自考金融市场学名词解释复习资料(Areviewofselectedfinancialmaterialsinfinancialmarketing)

自考金融市场学名词讲解精选复习资料（

Areviewofselectedfinancialmaterialsinfinancialmarketing

）1,thegeneralizedfinancialmarkets:referstothefundsupplyanddemandtheuseofvariousfinancialinstruments,throughavarietyofwaysallfinancialtransactions,includingfinancialinstitutionsandcustomers,betweenthevariousfinancialinstitutions,betweencapitalsupplyanddemandsidesallmoneyforthetransactionobjectoffinancialactivities,suchasdeposits,loans,trust,leasing,insurancebillanddiscount,mortgage,purchaseandsaleofstocksandbonds,goldandforeignexchangetransactions.2,narrowfinancialmarkets:generallylimitedtotheuseofnotesandsecuritiesasfinancialinstrumentsforfinancingactivities,interbanklendingbetweenfinancialinstitutions,andgold,foreignexchangetransactionsandsoon.3,financialmarkets:thesupplyanddemandoffundsbothsidesofthenotesandsecuritiesasfinancialinstrumentsmonetaryfundtransactions,gold,foreignexchangetradingandinterbanklendingbetweenfinancialinstitutionsandotheractivitiescollectively.4,theprimarymarket:alsoknownastheissuingmarketortheprimarymarket,isthefinancialneedsofthefinancialassetsofthefirstsaletothepublicwhentheformationofthetradingmarket.5andtwomarkets:issuedoldsecuritiestransfertradingmarketsbetweendifferentinvestors.6,financialinstruments:alsoknownascreditinstruments,itistoprovetherelationshipbetweencreditor'srightsanddebts,andaccordingtothelegalbasisforMonetaryFundtransactions.Stock:asecuritiesthatisissuedbytheLimitedbyShareLtdtoprovetheidentityandinterestsofinvestorsandtoobtaindividendsanddividends.8,commonstock:abasicstockissuedbyastockcompany.Itisthemoststandardstock.9.Preferredstock:astockissuedbyajointstockcompanythathaspriorityoverthecommonshareholdersinthedistributionofthecompany'searningsandsurplusassets.10:Bonds:awrittendocumentissuedbythedebtortothecreditorattheagreedtimetobeartheobligationofrepaymentofprincipalandinterest.11Treasurybills:shorttermdebtcertificatesissuedbythegovernmenttomakeupforthetemporaryshortageofTreasuryfunds.12abondissuedbyacompanythatissuesrealestateormovablepropertyascollateral.CreditCompaniesbonds:bondsissuedbythecompanydoesnotuseanyassetsascollateralorguarantee,allissuedbythecompany'screditbonds.14,SwitchingCompanybonds:thisbondstipulatesthatbondholderscanbeconvertedintosharesinacertainamountoftimeandwithcertainconditions.15.Therightstosubscribetonewshares:thisbondgivestheholdertherighttobuythecompany'snewshares.16Bond:abondwithlowerinterestratesissuedbyarestructuredcompanytoreduceitsdebtburden.17,sinkingfundbonds,thebondsissuedpursuanttothecompanybondsbeforematurity,regularlyissuedatotalextractacertainpercentageoftheprofitastherepaymentfund,thecustodyoftheentrustedtrustcompaniesorfinancialinstitutions,inordertoensurethegradualaccumulationofbondsduetoarepayment.18,financialbonds:banksandnonbankfinancialinstitutionsinordertoraisefunds,inaccordancewiththerelevantstatesecuritieslawsandsecuritiesissuanceprocedures,theuseoftheirowncredibilitytothepublicissuedabond.19,thefundalsocalledSecurities:securitiesinvestmentfund,byinvestmentfundsponsorsissuedtothegeneralpublic,accordingtothesharesheldbythecertificateholderenjoystheownershipofassets,assetsusufructandthedistributionofsurpluspropertyrightofsecurities,itistheproductofcertainequityportfoliostocks,bondsandotherfinancialproducts.20:Note:thedrawerhimselfpromisedorentrustedtothedrawee,atthespecifieddateoratsight,unconditionallypayacertainamountandnegotiablenegotiablesecurities.21,freeexchange:withoutcurrency'sapproval,canbetradedfreelyintheforeignexchangemarket,convertibleintoothercurrencies,whichininternationaleconomicexchangesiswidelyusedasameansofpaymentandthemeansofcirculation.Accountingforeignexchange:withouttheapprovaloftherelevantforeignexchangecontrolauthorities,itcannotbeconvertedintoothercountries'currencies,andcanonlybeusedbetweenthecontractingcountriesinaccordancewiththerelevantagreements.23,derivativefinancialinstruments,alsoknownasfinancialderivatives,referstoaclassoffinancialproductswhosevaluedependsontheoriginalfinancialinstruments.Moneymarket:ashort-termfinancialmarketwiththefinancialassetswithintheperiodof1yearsasthesubjectoftransaction.Interbanklendingmarket:amarketformedbyshort-termfinancingactivitiesbetweenvariousfinancialinstitutions.26,centralbanknotes:short-termbondsissuedbythepeople'sBankofChina,rangingfrom3monthsto1years.28negotiabledepositissued

