Multiple-choice questions

1. According to the provisions of the Securities Law, if the term of the tender offer expires and the number of shares of the acquired company held by the purchaser reaches more than () of the total issued shares of the company, the listed company's shares shall be terminated in the stock exchange. Multiple-choice questions

A.35%

B.5%

C.75%

D.9%

2. According to China's Securities Investment Fund Law, among the following options, (. Multiple-choice questions

A. Raise funds according to law, and handle the sale and registration of fund shares

B. Manage and keep accounts separately for different fund properties managed, and make securities investments

C. Determine the fund income distribution plan according to the fund contract, and distribute the income to fund share holders in time

D. According to the regulations. Multiple choice questions

i. The controlling shareholder and actual controller shall establish a system, Clarify the decision-making procedures for major issues of securities companies and specific measures to ensure the independence of securities companies

II. Controlling shareholders and actual controllers should safeguard the integrity of securities companies' assets

III. Controlling shareholders and actual controllers should safeguard the independence of securities companies

IV. Controlling shareholders and actual controllers should safeguard the financial independence of securities companies

A. Multiple choice questions

I. Implement the resolutions of the shareholders' meeting

II. Formulate the company's annual financial budget plan and final accounts plan

III. Decide the company's business plan and investment plan

IV. Amend the company's articles of association

A.i, II and III < Multiple choice questions

i. Establish a complete working procedure for business innovation

II. Communicate with China Securities Regulatory Commission in time on the basis of feasibility study, and fulfill the filing (approval) procedure for innovative business

III. Design a scientific and reasonable process for innovative business, and formulate risk control measures and corresponding financial accounting and fund management measures

. Timely correct the behaviors that deviate from the target

A.I, II, III

B.II, III and IV

C.I, II, III, IV

D.I, III and IV

. If the number of shares of the acquired company held by the purchaser reaches more than 75% of the total issued shares of the company, the listed company's shares shall be terminated in the stock exchange.

2. Correct answer: D

Answer analysis: A fund manager who publicly raises funds shall perform the following duties: (1) Raise funds according to law and handle the sale and registration of fund shares; (Option A does not meet the meaning of the question) (2) Handling the fund filing procedures; (3) Manage and keep accounts separately for the different fund properties managed, and invest in securities; (Option B does not meet the meaning of the question) (4) Determine the fund income distribution plan according to the agreement of the fund contract and distribute the income to the fund share holders in time; (Option C does not meet the meaning of the question) (5) Conduct fund accounting and prepare fund financial accounting reports; (6) Prepare interim and annual fund reports; (7) Calculate and announce the net asset value of the fund, and determine the subscription and redemption price of the fund share; (8) Handling information disclosure matters related to fund property management business activities; (9) Convene the fund share holders' meeting as required; (1) Keep records, account books, statements and other relevant materials of fund property management business activities; (11) exercising litigation rights or carrying out other legal acts on behalf of the fund share holders in the name of the fund manager; (12) Other duties as stipulated by the State Council Securities Regulatory Authority.

3. Correct answer: C

Analysis of the answer: The controlling shareholder and the actual controller should establish a system to clarify the decision-making procedures for major issues of the securities company and specific measures to ensure the independence of the securities company (I), and establish the responsibilities, authorities and accountability mechanisms of relevant personnel engaged in relevant work of the securities company; If the controlling shareholder or actual controller performs the duties of the investor of state-owned capital according to the national laws and regulations or the authorization of the competent authority, such provisions shall prevail; The controlling shareholder and actual controller shall maintain the integrity of the assets of the securities company (II), and shall not infringe upon the rights of the securities company to possess, use, benefit and dispose of its legal person property; The controlling shareholder and actual controller shall maintain the independence of the personnel of the securities company (III is correct) and shall not affect the independence of the personnel; The controlling shareholder and actual controller shall maintain the financial independence of the securities company (Ⅳ correct).

4. Correct answer: A

Answer analysis: The board of directors of a limited liability company exercises the following functions and powers: (1) Convene the shareholders' meeting and report its work to the shareholders' meeting; (2) Implementing the resolutions of the shareholders' meeting; (I) including (3) deciding on the company's business plan and investment plan; (III) Including (4) Formulating the company's annual financial budget plan and final accounts plan; (II) Including (5) Formulating the company's profit distribution plan and loss recovery plan; (6) To formulate plans for the company to increase or decrease its registered capital and issue corporate bonds; (7) To formulate plans for merger, division, change of corporate form and dissolution of the company; (8) To decide on the establishment of the internal management organization of the company; (9) To decide on the appointment or dismissal of the company manager and their remuneration, and to decide on the appointment or dismissal of the company's deputy manager, financial controller and their remuneration according to the nomination of the manager; (1) Formulate the basic management system of the company; (11) Other functions and powers stipulated in the articles of association. Item IV, amending the articles of association belongs to the authority of the shareholders' meeting.

5. Correct answer: C

Answer analysis: When carrying out business innovation, a securities company should establish relevant mechanisms, including but not limited to: (1) establishing a complete business innovation working procedure, strictly controlling the examination and approval procedures, making clear requirements for feasibility study, product or business design, risk management, operation and implementation plan, and obtaining the approval of the board of directors; (2) On the basis of feasibility study, communicate with the China Securities Regulatory Commission in time to fulfill the filing (approval) procedures for innovative business; (3) Design a scientific and reasonable process for innovative business, and formulate risk control measures and corresponding financial accounting and fund management methods; (4) Pay attention to the process of business innovation, and correct the deviation behavior in time.

The above is the related sharing of the exercises on "Basic Laws and Regulations of the Securities Market" for the securities industry in 221. I hope it can help everyone. If you want to know more about the skills and contents of the securities examination, please check it in the global Ivy League online school in time!