Đề thi môn thị trường chứng khoán (4)

HQC VlgN NGAN HANGdE THI KET THEC HQC PHAN: KHOA TAl CHINHTh\ trudng ch&ng khodn (FIN13A) DE THI SO 03 Thdi gian lam bdi: 90 phut Ap dgng cho DHCQ CatM: A ; Ngfty thi: jfi.lM „,; Ngudi duyet de: Dgi dien Phong TT-QLCL:^\y^s7Y ; Ngfty duy|t dl: i - lQa chqn phUong An trA lot dEng nhAt CSu 1: Co pMlu quy: A.Lft logi c! philu dugc phftt hftnh vft dugc t! chiic phftt hftnh mua lgi tien thi trudng B.Ngudi sd huu cd quyln bilu quyet va quyln dugc cMa co hie C.Lft mgt phin c! philu da phftt hftnh D.AvaCdiingE.A,BvftCdiing CSu 2: Nhung nguyln tac hogt dgng cua thj trudng chiing khoftn bao gom: A.Nguyen tic trung gian, nguyen tic dau gift, nguyln tic cong khai thong tin B.Nguyen tic cong khM thong tin, nguyln tic tilt ki|m, nguyln tic dau gift C.Nguyln tic tich luy, nguyln tic dau gift, nguyln tic trung gian D.Khong cd phuang ftn diing CSu 3: C&n cii theo tinh chat Man chuyin von, thj trudng chiing khoan dugc cMa thftnh: A.Thj trudng tfti chinh, thj trudng tien teC TM trudng sa cap, thj trudng thii cap B.Thi trudng thii cftp, thj trudng cao clpD Khong cd phuang an diing CSu 4: Phftt hftnh chiing khoftn lln dlu la: A.Lft vi|c phftt hanh chiing khoftn lan dlu cong chiing B.Lft vi|c lan dau chiing khoftn dugc ban cho nhft dau tu C.Cft A vft BD Khong cd phuang ftn diing CSu Thj trudng thii cap lft: A.Lft nai doanh ngMep huy dong von trung vft dai hgn thong qua viec phftt hanh cp vft ttfti pMeu B.Lft nai mua bftn cftc logi chiing khoftn kem chat lugng C.Lft nai mua bftn chiing khoftn d& phftt hftnh D.Lft thj trudng chiing khoan kem phftt teien CSu Quyln mua c! phan mang lgi cho nhft dau tu: A.Quyln nhan co phieu thudng B.Quyln bilu quyet C.Quyln dugc mua co phieu mdi tiong dgt tSng von D.Quyln chgn bftn co phiiu CSu Logi chiing khoftn dugc Mem ylt tren SGDCK Ha Noi lft: A.Cl philu, chiing chi quy B.Co philu, chiing chi quy, tifti pMlu C.Co phieu, chiing chi quy, trfti phieu, chiing khoftn phai sinh D.Cl philu, trai pMlu CSu CTCP X dugc phep phftt hftnh 10 trieu c! pMlu theo Dilu 16 cong ty, cong ty phftt hftnh dugc trieu c! pMlu, teong cd trieu c! philu ngan qu^ Vay cong ty cd bao nMeu c! philu dang luu hftnh? A.9 trieu co phieuC trieu co phieu B.8 trieu cl pMluD 10 trif u c! pMlu 1/3 CSu Nhft dftu tu A mua hgp ddng quyln chpn mua cd philu kilu Chftu Au cd ^^ hgn thftng Gift thgc Men ghi tien hgp dong lft 30.000 ddng/cd philu PM quyln chgn mft nhft dlu tu phfti trft cho bin ban la 5.000 ddng/cd pM'lu Nlu gift thj trudng tai thdi diim dao hgn hgp ddng lft 38.000 ddng Nhft dlu tu A se: A.Thuc Mpn hgp ddng vi Ifti 8.000 ddng/co pMlu B.Thgc Men hgp dong vi lfti 3.000 dong/cd philu C.Thgc Men hgp dong vi lfti 5.000 dong/cd philu D.Khdng cd dftp ftn diing CSu 10 Cdng ty cd phftn Fireant thdng bao chi tea cd Me bing co pMlu nam 2020 vdi ty 1| 30% Nhft dftu M A dang sd him 1000 cd phieu cua cdng ty Fireant tai ngfty chdt danh sftch cd ddng nhan co Me V^y, nhft dftu M A si nhgn dugc sd co pMlu cd Me lft: A.lOOOcdpMeuC 1300cdpM6u B.300 co philuD Khdng cd phuang ftn diing CSu 11 Hinh thdc nfto sau dfty lftm tang vdn dilu 16 ciia cdng ty co phftn: A.Phftt hftnh cd philu nidi cho ddi tftc cMIn luge B.Phftt hftnh cd pMlu mdi cho co ddng Men MM C.CM tea cd Me bing cd philu D.CftAvdBE.A,BvftC CSu 12 KM phft sftn, gifti the cdng ty, ngudi nam gift trfti pMlu se dugc hoftn tift: A.Trudc thu! B.Trudc cftc khoftn vay cd th! chip vft cftc khoan phfti tift C.Trudc cftc cd ddng nlm gitt cd pMlu uu dai vft sau cd ddng nlm giu cd pMeu phd thdng D.Trudc cftc cd ddng nlm giii cd philu uu dai vft cd pMlu phd thdng CSu 13: Hinh thdc nfto sau dfty lftm tang von dieu 1| ciia cdng ty cd phan: A.Phftt hftnh co pMlu mdi cho doi tftc cMIn Jugc B.Phftt hftnh cd pMlu mdi