2018年12月《证券市场基本法律法规》考试真题及答案汇总

2018年12月证券市场基本法律法规考试真题及答案

1、下列属于全国人民代表大会，和全国人民代表大会常务委员会制定并颁布的法律是（）。

A. 《期货公司监督管理办法》

B. 《中华人民共和国公司法》

C. 《上市公司收购管理办法》

D. 《行政和解试点实施办法》

答案：：B

2、证券公司必须持续符合风险控制指标标准的要求，下列能够符合要求的是（）

A. 丙证券公司的流动性覆盖率为80%

B. 丁证券公司的净稳定资金率为40%

C. 甲证券公司的风险覆盖率为120%

D. 以证券公司的资本杠杆率为6%

答案：：C

3、根据《证券公司治理准则》，下列关于证券公司与客户关系的基本原则的说法，错误的是（）。

A. 证券公司向客户提供的产品或者服务，对有关产品和服务的内容应履行保密的义务

B. 证券公司不得侵犯客户的财产权、选择权、公平交易权、知情权及其它合法权益

C. 证券公司不得挪用客户交易结算资金、委托管理得资产及托管在公司的证券

D. 证券公司应当设专职部门或者岗位负责与客户进行沟通，处理客户的投诉等事宜

答案：：A

4、对期货公司及其他期货经营机构报送的年度报告，国务院期货监督管理机构应当指定（）进行审核并制作报告。

A. 专人

B. 期货公司财务人员

C. 期货公司报告撰写人

D. 专业机构人员

答案：：A

5、证券公司自营业务违反《中华人民共和国刑法》规定的行为不包括（）。

A. 以自己为交易对象，进行不转移证券所有权的自买自卖，影响证券交易价格或者证券交易量的

B. 单独或合谋，集中利用资金优势等操作证券交易价格

C. 与他人串通，以事先约定的时间、价格和交易方式相互进行证券交易，影响证券交易价格或者证券交易量的

D. 假借他人名义或者以个人名义从事证券自营业务

答案：：D

6、下列关于资产管理计划推广销售的说法，错误的是（）。

A. 证券公司不得通过广播、电视、报刊及其它证券公司推广集合资产管理计划

B. 推广期间，客户资金应存入集合计划份额登记机构指定的专门账户

C. 集合资产管理计划应当面向合格投资者推广

D. 推广结束后对募集资金的验资工作应由具备证券相关业务资格的会计事务

所完成并出具验资报告

答案：：A

7、下列关于擅自发行股票、公司、企业债券罪的犯罪构成的说法，错误的是（）。

A. 本罪的主体是一般主体，既可以是自然人，也可以是单位

B. 客观方面，未经国家有关部门批准，擅自发行股票或者公司、企业债券，且数额巨大，后果严重或者有其他严重情节

C. 本罪的客体是国家对发行股票或者公司、企业债券的管理秩序

D. 本罪的主观方面是故意或过失

答案：：D

8、下列违反证券交易的法律责任的说法，错误的是（）。

A. 证券公司经纪人李某使用其父亲账户买卖股票，被没收违法所得

B. 王某在成为证券公司员工以前持有的股票，入职后不用转让

C. 证券监督管理机构工作人员张某进行内幕交易，应当从重处罚

D. 为甲证券营业部做装修工作的赵某，可以买卖股票

答案：：B

9、下列关于有限责任公司的董事和监事任期的说法，错误的是（）。

A. 董事任期届满，连选可以连任

B. 监事任期由公司章程规定，但每届任期不得超过五年

C. 董事任期由公司章程规定，但每届任期不得超过三年

D. 监事任期届满，连选可以连任

答案：：B

10、上市公司应当在每一会计年度第三个月、第九个月结束后的（）内编制完成季度报告并披露。

A. 两个月

B. 四个月

C. 三个月

D. 一个月

答案：：D

11、下列关于证券公司于客户签订融资融券业务合同的说法，正确的是（）。

A. 客户为机构投资者时，只能由其法定代表人签署

B. 客户应当确认，其已充分理解合同内容，自行承担风险和既定额度范围内的投资损失

C. 客户从事融资融券交易的信用额度、融资融券期限等事项应当于证券公司在合同中进行约定

D. 客户为个人投资者时，可以由其委托他人代为签署

答案：：C

12、证券公司以自有资金参与单个集合资产管理计划的份额，不得超过该计划总份额的（）。

