2017年宁夏省证券从业资格考试：证券公司的治理结构和内部控制结构考试试卷.pdf

2017 年宁夏省证券从业资格考试：证券公司的治理结构和内部控制结构考试试卷本卷共分为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.以下不属于资产配置需要考虑的因素是_。A投资期限B税收考虑C影响投资者风险承受能力和收益要求的各项因素D影响各类资产的风险收益状况以及相关关系的货币市场环境因素2.有一投资者在某日申报债转股500 手，但此转股的初始价格为每股20 元，该可转债可转换成发行公司股票数量为_股。A2500B500C5000D250003._给出了基金经理人的绝对表现，但投资者却无法据此判断基金经理人业绩表现的优劣。A算术平均收益率B几何平均收益率C时间加权收益率D简单(净值)收益率4.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。A1B2C3D45.2006 年 5 月，中国证监会颁布的上市公司证券发行管理方法中首次提出上市公司可以公开发行认股权和债券别离交易的_。A短期融资债券B不动产抵押公司债券C可转换公司债券D附认股权证的公司债券6._的发行人，可视实际情况决定应披露的交易金额，但应在申报时说明。A总资产规模为10 亿元以上B净资产规模为10 亿元以上C总资产规模为5 亿元以上D净资产规模为5 亿元以上7.高收益债券又可以称为_。A垃圾债券B完美债券C无风险债券D贴现债券8.遗传工程、太阳能等行业正处于行业生命周期的_。A幼稚期B成长期C成熟期D衰退期9.财务参谋的工作档案和工作底稿应当真实、准确、完整，保存期不少于年。A5B10C15D2010.其他条件相同时，债券_越小，说明债券的价格波动性越大。A麦考莱久期B基点价格值文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7C价格变动收益率值D久期11.提交中国证监会的法律意见书和律师工作报告应是经_签名，并经该律师事务所加盖公章、签署日期的正式文本。A2 名以上经办律师B3 名以上经办律师和其所在律师事务所的负责人C3 名以上经办律师D2 名以上经办律师和其所在律师事务所的负责人12.有一笔金额为15 万元、资金年收益率为10%的 91 天国债回购，如一年的天数按360 天计算，回购到期时这笔交易的购回资金为_万元。A15.379B16.412C17.312D18.36513.巴塞尔协议规定，开展国际业务的银行必须将其资本对加权风险资产的比率维持在8%以上，其中核心资本至少为总资本的_。A40%B50%C60%D70%14.一般意义上的优先股具有的特点之一是在发行时事先确定。A固定收益额B固定股息率C预期收益率D归还方式15.上海证券交易所规定的国债买断式交易的最小报价变动为_。A0.01B0.001C0.05文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7D0.00516.只有当证券投资的名义收益率_时，投资者才有实际收益。A小于通货膨胀率B大于通货膨胀率C等于通货膨胀率D不等于通货膨胀率17.以下关于有价证券的说法错误的选项是_。A本身没有价值B持有者可凭此获得一定的收入C是实际资本的一种形式D是分配和筹措资金的手段18.下面有关证券交易方式的论述，不正确的选项是_。A拍卖和标购是信用交易的两种具体方式B回转交易当天成交的证券可以立即做反向交易C拍卖和标购是证券交易所大批交易的两种竞价方式D特种交易是指同一种上市证券买卖数额很大的交易19.通常情况下，相比较而言，以下因素更值得投资者重视的是_。A资产重估与资产处置B稳定持久的主营业务利润C财政补贴D会计政策变更20.上市公司在每一会计年度结束之日起_个月内向中国证监会和证券交易所报送年度财务会计报告，在每一会计年度前6 个月结束之日起_个月内向中国证监会派出机构和证券交易所报送半年度财务会计报告。_A3；2B3；3C4；2D4；3文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K721.企业破产，其资产评估适合采用_。A重置成本法B清算价格法C收益现值法D现行市价法22.根据证券质押式回购的特点，一笔债券质押式回购交易涉及_。A一个交易主体，一次交易契约B两个交易主体，两次交易契约C一个交易主体，两次交易契约D两个交易主体，一次交易契约23.关于影响股票投资价值的因素，以下说法错误的选项是_。A从理论上讲，公司净资产增加，股价上涨；净资产减少，股价下跌B在一般情况下，股利水平越高，股价越高；股利水平越低，股价越低C在一般情况下，预期公司盈利增加，股价上涨；预期公司盈利减少，股价下降D公司增资一定会使每股净资产下降，因而促使股价下跌24.公司型基金和契约型基金的区别，以下不包括_。A资金的性质B基金的营运依据C基金的申购程序不同D投资者的地位25.上海证券交易所规定的国债买断式交易的最小报价变动为_。A0.01B0.001C0.05D0.00526.在市场繁荣期，成功的择时能力表现为基金的现金比例或持有的债券比例应该_。A先大后小文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7B先小后大C较大D较小27.加强指数法与积极型股票投资策略之间的显著区别在于_。A投资管理方式不同B风险控制程度不同C收益率不同D交易成本和管理费用不同28.以下可以列入集合资产管理计划费用的是_。A集合资产管理计划推广期间的费用B管理人和托管人未履行义务导致的费用支出C集合资产管理计划资产的损失D集合资产管理计划运作期间发生的费用29.根据我国公司法的规定，以下不属于股份董事会行使的职权是_。A制定公司的经营方针和投资方案B制定公司的基本管理制度C执行股东大会的决议D对公司发行债券作出决议30.证券公司申请取得股票承销商的资格，在净资产方面应该满足的条件是净资产不低于人民币 _万元。A5000B1000C30000D1000031.在我国，根据 证券投资基金管理暂行方法的规定，封闭式基金的设立主体主要为。A基金持有人B基金发起人C基金管理人D基金托管人文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K732.以下各环节起到了投资者教育作用的是_。A开立证券账户B签订证券交易委托代理协议C签署风险揭示书和客户须知D签订客户交易结算资金第三方存管协议33.按照 _，在一个有效的市场中，市场投资组合(即整个市场)为每单位风险提供了最大的收益。ACAPMB组合管理理论CAPTD多因素模型34.发行人应披露交易金额在_万元以上，或虽未到达但对生产经营活动、未来发展或财务状况具有重要影响的合同内容。A100B200C300D50035.我国证券分析师的自律组织是_。A中国证监会B中国证券业协会C中国证券业协会证券分析师专业委员会D证券交易所投资分析师协会36.根据我国公司法的有关规定，公司提取法定公积金的标准是。A按税后利润的10%提取B按利润总额的10%提取C按税后利润的5%-10%提取D按未分配利润的10%提取文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K737.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38.由证券公司办理的证券发行称为_。A私募发行B公募发行C自办发行D承销发行39.贴水出售的债券的到期收益率与该债券的票面利率之间的关系是_。A到期收益率等于票面利率B到期收益率大于票面利率C到期收益率小于票面利率D无法比较40.将一部分资金投资于无风险资产从而保证资产组合的最低价值的前提下，将其余资金投资于风险资产并随着市场的变动调整风险资产和元风险资产的比例，同时不放弃资产升值潜力的一种动态调整策略是_。A战略性资产配置B恒定混合策略C战术性资产配置D投资组合保险策略41.我国的一次还本付息债券可视为_。A附息债券B无息债券C贴现债券D都不正确42.是指通过对基金所拥有的全部资产及所有负债按一定的原则和方法进行估算，进而文档编码:CN10A3U4D7V7 HP7E6L4F2B1 ZI6X2Z1R7K7文档编