2016年下半年天津证券从业资格《证券投资基金》：基金资金清算试题

2016 年下半年天津证券从业资格证券投资基金：基金 资金清算试题 本卷共分为 2 大题 40 小题，作答时间为 180 分钟，总分 100 分，60 分及格。 一、单项选择题(在每个小题列出的四个选项中只有一个是符合题目要求的，请 将其代码填写在题干后的括号内。错选、多选或未选均无分。本大题共 20 小题， 每小题 2 分，共 40 分。) 1、Earthquakes are the most lethal of all natural disasters. What causes them Geologists 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 floors 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 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 earthquakes 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 struck by a major earthquake.In spite of the geologists theory of plate tectonics, there are still gaps in mans 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, 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 been 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 earths drop into the waters of Tokyo Bay. More than 150,000 people died in 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 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 deal with disaster should it strike or, perhaps more accurately, when it strikes. Should predictions of a quake within the next ten years be accurate, many Californians may be able to save both their lives and their property. Geologists are using modern technology to (). Ahelp predict earthquakes Benhance their reputations Cmeasure the accuracy of earthquakes Dcontrol ground slippage 2、允许权证持有人按约定条件向债券发行人购买黄金的欧洲债券是_。 A附货币权证债券 B可转换欧洲债券 C附黄金权证债券 D附债务权证债券 3、根据我国政府对 WTO 的承诺，我国证券业对外开放的内容不包括 _。 A加入后 3 年内，允许外国证券公司设立合营公司，外资比例不超过 1/4 B外国证券机构驻华代表处可以成为所有中国证券交易所的特别会员 C外国证券机构可以(不通过中方中介)直接从事 B 股交易 D允许外国机构设立合营公司，从事我国国内证券投资基金管理业务，外资 比例不超过 33%；加入后 3 年内，外资比例不超过 49% 4、1982 年 2 月率先推出价值线指数期货，标志着股价指数期货的正式产生的 交易所是_。 A芝加哥商业交易所 B芝加哥期货交易所 C纽约证券交易所 D美国堪萨斯期货交易所 5、某结算参与人 3 月份买入证券总金额为 200 万元，3 月份交易天数为 12 天， 中国结算公司为其确定的最低结算备付金比例为 20%。则 4 月份该结算参与人 结算账户中的最低结算备付金应为_元。 A400000 B18182 C33333 D2000000 6、证券从业人员违反证券业从业人员执业行为准则的规定时，_有权对机 构和从业人员进行纪律惩戒。 A中国证监会 B证券从业人员所在机构 C中国证券业协会自律监察专业委员会 D人民法院 7、企业债券筹集的资金不可用于_。 A收购股权 B调整债务结构 C股票买卖 D固定资产投资项目 8、投资者当日申报“债转股”500 手，当次转股初始价格为每股 20 元，则投 资者可转换成股票的数量为_。 A1000 B2500 C50000 D25000 9、客户融资买入证券时，融资保证金比例不得低于_。 A50% B10% C20% D60% 10、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。 A1 B4 C2 D3 11、发行人向中国证监会申请发行新股的，中国证监会收到申请文件后，在 （）个工作日内做出是否受理的决定。 A3 B5 C10 D15 12、指数基金的投资非常分散，可以完全消除投资组合的（） 。 A稳定性 B系统风险 C流动性风险 D非系统风险 13、可作为融资买入或融券卖出的标的股票，必须在交易所上市交易满（） 。 A1 个月 B3 个月 C6 个月 D1 年 14、净价交易的成交价格是_。 A债券票面价格 B债券票面价格+ 债券到期利息 C债券票面价格-债券未到期利息 D债券市场价格 15、按发行本位分类，国债可分为_和货币国债。 A实物国债 B实物债券 C本币国债 D外币国债 16、混合资本债券到期前，如果发行人核心资本充足率低于（）时，发行人可 以延期支付利息。 A2% B4% C6% D8% 17、收益公司债券与其他债券的区别在于_。 A可以转换成公司股份 B不以公司任何资产作担保 C只有在公司盈利时才支付利息 D持有人享有优先购买公司股票权 18、新公司法允许公司按照规定的比例在_年内分期缴清出资。 A2 B3 C4 D5 19、根据证券交易所对证券公司自营业务管理的有关规定，会员应_编制库存 证券报表。 A按天 B按月 C按季 D按年 20、_是最复杂而且种类较多的金融衍生产品，由于它们具有较好的结构特性， 在风险管理和产品开发设计中得到广泛运用。 A期货和期货类衍生产品 B期权和期权类衍生产品 C金融远期 D金融互换 二、多项选择题（在每题的备选项中，有 2 个或 2 个以上符合题意，至少有 1 个错项。错选，本题不得分；少选，所选的每个选项得 0.5 分，本大题共 20 小题，每小题 3 分，共 60 分。) 1、出现巨额赎回时，如果基金管理人决定部分延期赎回，其当日接受赎回比例 不低于上一日基金总份额的_。 A5% B8% C10% D15% 2、连续竞价中，对新进入的一个买进有效委托，下列表述错误的是_。 A若不能成交则进入买入委托队列等待成交 B若成交，则意味着买入限价有可能高于卖出委托队列的最低卖出限价 C若成交，则意味着买入限价有可能等于卖出委托队列的最低卖出限价 D若成交，其成交价格取买方叫价 3、下列属于证券公司自营业务内部控制中重点防范风险的有_。 A规模失控 B账外自营 C内幕交易 D信用交易 4、关于基金销售行为的规范，下列说法错误的是_。 A在基金的销售活动中，应当遵守法律、行政法规和中国证监会的有关规定 B承诺利用基金资产进行利益输送 C为基金份额持有人保守秘密，不得泄露投资者买卖、持有基金份额的信息 或其他信息 D不得以排挤竞争对手为目的，压低基金的收费水平 5、历史模拟法在计算 VaR 时具有的优点有_。 A概念直观 B无须进行分布假设 C可以有效处理非对称的厚尾问题 D计算简单 E计算量较小 6、发现问题并按预案程序及时处置，制止事态发展，同时向有关部门报告或请 求支援。这是证券营业部处置突发事件应遵循的_原则。 A谁主管谁负责 B快速反应 C重点保护 D疏导化解 7、用_方式付息的债券通常被称为无息债券。 A单利 B贴现 C复利 D分期 8、有限责任公司依法经批准变更为股份有限公司时，股份总额应当_。 A大于公司的净资产额 B不得高于公司的净资产额 C等于公司的资产 D小于公司的净资产额 9、下列不征收个人所得税的是_。 A个人投资者从基金分配中获得的股票的利息、红利 B个人投资者从基金分配中获得的国债利息收入以及买卖股票差价收入 C个人投资者从基金分配中获得的企业债券差价收入 D个人投资者申购和赎回基金单位取得差价收入 10、债券投资组合的现金流量匹配策略为了达到现金流量与债务的配比而必须 投入_必要资金量的资金。 A高于 B低于 C等于 D低于或等于 11、普通股股东的义务有_。 A遵守公司章程 B依其所认购的股份和入股方式缴纳股金 C除法律、法规规定的情形外不得退股 D必须亲自参加股东大会 12、营销环境由微观环境和宏观环境组成，微观环境是指与公司关系密切、能 够影响公司服务顾客的能