cho cd ddng Men him C.Chi frft ed Me bing cd philu D.CftAvftBE.A,BvaC CSu 14: Cho thdng tin ve sd du tfti khoan ciia dng A nhu sau: Sd du tiin dau ngfty 7/10/2021 Sd du W^ cd pMlu ngfty• 7/10/202 ^^J UU k/JUVU ABC * J M^ ^^ dau ^*^^ ^^^^ ii a u, a^ ca a^ f ^ 100.000.000 dong Sd co pMeu ABC mua cdng frong 7/10/2021 5.000vdi copMeu Ngfty 8/10/2021, CTCP ABC chdt danh sftch cd ddng nhan cd Me bang cd pMeu ty 1| 20% So co 7.000 cd philu Me mft dng A dugc nhgn M CTCP ABC lft: A.lOOOcdpMluC 2400cdpM6u B.1400cdpMeuD Khdng cd dftp an diing CSu 15: Theo quy dinh M|n hftnh, tiong pMIn khdp l|nh liin tgc tien Sd giao dich chiing khoftn TP Hd CM Minh, nhft dftu M dugc sii dgng nhflng logi llnh nfto dl mua bftn co philu A.L|nhLOC.LenhMPE.AvftC B.LenhATOD.AvftBF A.BvaC II - NHAN DJNH DENG/SAI VA GIAI THfCH NGAN GQN CSu Cudi ngfty giao dich 8/10/2021, cd da iilu gift cd pMlu nhu sau: M5CK ACB BID Tran 33.35 41.85 Sftn 29.05 36.45 Tham chieu 31.2 39.15 2/3 NNmua NNban 26530 480 (Dan vi: Gid x 1000Khoi lugngxlO) Tir dtt ligu teln, cd th! kiting djnh, NDT nude ngoai dang ban rong cd pMlu BID vdi khdi lugng 265.300 c! philu CSu Quy dftu tu dgng ddng cd tiftch nMlm phfti mua lai chiing cM quy nha dau M yeu cau CSu Nha dftu M thgc Men giao djch ban khdng diing tren quan diem gift chiing khoan tSng teong Mang IM Ill-BAI TAP Bai Chiing khoan SSI triln khM phuang an phat hftnh 329 trieu cd phieu thudng vft chfto bftn cho cd ddng Men hftu, tSng vin len 9.860 ty ding Theo do, SSI se phat hanh htm 219 tri^u co phieu thudng nhSm thuc hien tang von co phan vdi ty 1| 6:2, Mang ling cd ddng sd hftu moi c! philu dugc nhgn them c! pMlu mdi Ting gift tri phftt hftnh theo m|nh gift lft han 2.191 ty ding, nguln vdn phftt hftnh dugc trich M LNST chua phan phdi (1.642 ty ding), thSng du vdn c! phftn (29,5 ty ding) vft quy du trft b! sung vin dilu 16 (519 ty ding) Song song vdi do, SSI cung se thgc hign phat hanh them hoti 109,5 trieu co philu de chao ban cho co dong hien huu vdi ty 16 6:1, Mang duang cd ddng sd hftu moi c! philu cd quyln mua them c! pMlu mdi Gift chfto ban lft 10.000 dlng/cp Ngay 9/9/2021 la dang ky cuoi cung chot danh sftch co ddng de phat hftnh co phieu mdi tir nguon von chu sd hftu vft chfto bftn co phieu mdi cho co ddng hign hftu Tgi thdi diim 14h45 ngfty 7/9/2021, cd mot s! thdng tin v! c! pMlu SSI dugc niem y!t tren HOSE nhu M3CK Gift khdp Khdi lugng Gift md ciia Gift cao nhat Gift thftp nh!t SSI (HOSE) 60.4 24.553.700 60.5 61.4 59.8 Yeu cau: 1.Xac djnh gift tham cMlu, gift tian, gift sftn cua ciphiiu SSI ngfty 8/9/2021 2.lOh sang ngfty 8/9/2021, nhft dau M A kilm tra tfti khoftn cda minh, cd s! du chung khoan SSI cd th! giao djch lft 1000 cd pMlu Tinh sd cd philu thudng nhft dliu M A cd the nhan dugc vft sd cd philu nhft dau M A cd the mua theo quyln thgc Men quyln Tinh so tien nhft dftu M A phfti ndp de sd MM sd cd pMlu mdi theo quyln Bai Trich bftng giao djch true Myen cua cd pMlu HPG vfto phien khdp lenh djnh ky xftc djnh gift md cda ngfty 01/10/20XX tgi HOSE nhu sau: (Dan vj gift: Nghin ding - Dan vj KL: Cl pMlu) M&CK Dat mua Gift KL3 HPG 54.5 Gift KL2 Gia 5000 55 3000 ATO Dat bftn KL1 Giai 2000 ATO KL1 Gift KL2 Gift KL3 3000 54.5 6000 54.8 9000 Gid su tat cd cdc lenh dat mua ban deu dugc hign tren bang gid vd khong co them bdt c& lenh ndo duac nhap vdo he thong giao dich Yeu cau: 1.Xftc djnh gift md ciia cua c! phiiu HPG teong pMen giao djch ngfty 01/10/20XX 2.Xftc djnh phi mdi gidi mft cftc CTCK thu dugc tiong phien khdp lenh djnh ky xftc djnh gift md cua ngfty 01/10/20XX, bilt ring ty 16 phi mdi gidi lft 0.1% Sinh vien KH()NG dugc s& dung tdi lieu lam bdi thi 3/3 ... 01/10/20XX, bilt ring ty 16 phi mdi gidi lft 0.1% Sinh vien KH()NG dugc s& dung tdi lieu lam bdi thi 3/3