证券交易员试题及答案

所属分类：金融业

考试简介

证券交易员俗称红马甲，是在证券交易所大厅，通过大厅电脑，在交易主机上从事证券代理交易、自营业务的专业人员。证券交易员的职业要求：数学、经济、金融、会计、证券学等相关专业本科以上学历；具有证券从业资格的人员优先，证券交易为证券从业资格考试其中一个科目。证券交易员工作内容：1、根据客户投资指令迅速有效的执行交易，进行风险控制；2、研究、分析市场信息和走势，即时向客户反馈投资目标的市场信息，为客户调整投资策略提供依据；3、协助清算数据处理，提供交易分析报告及投资组合；4、证券交易资金交付办理及其他工作；5、参与证券投资类信托产品交易，管理业务设计。上学吧提供证券交易员模拟题，证券交易员课程测验，证券交易员综合测试题，证券交易员考试题，供大家学习参考。

证券交易员考试试卷

证券交易员高频考题

[单选题] Which of the following statement is leastlikely to be correct:（）

A.financial ratios can determinecompany's past performance

B.financial ratios can not determinecompany's current financial condition

C.financial ratios can not determinecompany's creditworthiness

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[单选题] If ignoring taxes, a company chooses tocapitalize an expenditure related to capital assets instead of expensing it,the company will most likely report:（）

A.a lower operating cash flow in thatperiod

B.a lower investing cash flow in futureperiods

C.Free cash flow to the firm will stayfor the same in that period

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[单选题] Compared with IFRS,those prepared under U.S.GAAP generally accepted accounting principles,analysts may need to make adjustments related to:（）

A.realized losses

B.unrealized gainsand losses for trading securities

C.unrealized gainsand losses for available-for-sale securities

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[单选题] The CFO of a zero-coupon bond is mostlikely:（）

A.Overstated

B.Understated

C.No change

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[单选题] A portfolio manager has been asked to take the risk related to the default of two securities A and B. She has to make a large payment if, and only if, both A and B default. For taking this risk, she will be compensated by receiving a fee. What can be said about this fee?()

A.The fee will be larger if the default of A and of B are highly correlated.

B.The fee will be smaller if the default of A and of B are highly correlated.

C.The fee is independent of the correlation between the default of A and of B.

D.None of the above is correct.

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[单选题] You are considering an investment in one of three different bonds. Your investment guidelines require that any bond you invest in carry an investment grade rating fromat least two recognized bond rating agencies. Which, if any, of the bonds listed below would meet your investment guidelines?()

A.Bond A carries an S&P rating of BB and a Moody’s rating of Baa.

B.Bond B carries an S&P rating of BBB and a Moody’s rating of Ba.

C.Bond C carries an S&P rating of BBB and a Moody’s rating of Baa.

D.None of the above.

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[单选题] Which one of the following cases or events can be considered as resulting from operational risk?()

A.A bank reports losses on a diversified portfolio of stocks during the stock market decline.

B.The bank becomes embroiled in a high profile lawsuit with a customer that accuses it of improper selling practices.

C.The bank reports the loss of $1.5 billion due to rises in interest rates.

D.A U.S. investor makes a loss as the Japanese yen depreciates relative to the dollar.

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[单选题] Which of these outcomes is not associated with an operational risk process?()

A.The sale of call options is being booked as a purchase.

B.A monthly volatility is inputted in a model that requires a daily volatility.

C.A loss is incurred on an option portfolio because ex post volatility exceeded expected volatility.

D.A volatility estimate is based on a timeseries that includes a price that exceeds the other prices by a factor of 100.

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[单选题] The risk that one of the parties will fail to meet its obligation to make payments in a swap agreement is called ().

A.Counterparty risk

B.Operational risk

C.Market risk

D.Notional risk

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[单选题] Which one of the following statements about operations risk is not correct?()

A.The operations unit for derivatives activities, consistent with other trading and investment activities should report to an independent unit and should be managed independently of the business unit.

B.It is essential that operational units be able to capture all relevant details of transactions, identify errors and process payments or move assets quickly and accurately.

C.Because the business unit is responsible for the profitability of a derivatives function, it should be responsible for ensuring proper reconciliation of front and back office databases on a regular basis.

D.Institutions should establish a process through which documentation exceptions are monitored, resolved, and appropriately reviewed by senior management and legal counsel.

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