A. 50%

B. 80%

C. 20%

D. 35%

答案：：C

13、下列关于证券期货经营机构及其工作人员廉洁从业内涵的说法，错误的是（）。

A. 向他人输送或谋求不正当利益

B. 严格遵守法律法规、中国证监会的规定和行业的自律规则

C. 公平竞争、合规经营、忠实勤勉、诚实守信

D. 遵守社会公德、商业道德、职业道德和行为规范

答案：：A

14、一般情况下，证券金融公司向证券公司转融通的期限，不得超过（）个月。

A. 3

B. 9

C. 12

D. 6

答案：：D

15、申请设立期货公司，应当符合,《中华人民共和国公司法》的规定，并且注册资金最低限额为人民币（）万元。

A. 5000

B. 4000

C. 3000

D. 1000

答案：：C

16、根据《发布证券研究报告执业规范》，已通过证券投资咨询从业资格

考试，但尚未注册为证券分析师的从业人员，参与制作证券研究报告，经署名证券分析师和研究部门或研究子公司同意，可以用（）名义在研究证券研究报告中列示。

A. 证券投资顾问

B. 保荐代表人

C. 研究助理

D. 分析师

答案：：C

17、非公开发行的公司债券仅限于在（）范围内转让

A. 机构投资者

B. 中小投资者

C. 合格投资者

D. 专业投资者

答案：：C

18、根据《证券公司流动性风险管理指引》，证券公司应至少（）对流动性风险限额进行一次评估，必要时进行调整。

A. 每年

B. 每半年

C. 每季度

D. 每月

答案：：A

19、证券公司柜台市场发行、销售与转让私募产品时，不得采用（）方式，法律法规有明确规定的除外。

A. 集中竞价

B. 拍卖竞价

C. 做市

D. 标购竞价

答案：：A

20、根据《公司法》，（）在清理公司财产、编制负债表和财产清单后，应当制定清算方案。

A. 清算组

B. 股东会和股东大会

C. 人民法院

D. 董事会

答案：：A

21、下列有关公司的说法,错误的是( )

A.公司以营利为目的

B.公司以其全部资产对外承担民事责任

C.我国《公司法》主要适用于有限责任公司和股份有限公司

D.公司股东对公司承担无限连带责任

答案： D

22、下列说法中,错误的是( )。

A.沪港通,指两地投资者委托上海证券交易所会员或者香港联合交易所参与者,通过上海证券交易所或者香港联合交易所在对方所在地设立的证券交易服务公司,买卖规定范围内的对方交易所上市股票

B.沪股通,是指香港投资者委托香港经纪商,经由香港联合交易所设立的证券交易服务公司,向上海证券交易所进行申报,买卖规定范围内的上海证券交易所上市的股票

C.港股通,是指内地投资者委托内地证券公司,经由上海证券交易所设立的证券交易服务公司,向香港联合交易所进行申报,买卖规定范围内的香港联合交易所上市的股票

D.沪港通包括深股通和港股通两个部分

答案： D

23、按照《证券公司治理准则》的要求,关于证券公司与股东之间关系的特别规定,以下选项错误的是( )。

A.证券公司的控股股东、实际控制人不得利用其控制地位或滥用权利损害公司客户的合法权益

B.证券公司的控股股东可以直接任免证券公司的董事、监事和高级管理人员

C.证券公司的股东、实际控制人不得违反公司章程的规定干预证券公司的经营管理活动

D.证券公司与其他关联方应当在业务等方面严格分开,各自独立经营、独立核算、独立承担责任和风险

答案： B

24、下列说法中,错误的是( )。

A.“荐股软件”能够提供设计具体证券投资品种的投资分析意见,或者预测具体证券投资品种的价格走势

B.向投资者销售或者提供“荐股软件”,并直接或间接获取经济利益的,属于从事证券投资咨询业务,应当经中国证监会许可,取得证券投资咨询业务资格

C.“荐股软件”不能向投资者提供具体证券投资品种的买卖时机建议

D.证券投资咨询机构利用“荐股软件”从事证券投资咨询业务,应当遵循客观公正、诚实信用原则,不得误导、欺诈客户,不得损害客户利益

答案： C

25、按照法律关系发生的方式,可以将法律关系分为( )

