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2020年证券从业资格考试证券市场基本法律法规试题一.pdf

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1、2020 年证券从业资格考试证券市场基本法律法规试题一2019 年证券从业资格考试证券市场基本法律法规试题一一、选择题(共 50 题，每小题 1 分，共 50 分)以下备选项中只有一项符合题目要求，不选、错选均不得分。(1)2008 年 4 月 12 日，中国人民银行颁布了()，并于 4 月 15 日正式施行。A:短期融资券管理办法B:短期融资券承销规程C:银行间债券市场非金融企业债务融资工具管理办法D:短期融资券信息披露规程答案:C解析:略(2)保荐机构应对招股说明书验证，并在验证文件与()之间建立索引关系。A:发行保荐工作报告B:工作底稿C:发行保荐书D:尽职调查报告答案:B解析:证券发行

2、上市保荐业务工作底稿指引第11 条规定，保荐机构应当对招股说明书进行验证，并按照本指引的要求在验证文件与工作底稿之间建立起索引关系。(3)遵循()原则。制定了解客户的制度和流程，对“荐股软件”产品进行分类分级，并向客户揭示产品的特点及风险.将合适的产品销售给适当的客户。A:客户适当性B:客户公平性C:客户公开性D:客户公正性答案:A解析:遵循客户适当性原则，制定了解客户的制度和流程，对“荐股软件”产品进行分类分级，并向客户揭示产品的特点及风险.将合适的产品销售给适当的客户。(4)根据证券法规定，证券公司设立分支机构，必须经()批准。A:中国人民银行B:当地政府C:财政部D:国务院证券监督管理机

3、构答案:D解析:根据证券法规定，证券公司设立分支机构，必须经国务院证券监督管理机构的批准(5)下列选项中.可以作为合伙企业中普通合伙人的是()。A:上市公司B:有限责任公司C:国有独资公司文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:C

4、U2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5

5、I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:C

6、U2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5

7、I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:C

8、U2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5

9、I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1D:国有企业答案:B解析:国有独资公司、国有企业、上市公司以及公益性的事业单位、社会团体不得成为普通合伙人。(6)财务顾问的工作档案和工作底稿应当真实、准确、完整，保存期不

10、少于()年。A:1B:5C:10D:20答案:C解析:财务顾问的工作档案和工作底稿应当真实、准确、完整，保存期不少于 10 年。(7)根据证券投资基金行业高级管理人员任职管理办法及有关规定，出现下列哪一种情况时需要基金托管银行进行离任审计?()A:基金管理公司督察长离任B:基金托管部门高级管理人员离任C:基金管理公司董事长和总经理离任D:基金经理离任答案:B解析:基金管理公司进行离任审计、离任审查的情况有：(1)基金管理公司董事长、总经理离任的，公司应当立即聘请具有从事证券相关业务资格的会计师事务所进行离任审计;(2)基金管理公司副总经理、督察长、基金经理离任的，公司应当立即对其进行离任审文档

11、编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2

12、G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档

13、编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2

14、G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档

15、编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2

16、G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档

17、编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1查;(3)基金托管部门高级管理人员离任的。基金托管银行应当立即对其进行离任审查。(8)根据中华人民共和国公司法的规定，公司股东依法享有的权利不包括()。A:资产收益B:选择管理者C:批准破产D:参与重大决策答案:C解析:根据中华人民共和国公司法的规定，公司股东依法享有资产收益、参与重大决策和选择管理者等权利。(9)下列关于证券市场法律法规层次的表述中，错误的是(

18、)。A:现行证券市场法律主要包括证券法证券投资基金法公司法及刑法B:中国证券业协会制定的自律性规则属于证券市场法律、法规的第四个层次C:共分为四个层次D:证券公司监督管理条例和证券公司风险处置条例属于部门规章答案:D解析:证券公司监督管理条例和证券公司风险处置条例属于行政法规。(10)保荐机构应当对招股说明书进行验证，并在验证文件与()之间建立索引关系。A:尽职调查报告文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1

