Đề thi môn thị trường chứng khoán (1)

HQC VIEN NGAN HANGDE THI KET THUC HQC PHAN: KHOA TAI CHINHThi trudng ch&ng khodn (FIN13A) DE THI S6 05 Thdi gian 1dm bdi: 90 phut Ap dgng cho DHCQ Ca thi: *( ; Ngfty tM: JS//^.; Ngudi duyet de: Dgi di|nPhong TT-QLCL:^TKvJi/ ; Ngfty duyet dl: i - lqA chqn phi/ong An tra l^t dung nhAt Cau 1: Cd philu uu dai cd th! chuyin ddi: A.Lft logi co pMlu cho phep chu sd hftu dugc chuyen ddi thftnh mgt lugng ttfti pMeu nhat djnh B.Lft logi co pMlu cho phep chii sd hftu dugc chuyin ddi thftnh mgt lugng cd pMlu thudng nhat djnh C.Lft logi cd pMlu cho phep chu sd hftu dugc chuyen ddi thftnh mdt lugng hgp ddng quyln chon nhlt djnh D.Khdng cd phuang an diing Cftu 2: Viec phat hftnh cd philu bd sung kem quyln mua cd phan lftm tang: A.Ng cdng tyC Vdn cd phftn cdng ty B.Tfti sftn cdng tyD Cft B vft C CSu 3: Cd pMeu uu dai cho phep nhft dau tu nhan dugc muc cd tuc cua cftc nam truac teong trudng hgp cdng ty chua cd khft nang chi tift: A.Cd philu uu dai dg phinC Co philu uu dfti tich luy B.Cd philu uu dai cd tftcD Co pMlu uu dfti khdng tich luy Cftu 4: Bao lanh phftt hanh lft viec td chiic bfto lanh giiip td chiic phftt hanh: A.Thgc M|n cac thii tgc trudc chfto ban chiing khoan B.Binh In gift chiingC Phan phdi chiing khoftnE A, B vft C khoftn CSu 5: Dftu thlu ttfti pMlu: D Niem ylt chiing khoftnF A, B, CvftD A.Uu tien nhft dlu ttr dat lfti suit caoC Uu tien nhft dlu tu dat thlu vdi gift tri ldn B.Uu tien nhft dlu tu dat lfti suit thlpD Uu tiin nhft dlu tu cd kinh ngM|m CSu 6: Trong pMen khdp l|nh djnh ky xac djnh gift md cua: A.Nhft dlu ttr cd thi su dgng lenh ATO vft LO d! dgt llnh B.Nhft dlu tu cd th! sd dung lenh ATO, ATC vft LO d! dat lenh C.Nhft dlu tu cd th! su dgng l|nh ATO, MP vft LO dl dat lenh D.Lenh se dugc khdp kM cd lenh dli dng phu hgp Cfiu Dgc diem nfto sau dfty KH6NG diing vdi thj trudng chiing khoftn sa cftp: A.Lft thj trudng huy dong vdn cho td chdc phftt hftnh B.Lft thj trudng tgo tinh khoftn cho chiing khoftn cua to chuc phftt hftnh C.Gift phftt hftnh chiing khoftn teln thj trudng sa cftp thudng td chdc phftt hftnh quy djnh D.TSt cft cftc phuang ftn teln deu diing Cfiu Theo quy djnh Men hftnh, chu ky toin tgi thj trudng chiing khoftn Vi|t Nam lft: A.T+3, tiong T lft ngfty giao djchC T+2, tiong T lft ngfty giao djch B.T+3, tiong T lft ngfty tuftnD T+2, T lft ngfty teong tuan CSu Thdng tin vl phuang ftn dau gift cd philu nhu sau: 1/4 1.T^n doanh nghigp bftn dftu gift: Cdng ty Co phftn Nhya An Phftt Xanh Bia chi: L6 CN11 + CN12, cgm CN An ding, Thi Trftn Nam Sftch, Huygn Nam Sftch, Tinh Hfti Duong BI^^n thogi: 02203 755 997 2.Cdphiftu chfto bftn: -Tftn c6 phiftu: Cd phiftu Cdng ty Cd phftn Nhga An Phftt Xanh -Logi cd phiftu: Cd phiftu phd thdng -Mftnh gift: 10.000 ddng/cd phftn -Sd lugng dftng k) chfto bftn: 75.000.000 cd phiftu 3.Tdng gift trt vdn huy ddng dg kiftn: 1.050.000.000.000 