A.双边法律关系与多边法律关系

B.确认性法律关系与创设性法律关系

C.第一性法律关系与第二性法律关系

D.纵向法律关系与横向法律关系

答案： B

26、操纵证券、期货市场表现为利用资金、信息等优势或者滥用职权操纵市场、制造市场假象,影响证券、期货市场。下列选项中属于操纵证券、期货市场的手段有( )。

A.发行人的董事在涉及证券发行的信息尚未公开前,从事与该信息相关的证券交易活动

B.某基金管理人与他人串通以事先约定好的时间进行交易

C.某一散户在某一时点进行大额证券买卖

D.某行业协会工作人员将对证券交易价格有重大影响的信息暗示给他人从而将该证券卖出

答案： B

27、以下属于从事技术、风险监控、合规管理人员可以从事的工作是（）

A.营销

B.客户账户存管

C.客户资金存管

D.合规资格审查

答案： D

28、下列说法中正确的是( )。

A.被动知悉内幕消息,可以向客户或投资者提供分析、预测或建议

B.预测证券市场、证券品种的走势或者就投资证券的可行性进行建议时需有充分的理由和依据,不得主观臆断

C.证券投资分析报告、投资分析文章等形式的咨询服务产品可以适当提及投资者在具体证券品种上进行具体价位买卖等方面的内容

D.证券投资咨询机构及其执业人员有权拒绝媒体对其所提供的稿件进行断章取义、做有损原意的删节和修改,并自提供之日起将其稿件以书面形式保存 2 年

答案： B

29、上市公司在1 年内担保金额超过公司资产总额30%的,应当由股东大会作出决议,并经( )通过。

A.出席会议的股东所持表决权的1/2 以上

B.出席会议的股东所持表决权的2/3 以上

C.全体股东所持表决权的1/2 以上

D.全体股东所持表决权的12 以上

答案： B

30、以下关于自营业务内部控制的说法错误的是( )。

A.建立健全自营业务的授权体系,确保自营部门及员工在授权范围内行使相应的职责

B.自营业务的投资决策和交易执行等职能应相应分离

C.自营业务和投资管理业务可以一起操作

D.重要投资要有详细研究报告、风险评估及决策记录

答案： C

31、内幕信息的知情人包括( )。

Ⅰ.持有公司2%以上股权的股东及其董事、监事、高级管理人员,公司的实际控制人及其董事监事、高级管理人员

Ⅱ.发行人控股的公司及其董事、监事、高级管理人员

Ⅲ.由于所任公司职务可以获取公司有关内幕信息的人员

Ⅳ.保荐人、承销的证券公司、证券交易所、证券登记结算机构、证券服务机构的有关人员

A.Ⅰ、Ⅱ、Ⅳ

B.Ⅱ、Ⅲ、Ⅳ

C.Ⅰ、Ⅲ、Ⅳ

D.Ⅰ、Ⅱ、Ⅲ、Ⅳ

答案： B

32、中国证监会建立监管信息系统,将( )进入其诚信档案。

Ⅰ.财务顾问及其财务顾问主办人被中国证监会采取监管措施的

Ⅱ.在持续督导期间,上市公司或者其他委托人违反公司治理有关规定、相关资产状况及上市经营成果等与财务顾问的专业意见出现较大差异的

Ⅲ.上市公司就并购重组事项出具预测,实际完成情况只有预测指标80%的Ⅳ.中国证监会认定的其他事项。

A.Ⅰ、Ⅱ、Ⅳ

B.Ⅰ、Ⅱ、Ⅲ、Ⅳ

C.Ⅰ、Ⅲ、Ⅳ

D.Ⅰ、Ⅱ、Ⅲ

答案： A

33、下列说法正确的是( )