largetermdepositbyacommercial

certificate:acertificatebankthatmaybetransferred

ofonthemarket.29repurchaseagreement:thesecuritiesholderagreeswiththebuyerwhenthesecuritiesaresold,andthetwopartiesshallrepurchasethesamequantityofsecuritiesofthesamequantityfromthebuyerattheagreedpriceatacertaindateinthefuture.30,capitalincrease:thenewlyestablishedstockcompanyissuesnewshares,whichiscalledcapitalincrease.31,credit

transactions:

alsoknownas"padtrading"

or"margintrading.",Isthecustomertothebrokertopayacertainamountofcashorsharesasamargin,thedifferenceinpartbybrokersadvancetransaction.32,OptionTrading:alsoknownasoptionofthetransactionattheagreedprice,whethertobuyorsellashareofthecontract.

trading,thetwosideswithintheagreedtime,33,stockindexfuturestrading:stockindexindexfuturestrading,thepurposeistoreducetheriskofstockinvestment,increasetheattractivenessofstockinvestment.34,stockindexoptionstrading:buyingandsellingstockoptionsbasedonthestockpriceindex.35.Stockexchanges:aplacewheresecuritiesexchangesareorganizedinacertainmannerandinaccordancewiththerules,alsoknownasthefloortradingmarket.Membershipsystem:thestockexchangeoftheformofmembershipiscomposedofvoluntaryagenciesengagedintheoperationofsecuritiesbusiness,andisnotacorporatebodyforprofitpurposes.37,thecompanysystem:theorganizationalformofthecompany'sstockexchangeisorganizedbythecompanylaw,theexchangeofissuerstocollectthe"listingfees",andextractsecuritiestransactionfeesandotherservicecosts.38CommissionBroker:abrokerwhoacceptsaclient'sentrustmenttobuyandsellacommissiononastockexchangeinafixedproportion.39,twoyuanBroker:alsoknownasexpertbrokers,istoacceptcommissionbrokersandthencommissioned,andonbehalfofthesaleofacertaincommission.40,specialbrokers:alsoknownasprofessionalbrokers,isintheexchangehasaspecialidentity,butalsofixedtoengageinspecialsecuritiestradingbroker.41,securitiesdealers:alsoknownastradinghousedealers,theyonlyhandleproprietarybusiness,notentrustedbusiness.42,zerostockdealer:astockbrokerwhospecializesinstocktradinginlessthanoneunit.1,bondcreditrating:agenciesspecializingincreditrating,accordingtothestandardsrecognizedbyinvestorsandinvestors,independentofthecreditratingofthebehaviorofbonds.2,selltheissue:priortoissuingatotalofuncertainty,intheissueofdeadlinetobuywithselling,sellwhat,afterthedeadlinetostopissuingfinancialbonds,mostlyusedinthisway.Itisgenerallyapplicabletodirectdistribution.3,fixedissue:priortodeterminingthetotalamountofissue,lessthanthedateofissue,soldout,cannotincreasetheissueamount,theissueperiodcannotbesoldbytheunderwriterstosubscribe.Itisgenerallyapplicabletoindirectissuanceofunderwriting.4,bondspottransactions:thesellerandthebuyeraccordingtoagreedpaymentmethods,inarelativelyshortperiodoftimefordeliveryandsettlement,thatis,thesellertosurrenderthebonds,buyerspaycash.5,bondfuturestrading:afterthepurchaseandsaleoftransactions,thesellerandthebuyeratthepricestipulatedinthecontractinthefuturespecifieddatefordeliverysettlement.6,bondrepurchaseagreementtransactions:bondbuyersandsellersinaccordancewithpreagreement,agreedtosellabondafteraperiodoftime,andthenbuybackthebondataspecificprice,andpayinterestattheagreedrate.7,earlyredemptionyield:bondissuerinbondsbeforetheexpirationdateofthebondredemption,investorsyield.8,thebondequivalentyieldduetocashflowpaidonceeverysixmonths,intheareaofinvestment,itiscustomaryforthefirsthalfoftheyieldtomaturityismultipliedby2tocalculatetheannualyieldtomaturity,calculatedaccordingtothemarketrulesthatyieldtomaturityisalsocalledbondequivalentyield.9,exchangerate:alsoknownasexchangerateorforeignexchangemarket,referstotherateofexchangeofonecountry'scurrencyintoanothercountry'scurrency,thatis,thepriceofanothercurrencyinonecurrency.10,goldpoint:becausegoldisfreemelting,castingandfreefreeoutput,therefore,foreignexchangeratefluctuationsisunderthecontrolofthelimitsinthemintparityontheinside,thisboundaryisthegoldpoint.11,swaptransactions:foreignexchangetradersbuy(orsell)spotforeignexchangeatthesametime,sell(orbuy)thesameamountofforwardforeignexchange.12,goldmarket:animportantcomponentofthefinancialmarket,isfocusedongoldtradingandgoldexchangetradingcenter.13.Forwardcontracts:relativelysimplefinancialderivatives,bothpartiesagreetobuyandsellanagreedamountoffinancialassetsatanagreedpriceforacertainperiodoftime.14.Forwardrateagreement:atransactionbywhichbothpartiespromisetoborrowthenotionalprincipalamountofacertainamountatafixedinterestrateattheagreedperiod.Futurescontracts:standardizedcontractsmadebytheexchangeforfuturestrading.16,theoptionfee:theseller,thatis,