ddng 4.Muc dich huy ddng vdn:Tfti cftu true cftc khoftn ng vft bd sung vdn luu ddng 5.Sd lugng cd phftn nhft dftu tu nude ngofti dugc phftp mua: 75.000.000 cd phftn 6.Gift khdi dlftm: 14.000 ddng/cd phftn 7.Logi cd phftn chfto bftn: Cd phftn phd thdng, tg chuyftn nhugng So tiin dat cpe cua Nha dlu tu A tham gia dgt thlu nhu clu mua 1.000.000 cl pMlu la bao nMlu: A.1.400.000.000 dingC 500.000.000 ding B.1.000.000.000 dingD 140.000.000 ding CSu 10: Cong ty X phat hftnh 4.000.000 ci philu theo Mnh thirc bao lanh phftt hftnh cam kit chic chin vai pM bfto lanh lft 1,5 ngMn don^/ci pMeu Kit thuc dot bfto lanh, to chtic bfto lanh phftt hftnh bftn dugc 3,5 trigu co pMeu cho nhft dau tu, vay, phi bfto lanh phftt hftnh mft tl chirc Bao Utah phftt hftnh nhan dugc la: A.5,25 ty dingC 6,5 ty ding B.6 ty dingD Khong co phuang ftn diing Cftu 11 Theo thong tin dugc cung cap ttr cftc hinh duai dfty, thi sftn giao djch Tp Hi CM Minh c6 bao nMeu mft co pMlu c6 giao djch: A.53C 221 B.88D 461 CSu 12: Trich thong bfto kit quft dlu gift cua CTCP An Phftt: -Gift khai diim: 12.000 ding -Gift tiling thlu cao nhlt: 16.000 ding -Gift tiling thlu thftp nhit: 12.000 ding -Gift tiling thlu binh quan: 13.450 ding Nhft dlu tu dftt thlu nfto sau day chic chin tiling thiu: A.Dftt mua vai muc gift 12.000 dingD B vft C diing B.Dftt mua vai miic gift 15.000 dingE A, B vft C dung C.Dftt mua vai muc gift 16.000 ding Cftu 13: Cong ty cl phin Fireant thong bfto cM teft cl tuc bing cl pMlu nam 2020 vai ty 1? 30% Nha dau tu A dang sa hftu 1000 cl pMlu ciia cong ty Fireant tai ngfty chit danh sftch cl dong nhftn cl tuc Vay, nhft dlu tu A si nhftn dugc si cl pMlu ci tire la: 2/4 A.lOOOclphiluC 1300 c! philu B.300 c! philu"D? Khong co phuang ftn diing CSu 14 Nhft dlu tu A mua quyln chgn bftn 100 c! pMlu ky hgn thftng vai gift thgc Men 40.000 dlng/cp vft phi quyln chgn ban lft 200.000 dlng/hgp ding Nlu sau thftng, gift c! philu lft 41.000 ding, lgi nhuan cua nhft dlu tu A tinh teen hgp ding si lft bao nMeu A.NDT A lai 200.000 dingD NDT A lo 100.000 ding B.NDT A lo 200.000 dingE Khong co phuang ftn diing C.NDT A lai 100.000 ding CSu 15: CTCP X dugc phep phftt hftnh 10 trieu c! pMlu theo Dilu 1? cong ty, cong ty da phftt hftnh dugc trieu c! pMeu, teong co tiilu co pMeu ngan quy Vgy c6ng ty co bao nMeu c! philu dang luu hftnh? A.9 teifu c! pMluC tii|u c! philu B.8 trifu c! pMluD 10 trieu c! pMlu II - NIL4N DINH DtlNG/SAI VA GIAI THICH NGAN GQN CSu 1: Chiing quyln lft logi chiing khoftn dugc phftt hftnh cung vai dgt phftt hftnh co phieu bl sung ciia cong ty co phan CSu 2: Thi gift ciia co philu cftng cao tM gift trj von dilu 1? cua doanh nghigp cftng lan CSu CTCP Chiing khoftn Sfti Gon - Hft Npi cong bl thong tut v! viec phftt hftnh cl pMlu SHS d! tang vin dilu 1? nam 2021 nhu sau: 1.Tin to chuc phAt hiinli: Cong tf Cft phitl CMhg khoftn Sftl Cftn - tU Nftl 2.Dia ctu Iru