Ⅰ.集合计划资产独立于证券公司、资产托管机构和份额登记机构的自有资产

Ⅱ.证券公司、资产托管机构和份额登记机构不得将集合计划资产归入其自有资产

Ⅲ.证券公司、资产托管机构和份额登记机构破产或者清算时,集合计划资产不属于其破产财产或者清算财产

Ⅳ.证券公司应当将集合资产管理计划设定为均等份额,并可以根据风险收益特征划分为不同种类

A.Ⅰ、Ⅲ

B.Ⅰ、Ⅱ、Ⅲ、Ⅳ

C.Ⅰ、Ⅱ、Ⅲ

D.Ⅱ、Ⅲ、Ⅳ

答案： B

34、符合下列哪一种情形的,为公开发行( )。

Ⅰ.向不特定对象发行证券的

Ⅱ.向特定对象发行证券累计超过150 人的

Ⅲ.法律、行政法规规定的其他发行行为

Ⅳ.向特定对象发行证券累计超过200 人的

A.Ⅰ、Ⅱ、Ⅳ

B.Ⅱ、Ⅲ、Ⅳ

C.Ⅰ、Ⅱ、Ⅲ、Ⅳ

D.Ⅰ、Ⅲ、Ⅳ

答案： D

35、下列说法中,正确的是( )。

Ⅰ.按照规定或约定将评级信息告知发行人,并及时向市场公布首次评级报告、定期和不定期跟踪评级

Ⅱ.在债券有效存续期间,应当每半年至少向市场公布一次定期跟踪评级报告Ⅲ.应充分关注可能影响评级对象信用等级的所有重大因素,及时向市场公布

信用等级调整及其他与评级相关的信息变动情况,并向证券交易所或其他证券交易场所报告

Ⅳ.公开发行公司债券的发行人应将披露的信息或信息摘要刊登在至少一种中国证监会指定的报刊,供公众查阅

A.Ⅰ、Ⅱ、Ⅳ

B.Ⅰ、Ⅱ、Ⅲ

C.Ⅰ、Ⅲ、Ⅳ

D.Ⅰ、Ⅱ、Ⅲ、Ⅳ

答案： C

36、证券金融公司开展转融通业务,可以使用下列资金和证券( )。

Ⅰ.自有资金和证券

Ⅱ.通过证券交易所的业务平台融入的资金和证券

Ⅲ.通过证券金融公司的业务平台融入的资金

Ⅳ.依法筹集的其他证券和资金

A.Ⅰ、Ⅱ、Ⅲ

B.Ⅰ、Ⅲ、Ⅳ

C.Ⅱ、Ⅲ、Ⅳ

D.Ⅰ、Ⅱ、Ⅲ、Ⅳ

答案： D

37、融资融券的标的证券为交易型开放式基金(ETF)的,应当符合下列条件: ( )

Ⅰ.上市交易超过 5 个交易日的

Ⅱ.最近 5 个交易日内的日平均资产规模不低于 3 亿元

Ⅲ.基金持有户数不少于2000 户

Ⅳ.交易所规定的其他条件

A.Ⅰ、Ⅱ、Ⅲ

B.Ⅰ、Ⅲ、Ⅳ

C.Ⅱ、Ⅲ、Ⅳ

D.Ⅰ、Ⅱ、Ⅲ、Ⅳ

答案： B

38、按照《最高人民检察院公安部关于公安机关管辖的刑事案件立案追诉标准的规定(二)》第五条规定,公司因欺诈发行股票、债券,哪一选项中的情形应予立案追溯( )。

Ⅰ.利用募集的资金从事公司活动的

Ⅱ.发行数额达到300 万元的

Ⅲ.转移或者隐瞒所募集资金的

Ⅳ.伪造、变造国家机关公文、有效证明文件或者相关凭证、单据的

A.Ⅰ、Ⅱ

B.Ⅱ、Ⅳ

C.Ⅰ、Ⅲ

D.Ⅲ、Ⅳ

答案： D

39、融资融券的标的证券为债券的,应当符合下列条件: ( )

Ⅰ.债券托管面值在 1 亿元以上

Ⅱ.债券信用评级在AA 级(含)以上

Ⅲ.债券剩余期限在 2 年以上

Ⅳ.交易所规定的其他情形

A.Ⅰ、Ⅱ、Ⅲ

B.Ⅰ、Ⅲ、Ⅳ

C.Ⅰ、Ⅱ、Ⅳ

D.Ⅰ、Ⅱ、Ⅲ、Ⅳ

答案： C

40、下列有关子公司和分公司的说法,正确的是( )。

Ⅰ.分公司的重大决策需要总公司决定;子公司的重大决策可由自己决定

Ⅱ.分公司不具有法人资格,不能独立享有权利、承担责任,其一切行为的后果及责任由公司承担;子公司具有独立的法人资格,能独立承担公司行为所带来的后果和责任

Ⅲ.分公司没有独立的公司名称及章程,其对外从事经营活动必须以总公司的名义,遵守总公司的章程;子公司拥有独立的公司名称和公司章程

Ⅳ.分公司在人事、经营上没有自主权,其主要业务活动及主要管理人员由总公司决定并委任,并根据总公司的委托或授权进行业务活动;子公司能够以自己的名义开展经营活动,从事各类民事活动

A.Ⅰ、Ⅱ、Ⅳ

B.Ⅱ、Ⅲ、Ⅳ

C.Ⅰ、Ⅱ、Ⅲ、Ⅳ

D.Ⅰ、Ⅲ、Ⅳ

答案： B

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