Đề thi môn thị trường chứng khoán (2)

HQC VlgN NGAN HANG DE THI KET THUC HQC PHAN: KHOA TAl CHINH Th( tru&ng ch&ng khodn (FIN13A) DE THI SO 01 Thdi gian lam bdi: 90phitt Ap dung cho khoa/ he/ lap: DHCQ Cathi: ^ ;Ngftythi: Dgi dign Phong TT-QLCL: Ngudi duyet dl: ; Ngay I - LQA CHQN PHI/ONG AN TRA LOU DUNG NHAT Cau 1: Cd philu qu^: A.Lft logi cd philu dugc phftt hanh va dugc td chiic phftt hanh mua lai tren thj trudng B.Ngudi sd hftu cd quyln bieu quyet vft quyln dugc chia cd tiic C.La m^t phin cd philu da phftt hanh D.AvaCdiing E A, B vft C dung Cau 2: Nhftng nguyen tic hoat ddng cua thj trudng chiing khoftn bao gdm: A.Nguyen tic trung gian, nguyen tic dftu gift, nguyen tic cdng khai thdng tin B.Nguyen tic cdng khai thdng tin, nguyen tic tilt ki|m, nguyen tac dlu gift C.Nguyen tac tich lfly, nguyen tic dau gift, nguyen tac trung gian D.Khdng co phuang ftn dung Cau 3: Can cii theo tinh chit luftn chuyin vdn, thj trudng chiing khoftn dugc chia thftnh: A.Thj trudng tai chinh, thj trudng tiin te B.Thi trudng thii cftp, thj trudng cao cftp C.Thj trudng sa cap, thj trudng thii cftp D.Khdng cd phuang ftn diing Cau Phuang thuc Bfto lftnh phftt hanh (BLPH) td chiic Bfto lanh phftt hftnh cam kit thgc hien mua mgt phin hogc toan bO sd lugng cd philu phftt hanh sau bftn lai cho nha dftu tu la: A.BLPH tdi thilu tdi da B.BLPH cd glng tdi da Cau Cd philu la loai chiing khoftn: C.BLPH cam kit chic chin D.BLPH tit eft hoac khdng A.Chiing khoftn vdn B.Chiing khoftn ng Cau Quyen mua cd phan mang lai cho nha dau tu: C.Chiing khoftn cd thu nhap cd djnh D.Khdng cd dftp ftn diing A.Quyen nh|n cd phieu thudng B.Quyen bieu quyet C.Quyen dugc mua cd phiftu mdi dgt tang vdn D.Quyen chgn bftn cd phieu Cau CTCP X dugc phep phftt hanh 10 trieu cd philu theo Dieu lg cdng ty, cdng ty phftt hanh dugc trieu cd philu, dd cd trieu cd philu ngftn quy Vay cdng ty cd bao nhieu co philu dang luu hanh? A.9 trifu cd philuC trieu cd philu B.8 trigu cd philuD 10 trieu c! philu Cau Dftu thlu trfti philu: A.Uu tien nha dlu tu dat lai suit caoC Uu tidn nha dlu tu dat thlu vdi gift tri ldn B.Uu tien nha dlu tu dat lai suit thlpD Uu tidn nha dlu tu cd kinh nghiem Cau Theo quy djnh Men hanh, chu ky toftn tgi thj trudng chiing khoftn Viet Nam la: A T+3, T lft giao djchB T+3, T la tuin 1/3 C T+2, dd T lft ngfty giao djchD T+2, dd T lft ngfty tuin Cau 10 Cdng ty chiing khoftn FireAnt Men dang dugc clp phep hogt d^ng nghigp vu mdi gidi chiing khoftn, tu vin dlu tu chiing khoftn vft tu doanh chiing khoftn Trong thdi gian tdi, cdng ty mudn dftng ky hogt ddng them ngM|p vg bfto lanh phftt hftnh chiing khoftn Vay sd vdn phftp djnh cdng ty cln cd thdm de dftng ky ngMep vg lft bao nMdu theo quy djnh Mln hftnh tai Viet Nam A.100 ty ddngC 265 ty ddng B.165 ty dingD 300 ty ddng Cau 11 Trich thdng bfto kit quft dlu gift ciia CTCP An Phftt: -Gift khdi diim: 12.000 ding -Gift tiling thlu cao nhlt: 16.000 dong -Gift tiling thlu thlp nhlt: 12.000 ddng -Gift tiling thlu binh quan: 13.450 ddng Nhft dlu tu dat thau nfto sau day chac chftn tiling thau: A.Datmua vdi miic gift 12.000 ddngD B vft C diing B.Dat mua vdi miic gift 15.000 ddngE A, B vft C diing C.Dftt mua vdi miic gift 16.000 ddng Clu 12 Cdng ty co phin Fireant thdng bfto chi tra cd tuc bing cd philu nam 2020 vdi ty lg 30% Nhft dlu tu A dang sd Miu 1000 cd pMlu ciia cdng ty Fireant tgi