2022年上半年江苏省基金从业资格：证券投资基金概述考试试题.pdf

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1、1 2017 年上半年江苏省基金从业资格：证券投资基金概述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._不属于基金净值公告中需要披露的信息。A基金资产净值B投资组合报告C份额净值D份额累计净值2.下列基金市场参与主体中，_在整个基金的运作中起着核心作用。A基金投资人B基金管理人C基金托管人D基金监管机构3.首次公开发行股票的定价方式是_。A询价方式B协商定价方式C上网竞价方式D市价折扣方式4.股票基金持股集中度是指_。A前十大重仓股的投资总市值占基金投资股票总市值的

2、比重B前十大重仓股的投资总市值占基金投资总市值的比重C前五大行业投资市值占基金投资股票总市值的比重D前五大行业投资市值占基金投资总市值的比重5.从事基金销售的人员参加由中国证券业协会统一组织的证券投资基金销售人员从业考试，考试科目为 _，通过者获得基金销售从业许可。A 证券市场基础知识B 证券投资基金C 证券发行与承销D 证券投资基金销售基础知识6.下列关于货币市场基金风险指标的说法，不正确的有_。A我国法律法规要求货币市场基金投资组合的平均剩余期限在每个交易日不得超过180 天B除非发生巨额赎回，货币市场基金债券正回购的资金余额在每个交易日均不得超过基金资产净值的20%C货币市场基金不能投资

3、于剩余存续期限超过397 天的浮动利率债券D货币市场基金财务杠杆的运用程度越高，其潜在的风险越高7.基金信息披露的内容不包括_。A募集信息披露B预期信息披露C运作信息披露D临时信息披露8.行业发展状况分析和上市公司价值分析的是_。A投资部2 B研究部C交易部D监察稽核部9.首次公开发行的股票以_方式确定股票发行价格。A询价B协商定价C网上竞价D资产核算定价10.当前我国QDII 基金的募集程序主要包括_等步骤。A合格境内机构投资者资格的申请及审核BQDII 基金产品的申请及核准C经营外汇业务资格申请，D基金份额发售11.下列关于基金份额持有人大会的说法，不正确的有_。A基金托管人认为有必要召开

4、基金份额持有人大会的，应当向基金管理人提出书面提议B当基金托管人召开基金份额持有人大会的提议被基金管理人否决后，基金托管人不得自行召集会议C基金管理人决定召集基金托管人提议的基金份额持有人大会的，应当自出具书面决定之日起 60 日内召开D代表基金份额5%以上的基金份额持有人认为有必要召开基金份额持有人大会的，应当向基金管理人提出书面提议12.衡量基金择时能力常用的方法中，需要将市场划分为牛市和熊市的是_。A现金比例变化法B成功概率法C二次项法D夏普指数法13.目前，我国基金管理的主管机关是_。A中国证监会B中国银监会C中国人民银行D证券交易所14.以下属于基金监管部日常持续监管内容的有_。A对

5、基金销售机构及高级管理人员的资格审核B对基金销售机构日常经营活动的监管C对基金销售机构销售人员从业行为的监管D对基金销售机构基金销售各环节的监管15.根据权证行权所买卖的标的股票来源不同，权证可分为_。A认股权证和备兑权证B认购权证和认沽权证C美式权证和欧式权证D股权类权证和债权类权证16.某股票基金期初份额净值为1.2000 元，期末份额净值为1.1000 元，期间分红0.3000 元/份，则该基金这一期间不考虑分红再投资的净值增长率为_。A8.33%文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI

6、2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U

7、9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI

8、2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U

9、9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI

10、2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U

11、9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI

12、2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V43 B9.09%C16.67%D18.18%17.赎回主要原则包括_。A“确定价”原则B“未知价”交易原则C“金额申购、份额赎回”原则D“份额申购、金额赎回”原则18.无记名股票与记名股票的差别主要表现在_。A股票名称B股票编号C股票的记载方式D股东权利19.基金销售机构从事基金销售活动，不得_。A采取抽奖、回扣或者送实物、保险、基金份额等方式销售基金B以排挤竞争对手为目的，压低基金的收费水平C募集期间对认购费用打折D通过先收后返、财务处理等方式变相降低收费标准20.如果基金募集期限后满而募集结果

13、不满足募集要求的，基金不能成立，此时基金管理人要在基金募集期限届满后_日内返还投资者已缴纳的款项，并加计银行同期存款利息。A5 B15 C30 D45 21.证券投资基金的一个突出特点是透明度较高，这主要得益于_。A基金的强制信息披露制度B基金从业人员较高的专业水平C基金管理人员较高的道德水准D基金管理人设立了内部流程控制22.关于债券的基本性质，下列描述错误的是_。A债券本身有一定的面值，通常它是债券投资者投入资金的量化表现B债券与其代表的权利联系在一起，转让债券也就将债券代表的权利一并转移C债券的流动意味着它所代表的实际资本也同样流动D债券代表债券投资者的权利，这种权利是一种债权23.缺铁

14、性贫血早期最可靠的依据是（）。A血清铁减少B血清铁蛋白降低C血清总铁结合力增高D运铁蛋白饱和度降低E红细胞内原卟啉增高24.下列各项，不属于基金托管人应当具备的条件的是_。A总资本和资本充足率符合有关规定B设有专门的基金托管部门，取得基金从业资格的专职人员达到法定人数C有符合要求的营业场所、安全防范设施和与基金托管业务有关的其他设施文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N

