 4 月 30 日20、假定年利率为8%，年指数股息率为1.5%，6 月 30 日是 6 月指数期货合约的交割日。4月 1 日的现货指数为1600 点。又假定买卖期货合约的手续费为0.2 个指数点，市场冲击成本为 0.2 个指数点；买卖股票的手续费为成交金额的0.5%，买卖股票的市场冲击成本为0.6%；投资者是贷款购买，借贷利率为成交金额的0.5%，则 4 月 1 日时的无套利区间是_。A1606，1646 B1600，1640 C1616，1656 D1620，1660 21、期货
15、交易所应当向（）报送财务会计报告。A期货保证金安全存管监控机构B国务院期货监督管理机构C期货公司D非期货公司结算会员22、2 月中旬，豆粕现货价格为2760 元/吨，我国某饲料厂计划在4 月份购进 1000 吨豆粕，决定利用豆粕期货进行套期保值。该厂 _5 月份豆粕期货合约。A买入 100 手文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6
16、ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档
17、编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V
18、8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q
19、6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3
20、文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D
21、5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T
22、4Q6 ZC3E1Z9D4R34 B卖出 100 手C买入 200 手D卖出 200 手23、丁某在某期货公司营业部开立账户，从事期货投资。某日，丁某发出以每手1000 元价格卖出白糖合约10 手，但由于该营业部场内交易员小王操作不慎，将丁某卖出指令敲成“买入”，从而导致丁某保证金不足，小王向营业部经理汇报后，给丁某透支了营业部其他客户保证金 3000 元。次日，该白糖合约价格下跌至600 元，交易员小王自作主张卖出5 手白糖合约，将透支的3000 元归还。当日，丁某发现这一事件，即提出索赔。丁某的损失应当由（）承担。A丁某B小王C期货公司D期货公司和丁某24、期货交易所中层管理人员的任免应报
23、（）备案。A中国期货业协会B本交易所会员大会C本交易所理事会D中国证监会25、（）对期货市场实行集中统一的监督管理。A中国期货业协会B中国证监会C中国证券业协会D国务院期货监督管理机构二、多项选择题（共25 题，每题2 分。每题的备选项中，有多个符合题意）1、大小，过错和损失之间的因果关系，确定过错方承担的民事责任。A期货合同纠纷B期货侵权纠纷C期货违约纠纷D无效的期货交易合同纠纷2、孙某为某期货公司期货从业人员，一日，孙某母亲病重，急需钱用，但是孙某手头拮据，无力支付手术费用，无奈之下，孙某将其代理的客户的保证金代缴手术费。如果客户得知孙某挪用保证金的行为后，向中国证监会反映了孙某的行为，中
24、国证监会有权对孙某采取的措施有（）。A责令改正B监管谈话C纪律惩戒D出具警示函3、下列选项中，关于股票期货的说法，正确的有_。A股票期货是以单只股票或窄基股票指数作为标的物的期货合约B目前全球绝大多数股票期货都是窄基股票期货C股票期货出现于20 世纪 80 年代后期D2001 年 1 月 29 日，美国One Chicago 交易所首次推出以英国、欧洲大陆和美国的蓝筹股为标的物的股票期货交易文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R
25、9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E
26、1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:C
27、H4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE
28、3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC
29、3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码
30、:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8
31、HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R35 4、期货公司申请金融期货经纪业务资格应当具备的条件包括（）。A申请日前2 个月的风险监管指标持续符合规定的标准B具有从事金融期货经纪业务的详细计划C控股股东净资产不低于人民币5000 万元D符合中国证监会期货保证金安全存管监控的规定5、在我国，交割仓库不得有（）行为。A出具虚假仓单B违反期货交易规则，限制交割商品的入库、出库C泄露与期货交易有关的商业秘密D违反国家有关规定参与期货交易6、套期保值者大多是_。A生产商B加工商和库存商C投机商D金融机构7、期货交易所
