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1、精选优质文档-倾情为你奉上2017年河南省证券从业金融市场：短期融资融券考试题一、单项选择题（共 25题，每题2分，每题的备选项中，只有1个事最符合题意） 1、公司应当自作出减少注册资本决议之日起_日内通知债权人，并于_日内在报纸上公告。_A10 20B10 30C20 30D15 30 2、在公司证券中，通常将银行及非银行金融机构发行的证券称为_。A股票B公司债券C商业票据D金融证券3、在我国，国债回购有不同的品种和相应的名称，其中名称为GC003表示_。A3年期国债B3天回购C3个月回购D利息率为3% 4、根据相关规定，分管融券融资业务的高级管理人员不得兼管_。A财务部门B业务稽核部门C风
2、险监控部门D自营部门5、为证券的发行、上市或证券交易活动出具审计报告、资产评估报告或法律意见书锦艾件的专业机构和人员，对其所出具报告负有责任的部分承担（）。A按份责任B刑事责任C民事责任D连带责任 6、关于资本市场线，下列叙述错误的是_。A资本市场线反映的是有效资产组合的期望收益率与风险程度之间的关系B资本市场线上的各点反映的是单项资产或任意资产组合的期望收益与风险程度之间的关系C资本市场线反映的是资产组合的期望收益率与其全部风险间的依赖关系D资本市场线上的每一点都是一个有效资产组合 7、积极的债券组合管理策略不包括_。A水平分析B多重负债下的组合免疫策略C债券互换D应急免疫 8、在我国，_负
3、责证券行业性法规的起草。A上市公司B证券交易所C中国证监会D证券业协会 9、进入21世纪，场外交易衍生产品快速发展以及新兴市场金融创新热潮也反映了金融创新进一步深化的特点。在场外市场中，以各类_为代表的非标准交易大量涌现。A奇异型期权B巨灾衍生产品C天气衍生金融产品D能源风险管理工具 10、对于优先股，下列表述正确的有_。A优先股票兼有债券的若干特点，它在发行时事先确定一种固定的股息率，就像债券的利息率事先固定一样B优先股票作为一种股权证书，代表着对公司的所有权，这点与普通股票一样，但优先股股东又不具备普通股股东所具有的基本权利，它的有些权利是优先的，有些权利又受到限制C对股份公司而言，发行优
4、先股票可以筹集长期稳定的公司股本，减轻公司利润的分派负担，避免公司经营决策权的改变和分散D对投资者而言，风险相对较大11、基金资金账户的管理不包括_。A资金账户的开立B资金账户的更名C资金账户的销户D资金账户的预留印鉴 12、公司通过配股融资后，_。A净资产增加B负债将减少C资产负债率将上升D权益负债比率不变 13、下列不属于基金持仓结构分析的是_。A基金持仓股本规模B股票投资占基金净值的比例C债券投资占基金资产净值的比例D某行业投资占股票投资的比例14、在一个有效的股票市场上_。A存在价值高估B既没价值高估，也没价值低估C存在价值低估D既有价值高估，也有价值低估 15、证券经纪公司和证券投资
5、者在代理委托关系中建立的环节为_。A开户和证券交易过户B开户和签订证券协议C证券交易过户和签订证券协议D开户和接受具体委托 16、证券公司自营买卖业务的首要特点为_。A决策的自主性B交易的风险性C收益的不稳定性D买卖的随意性 17、分解、组合和整合技术都是对金融工具的结构进行整合，其共同优点在于_。A成熟、稳定B针对性和固定性C灵活、多变和应用面广D步骤的科学性 18、证券质押式回购是参与者进行的以债券为权利质押的短期_。A套期保值业务B资金融通业务C调节头寸业务D信用规范业务 19、A股账户按持有人可以分为：自然人证券账户、_、证券公司和基金管理公司等机构证券账户。A特殊机构证券账户B交易所
6、证券账户C一般机构证券账户D国有企业证券账户 20、对个人投资而言，（）是影响资产配置的最主要因素。A个人的生命周期B性格C资产负债状况D风险偏好 21、所谓内幕信息，是指在证券交易活动中，涉及公司的经营、财务或对该公司证券的市场价格有重大影响的尚未公开的信息。下列上市公司尚未公开的信息中，不属于内幕信息的是_。A公司将营业用主要资产的20%进行一次性出售B公司收购的有关方案C公司债务担保发生重大变更D公司的股利分配计划和增资计划 22、Earthquakes are the most lethal of all natural disasters. What causes them Geol
7、ogists 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 floo
8、rs 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
9、 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 earthquak
10、es 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 stru
11、ck 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
12、, 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 be
13、en 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
14、 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
15、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 d