15、9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O

16、4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N

17、9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O

18、4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N

19、9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O

20、4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V44 D有完善的内部稽核监控

21、制度和风险控制制度25.根据权证行权所买卖的标的股票来源不同，权证可分为_。A认股权证和备兑权证B认购权证和认沽权证C美式权证和欧式权证D股权类权证和债权类权证26.基金信息披露义务人的信息披露活动存在_的现象时，将被责令改正，警告，并处罚款。A信息披露文件不符合中国证监会相关基金信息披露内容与格式准则的规定B信息披露文件不符合中国证监会相关编报规则的规定C未按规定履行信息披露文件备案、置备义务D年度报告的财务会计报告未经审计即予披露27.下列不属于证券服务机构的是_。A证券交易所B证券投资咨询公司C证券信用评级机构D会计师事务所28.为保证本金安全或实现最低回报，保本型基金通常会将大部分资金

22、投资于_。A与基金到期日一致的债券B股票C衍生工具D活期存款29.以下属于货币证券的有_。A商业汇票B商业本票C金融债券D银行汇票30.债券从发行之日起至偿清本息之日止的时间是指_。A债券持有期限B债券发行期限C利息转让期限D债券有效期限31.投资者预计某上市公司自一年后开始分发红利，红利为每年4 元/股，必要的收益率为8%，则该公司股票的理论价格为_元/股。A32 B40 C50 D80 32.下列机构可以参与证券投资的有_。A证券经营机构B商业银行C保险公司D证券投资基金33.对基金营销反应弱的客户更加重视_。A基金产品的未来收益文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 Z

23、I2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3

24、U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 Z

25、I2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3

26、U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 Z

27、I2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3

28、U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 Z

29、I2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V45 B新产品、新服务C销售机构的营销和服务D基金产品的外在表现形式34.关于现金比例变化法的说法，错误的是_。A通过回归的算法来确定基金经理是否具有择时能力B较为直观C通过分析基金在不同市场环境下现金比例的变化情况来评价基金经理的择时能力D市场繁荣期，基金的现金或低风险、低收益资产的比例较小说明其择时能力较好35.资产证券化是以特定的_为基础发行证券。A资产池B投资组合C偿债资产D债务池36.证券投资基金运作管理办法

30、规定，开放式基金发生巨额赎回时，基金管理人当日办理的赎回份额不得低于基金总份额的_。A10%B30%C50%D60%37.基金托管人是（）权益的代表。A基金管理人B基金公司C基金份额持有人D证券公司38.下列各项中，不属于股票型基金的分析指标的是_。A久期B基金分红C已实现收益D净值增长率39.份额净值保持在1 元人民币不变的是_。A股票基金B债券基金C混合基金D货币市场基金40.足额向 _支付基金收益。A基金自律组织B基金监管部门C基金托管人D基金份额持有人41.基金销售机构在基金销售活动中的禁止行为不包括_。A以排挤竞争对手为目的，压低基金的收费水平B申购期间对申购费用提供优惠政策C采取抽

31、奖、回扣或者送实物、保险、基金份额等方式销售基金D通过先收后返、财务处理等方式变相降低收费标准文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N

32、9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O

33、4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N

34、9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O

35、4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N

36、9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O

37、4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V46 42.有“宏观经济晴雨表”之称的是（）。A主板市场B创业板市场C现货交易市场D中小企业板市场43.下列关于中国证监会职责的说法，正确的有_。A负责行业性法规的起草B负责监督有关法律法规的执行C负责保护投资者的合法权益D维持公平而有序的证券市场44.目前，我国债券

38、型基金的认购费率通常在（）以下。A0.5%B1%C1.5%D2%二、多项选择题（共34 题，每题2 分。每题的备选项中，有多个符合题意）45.公司的资产净值是全体股东的权益，决定着股票的_。A票面价值B账面价值C清算价值D内在价值46.通过报备制度，由基金销售机构向基金监管部定期或不定期报送各种书面报告，基金监管部通过审阅并分析这些报告，及时发现并处理有关违规事件，保证法规的有效执行，这是基金销售监管中的（）。A市场准入监管B日常持续监管C现场检查D非现场检查47._可采用不同币种申购基金份额。AQDII 基金B境内 ETF基金C一般开放式基金D一般封闭式基金48.两个或两个以上的当事人按共同

39、商定的条件，在约定的时间内定期交换现金流的金融交易，称之为 _。A金融股权B金融期货C金融互换D结构化金融衍生工具49.下列情况中，有利于公司股票价格上升的有_。A货币供应量宽松B公司业绩稳定增长C公司股息提高D印花税税率提高文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R

40、9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB

41、7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R

42、9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB

43、7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R

44、9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB

45、7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V47 50.开放式基金的基金合同生效要求其所募集份额不少于_份。A5000 万B1 亿C2 亿D5 亿文档编码:CB7K3U9N9V5

46、HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X

47、3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5

48、HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X

49、3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5

50、HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X3V4文档编码:CB7K3U9N9V5 HP8M5Z3E7R9 ZI2O4F5X