32、的职责包括（）。A提供交易的场所B设计期货合约C监督期货交易D按照章程和交易规则对会员进行监督管理8、业务活动、财务状况等进行检查。A询问期货公司及其营业部的工作人员，要求其对被检查事项作出解释、说明B查阅、复制与被检查事项有关的文件、资料C查询期货公司及其营业部的期货保证金账户D检查期货公司及其营业部的交易、结算及财务等电脑系统9、期货市场的两大巨头是_。A伦敦国际金融期货交易所B芝加哥商业交易所C芝加哥期货交易所D法国期货交易所10、在实践中，企业识别风险的方法有_。A风险列举法B流程图分析法CVaR方法DCVaR方法11、（）依法对期货市场客户开户实行自律管理。A财政部B中国期货业协会C
33、期货交易所D中国证监会12、期货交易所的工作人员履行职务，遇到与（）有利害关系的情形时，应当回避。A本人B父母C配偶文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9
34、D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S
35、1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9
36、J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1
37、Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH
38、4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3
39、R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R36 D子女13、下列对系统风险的描述正确的是_。A这种风险对投资者来说是不可抗拒的B系统地作用于整个市场C可通过投资组合策略加以控制D是根据风险发生
40、的普通程度划分的14、未决仲裁等或有负债的（）。A性质B涉及金额C可能发生的损失D预计损失的会计处理情况15、期货公司有（）行为的，责令改正，给予警告，没收违法所得，并处违法所得1 倍以上3 倍以下的罚款；没有违法所得或者违法所得不满10 万元的，并处10 万元以上30 万元以下的罚款；情节严重的，责令停业整顿或者吊销期货经纪业务许可证。A接受不符合规定条件的单位或者个人委托的B允许客户在保证金不足的情况下进行期货交易C违反规定从事与期货业务无关的活动的D从事期货自营业务的16、期货公司的董事会除应当行使公司法规定的职权外，还应当履行下列（）职责。A研究制定客户保证金安全存管制度，确保客户保证
41、金存管符合有关客户资产保护和期货保证金安全存管监控的各项要求B研究制定风险管理、内部控制制度C审议并决定客户保证金安全存管制度，确保客户保证金存管符合有关客户资产保护和期货保证金安全存管监控的各项要求D审议并决定风险管理、内部控制制度17、在我国，期货公司应当保证期货（）资料的完整和安全。A交易B结算C交割D价格18、下列表述中，正确的有（）。A期货公司应当加入期货业协会B期货公司应当加入工商企业联合会C中国期货业协会对期货公司进行监督管理D中国期货业协会对期货公司进行自律性管理19、期货从业人员违反期货从业人员执业行为准则（修订），（），予以公开谴责。A情节严重B情节较轻C造成严重后果D未造
42、成严重后果20、甲期货公司共有l0 家营业部，现有净资产5000 万元，资产调整值为100 万元，负债调整值为 200 万元，有两家客户需要追加保证金，但经催告后仍然未足额追加，未足额追加的保证金数额达到1000 万元，该期货公司客户权益总额为10 亿元。根据以上数据，回答下列问题：甲期货公司的情况符合下列（）风险监管指标。文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5
43、V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4
44、Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R
45、3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5
46、D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10
47、T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D
48、4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1
49、F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R37 A净资本最低限额B净资本占客户权益总额的比例C净资本与净资产的比例D净资本按照营业部数量平均结算额21、期货从业人员受到（）的纪律惩戒的，应当参加中国期货业协会组织的专项后续职业培训。A训诫B公开谴责C暂停从业资格D撤销从业资格22、期货公司的期货从业人员不得进行的行为有（）。A代理客户从事期货交易B进行虚假宣传，诱骗客户参与期货交易C收付、存取或划转期货保证金D挪用客户的期货保证金23、风险管理的基本流程包括_。A风险识别B风险的预测和度量C风险控制D风险消除24、商品投资基金的类型有_。A公募期货基金B私募期货基金C个人管理
50、期货账户D集体管理期货账户25、期货交易者是期货市场最基本的主体，包括_。A期货交易所B套期保值者C期货公司D投机者文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9D4R3文档编码:CH4S1F5D5V8 HE3R9J10T4Q6 ZC3E1Z9