19、H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5

20、X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1

21、H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5

22、X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1

23、H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5

24、X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1

25、H5U3N1B:发行保荐书C:发行保荐工作报告D:工作底稿答案:D解析:保荐机构应当对招股说明书进行验证，并在验证文件与工作底稿之间建立起索引关系。(11)对于所有供公众认购或出售给公众的证券，发行人、董事、保荐机构及包销商(如有)必须采纳()，将上述证券分配给所有认购或申请证券的人士。A:公正准则B:公平准则C:公正原则D:公平原则答案:B解析:上市文件必须披露发行人拟分配证券的基准详情。包括公众人士及配售部分(如有)各自持有证券的详情。就所有供公众认购或出售给公众的证券(不论由新申请人或上市发行人发行)而言(为释疑起见，不包括根据配售安排而发行的证券)，发行人、董事、保荐人及包销商(如适用

26、)必须采纳公平准则，将上述证券分配给所有认购或申请证券的人士。(12)证券交易所具有监督职能，它属于()。A:立法机构委派的监管部门B:政府监管部门C:自律性监管机构文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1

27、HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U

28、3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1

29、HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U

30、3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1

31、HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U

32、3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1D:地方所属的监管机构答案:C解析:略(13)当代表基金份额以上的基金份额持有人就同一事项要求召开持有人大会.而管理人和托管人都不召集的时候.代表基金份额以上的持有人有权自行召集。()A:10%

33、;5%B:5%;10%C:10%;10%D:30%;30%答案:C解析:当代表基金份额 10%1)2上的基金份额持有人就同一事项要求召开持有人大会，而管理人和托管人都不召集的时候.代表基金份额 10%以上的持有人有权自行召集。(14)在融资融券业务的账户体系中，()用于存放证券公司拟向客户融出的资金及客户归还的资金.A:信用交易证券交收账户B:信用交易资金交收账户C:融资专用资金账户D:客户信用交易担保资金账户答案:C解析:在融资融券业务的账户体系中，融资专用资金账户用于存放证券公司拟向客户融出的资金及客户归还的资金。(15)在分级结算制度下，只有获得()文档编码:CU2L9P2O5X1 HA

34、5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N

35、1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA

36、5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N

37、1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA

38、5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N

39、1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA

40、5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1结算参与人资格的证券经营机构才能直接进入登记结算系统参与结算业务。A:证券交易所B:证券公司C:证券登记结算机构D:证券业协会答案:C解析:在分级结算制度下，只有获得证券登记结算机构结算参与人资格的证券经营机构才能直接进人登记结算系统参与结算业务。(16)未经国家有关部门批准，非法发行股票或公司企业债券，数额巨大、后果严重或者有其他严重情节的，属于()。A:欺诈发行股票、债券罪B:非法发行股票和

41、公司、企业债券罪C:诱骗他人买卖证券罪D:内幕交易罪答案:B解析:非法发行股票和公司、企业债券罪是指未经国家有关主管部门批准，非法发行股票或者公司、企业债券，数额巨大、后果严重或者有其他严重情节的，处五年以下有期徒刑或者拘役，并处或者单处非法募集资金金额1%以上 5%以下罚金。(17)()是指从事证券、期货投资咨询业务的机构及其投资咨询人员为证券、期货投资人或者客户提供证券、期货投资分析和预测或者建议等直接或者间接有偿咨询服务的活动。A:证券投资咨询B:证券投资顾问文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H

42、5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:

43、CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H

44、5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:

45、CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H

46、5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:

47、CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H

48、5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1C:证券经纪业务D:证券研究报告答案:A解析:证券投资咨询是指从事证券、期货投资咨询业务的机构及其投资咨询人员为证券、期货投资人或者客户提供证券、期货投资分析和预测或者建议等直接或者间接有偿咨询服务的活动。(18)已经取得证券业执业证书的人员，连续()年不在机构从业的，由协会注销其职业证书。A:2B:3C:4D:5答案:B解析:略(19)资信评级机构从事对公司债券的资信评级业务，应当向()申请取得证券评级业务许可。A:中国证监会B:中国证券业协会C:中国银监会D:财政部答案:A解析:略

49、(20)()依法对上市公司重大资产重组行为进行监管。文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1

50、H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5X1 HA5F2G6H5I6 ZY9M1H5U3N1文档编码:CU2L9P2O5

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