thepurchaseoftheoptioncontractthepurchaseoftheoptioncontract

topayprice.Executionprice:thepriceofacertainfinancialproductexecutedbytheoptiontraderwhentheoptioncontractisexecuted.18,securitiesinvestmentfunds:akindofinterestsharing,risksharingofasetofsecuritiesinvestment,thatis,throughtheissuanceoffundunits,theconcentrationofinvestorfunds,Thefundcustodian,thefundmanagersengagedinthemanagementanduseoffunds,stocks,bondsandotherfinancialinstruments,investment,andinvestmentincomeisanindirectinvestmentallocationbyfundinvestmentratio.19,closed-endfunds:alsoknownasfixedfunds,referstotheamountofthefund'ssecurities,issuedafterthecompletionofthespecifiedperiodoftime,thesizeofthefundisnolongerincreasedorreducedsecuritiesinvestmentfunds.20,open-endfunds:alsoknownasvariablefunds,referstothenumberoffundsandfundfundsmaybeissuedbythenewfundsecuritiesorinvestorsredeemedprincipalchangesinsecuritiesinvestmentfunds.21,thefundcustodian:alsoknownasthefundcustodian,isthenameofthefundassetsholdersandcustodians.22:fundholder:anindividualorinstitutioninvestinginthepurchaseandholdingoffundsecurities.23,approvalsystem:thesecuritiesregulatoryauthoritiesinaccordancewiththeprovisionsoftherelevantlaws,theestablishmentofthefundtocarryoutsubstantivereview,anddecidedwhethertoagreetoestablishthefundsystem.24,registrationsystem:fundsponsorsonlyneedtosubmittothesecuritiesregulatoryauthoritiesoftherelevantprovisionsofthelaw,registration,youcaninitiatetheestablishmentofopen-endfundssystem.25,purchase:investorsbuysharesofopen-endfunds.26,Redemption:investorssellfundshares,theprocessofrecoveryofinvestment.27.Interest:thepriceorpaymentpaidbyaborrowertoaninvestorforborrowingmoney,andalsothelender'spaymentfortherighttousethetransferredfunds.28,thetimevalueofmoney:theappreciationofthevalueofmoneybroughtaboutbyinvestmentwithinagivenperiodoftime.29.Interestrate:theratioofinterestandprincipalformedintheperiodofinvestment.30,thefinalvalue:cashflowafteraperiodofoneormoreofthevalueoftime,theamountofthe.31,theeffectivenessofthecapitalmarket:accordingtothemarketefficiencyhypothesis,theeffectivenessofcapitalmarketmeanstheabilityofthemarkettoadjustthesecuritiespricequicklyaccordingtothenewinformation.32,theinvestmentofanonconsumptionnowhavetheirownpersonaluseoffundsorinstitutionalinvestors,theinvestmentobjectiveistoobtainaproperproportionofincomeandprincipalandriskinacertainperiodoftimemayalsorise,justtokeepthevalueofexistingwealth.33,theeconomiccycle:economicactivitiesfromprosperitytodepression,aswellasfromdepressiontoprosperitycyclicalcyclicalfluctuations.34,thefinancialmarketmanagement:nationalfinancialmanagementauthorityandtherelevantself-disciplineorganizationoffinancialmarketparticipantsandallkindsoffinancing,variousprovisionsoftradingactivity,aswellastheorganizationofmarketoperation,coordinationandsupervisionmeasuresandmethods.35,financialsupervision:thecompetentfinancialauthoritiesofthefinancialinstitutionstoimplementcomprehensive,regularinspectionandsupervision,andthustopromotethesoundoperationoffinancialinstitutionsinaccordancewiththelaw,andhealthydevelopment.36,financialmanagement:financialauthoritiesinaccordancewiththelawofthefinancialinstitutionsandtheirbusinessactivitiesoftheguidance,organization,coordination,controlandotheractivities.37,financialsupervision:agovernmentaccordingtothestabilityoftheeconomicandfinancialsystem,thecommoninterestsoftheeffectiveoperationoftheobjectiveneedsandeconomicsubjectrequirements,bythefinancialauthoritiesaccordingtothelawsandregulationsofthefinancialsubjectandfinancialmarketinthefinancialsystemofsupervisionandmanagement,inordertosafeguardtheinterestsofcreditors,thedebtor'sbehaviorconstraints,toensurethehealthydevelopmentoffaircompetitioninthefinancialsubjectandfinancialbusinessandfinancialservices,andpromotetheeconomicdevelopmentandsocialprogress.38,narrowsensefinancialsupervision:thecentralbankorotherfinancialsupervisionauthority,accordingtothenationallawsandregulationsauthorized,totheentirefinancialindustrysupervisionandmanagement.39,thebroadsenseoffinancialsupervision:inadditiontothenarrowsenseoffinancialsupervisioncontent,butalsoincludesinternalcontrolandauditoffinancialinstitutions,self-regulationofthesametradeorganization,supervisionofsocialintermediaryorganizationsandsoon.40,theinterbankmarketandinterbankmarket,isafinancialinstitutiontosolvetheshort-termshortageofcapitalandmutualfinancingswapplaces,isthemostimportantpartofthemoneymarket.41,thenationaldebtmarket:nationalcreditastheguaranteeoftreasurybonds,nationalkeyconstructionbonds,financialbonds,capitalconstructionbonds,valuebonds,specialtreasurybondsandotherplacesofissuanceandtrading.42,largenegotiablecertificatesofdeposit:referredtoasCD,commercialbanksfortheabsorptionoffundsissuedtodepositors,withacertainamount,acertainperiod,agreedinterestrates,negotiablecertificatesofdeposit.43,securitiesmarketregulation:usingthesecuritiesmanagementinstitutionslegal,economicandadministrativemeans,theissuanceofsecuritiestoraise,andthesupervisionandmanagementoftransactionbehaviorandthebehaviorofsecuritiesinvestmentintermediaries.44,registrationsystem:theso-calledopenmanagementprinciple,inessence,isapublishingcompany'sfinancialdisclosuresystem,representedbytheUnitedStatesfederalsecuritiesact.45,approvalsystem:theso-calledsubstantivemanagementprinciples,representedbyEuropeancompanieslaw.46,franchising:alsoknownaslicensingsystem,representedbyjapan.47,manipulation:anorganizationorindividualtoobtainbenefitsorreducethelossesforthepurposeofusingthefunds,informationsuperiorityorbreachofprivilege,marketmanipulation,theimpactofstockmarketprices,makingfalsesecuritiesmarket,inducingtheinvestorsmakeinvestmentdecisionwithoutknowingthetruthofcase,disruptingtheorderofthesecuritiesmarket.48,insidertradingandinsidertrading,referstothecompanydirectors,supervisors,managers,employees,majorshareholders,staffofsecuritiesmarketormarketmanagers,inordertoobtainthebenefitsorreducetheeconomiclossesforthepurposeofusingstatus,positionandotherfacilities,accesstotheissuerisnotopentothepublic,canaffecttheimportantinformationofstockpricetodealinsecurities,ordivulgesuchinformationbehavior.49,fraudcustomers:inordertoobtainillegalinterestsforthepurposeofsecuritiesissuan