ngfty chdt danh sftch cd ddng nhgn cd tiic Vay, nha dau tu A se nhin dugc sd cd pMeu co hie lft: A.1000 cd pMluC 1300 cd pMlu B.300 cd phieuD Khdng cd phuang ftn diing Cau 13 Theo thdng tin dugc cung cap tir cftc hinh dudi dfiy, thi sftn giao dich Tp Hd CM Minh cd bao nhieu ma cd pMeu cd giao djch: A 53B 88C 221D 461 Cau 14: Gift ddng ciia ciia cd pMlu TDC ngfty 07/10/2021 lft 25.200 ddng/cd pMlu, Men dp giao ddng gift vdi cd pMlu lft 7%, dan vj y!t gift lft 50 ddng Trong phien giao djch ngfty 08/10/2021, gift nfto mft nhft dau tu dua dudi day lft hgp le: A.27.000C 25.550 B.26.020D Khdng cd phuang ftn diing Cau 15: Nhft dlu tu B bftn quyln chgn bftn 100 cd pMlu ky han thftng vdi gift thgc Mgn 30.000 ddng/cp vft phi quyln chgn bftn lft 100.000 ddng/hgp dong Nlu sau thftng, gift co pMlu lft 31.000 ddng, Ipi nhugn ciia nhft dlu tu B tinh tiin hgp ddng se lft bao nhieu A.NDTB lai 200.000 ddngD NDTBhdavon B.NDT Bio 100.000 dongE Khong cd phucmg ftn diing C.NDT Blfti 100.000 ding II - NHAN DJNH DtJNG/SAI VA GlAl THICH NGAN GQN CSu 1: Phuang thiic bfto lftnh cam kit chic chin sd dem lgi riii ro cao nhlt cho td chiic phftt hftnh chiing khoftn 2/3 Cau 2: Trong giao djch khdp lenh cd nMlu loai lenh dugc stir dung nhu ATO, MP, LO Trong loai lenh teen, linh MP lft loai lgnh se dugc uu tien khdp lenh dlu tien tai bit cii thdi diim nfto lenh MP dugc nhgp vfto he thing C3u 3: Cdng ty X phftt hftnh them co pMlu cho cd ddng Mfn hftu vdi ty le 2:1, nlu ngMgp vu tten thftnh cdng von dieu le cua cdng ty se tang ldn gap ddi iii-bAitap Bai Nam 2018, Cdng ty c! phin thuy san Tiin Vua tiin hftnh dlu gift cd phin theo Mnh thiic dlu gift cgnh tianh (da gift), sd lugng cd pMlu dau gift lft 15 tri|u cd pMeu, gift khai diem lft 12.000 ddng/ cd pMlu Tai thdi diim ddng thlu, cd du: lieu sau: Nhft dlu tu Gift dat thlu (1000 ddng) Khdi lugng dat (trieu cd pMlu) A B C D E 15.6 12 16.8 tra 15.9 18.0 14.0 16 Yeu cau: 1.Xftc djnh kit quft tiling thau cua tdng nhft dau tu 2.Tinh so tiin npp them d! toftn ciia A vft E Bilt ring ty 16 dat cpc lft 10% Bai Cho thdng tin giao djch ciia cd pMeu Fireant pMen khdp lenh djnh ky xftc djnh gift md ctia ngfty 7/10/2021 nhu sau:Bon vi: cdphiiu, 1000 ddng Nhft dlu tu Khdi lugng mua Gift E A B C D 2000 3000 2400 5000 4500 ATO 43 42.8 42.5 42.4 Khdi lupiig ban Nhft dlu tu 1000 5000 6500 8000 F K I H G Yeu cau: 1.Xftc djnh gift md cua cua cd pMlu tai ngfty 7/10/2021 2.Tinh phi mdi gidi cua cftc cdng ty chiing khoftn thu dugc tu giao djch cua cftc nhft dlu tu ttong bfti Biet rang, lenh cua nhft dlu tu D vft I la lenh giao djch tg doanh ciia cftc cdng ty chiing khoftn Ty 16 pM mdi gidi dugc ftp dung chung tai cftc cdng ty chiing khoftn lft 0.2% Sinh vien KHONG dugc su dung tdi lieu 1dm bdi thi 3/3 ... Khong cd phucmg ftn diing C.NDT Blfti 100.000 ding II - NHAN DJNH DtJNG/SAI VA GlAl THICH NGAN GQN CSu 1: Phuang thiic bfto lftnh cam kit chic chin sd dem lgi riii ro cao nhlt cho td chiic phftt... cd phieuD Khdng cd phuang ftn diing Cau 13 Theo thdng tin dugc cung cap tir cftc hinh dudi dfiy, thi sftn giao dich Tp Hd CM Minh cd bao nhieu ma cd pMeu cd giao djch: A 53B 88C 221D 461 Cau 14:... loai lgnh se dugc uu tien khdp lenh dlu tien tai bit cii thdi diim nfto lenh MP dugc nhgp vfto he thing C3u 3: Cdng ty X phftt hftnh them co pMlu cho cd ddng Mfn hftu vdi ty le 2:1, nlu ngMgp vu