中国银河证劵贵州银河

中国银河证劵贵州银河
一:中国证券业协会会员投资者教育工作指引
1.投资者教育工作的目的是为了帮组社会公众了解证券行业，自觉维护市场次序，___? 1. A 增强财产安全意识
2. B 促进资本市场规范发展
3. C 促进投资者财产收入
4. D 深入理解证券投资法则
正确
2.会员单位应当指定或设立相应部门具体负责本单位的投资者教育工作，履行下列职责: 1. A 拟订投资者教育工作的中长期规划、年度计划和相应工作方案
2. B 调查和研究投资者教育工作中的问题
3. C 策划、开发、组织实施投资者教育活动项目
4. D 检查、考核和评价投资者教育工作的效果
5. E 以上都包含
正确
3.证券投资咨询机构应结合自身特点开展投资者教育工作，向投资者介绍证券投资知识、___和风险特征等内容。

1. A 证券的相关法律知识
2. B 不同证券产品的收益
3. C 何如学习证券知识
4. D 如何获取更多的效益
正确
4.协会可以按照中国证监会的要求和证券公司的申请，依据客观、公正原则对
证券公司专业管理能力、信息系统安全与稳定、客户服务水平、_____等方面进行
专业评价。

1. A 投资者反馈
2. B 产品、业务成效
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar,
Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
3. C 投资者教育
4. D 宣传效益
正确
5.会员单位应当采取以下方式开展投资者教育活动:
1. A 参加协会、各地方证券业协会(以下简称地方协会)组织的各类投资者教
育活动 2. B 在营业场所张贴标语、宣传画、风险揭示书等宣传资料，向投资者发放各类宣传材料 3. C 在营业场所举办投资者教育讲座、培训
4. D 在本单位网站设立投资者教育专栏;在交易委托系统中设置风险提示的有
关内容;通
过电子信箱等方式解答投资者的问题;为投资者开通短信服务
5. E 以上都正确
正确
6.为了提高透明度，各证券经营机构会员单位应严格按照要求做好公司基本情况、经营性分支机构、_____、高管人员等信息的公示工作。

公示内容如有变更，
应及时进行更新。

1. A 投诉者名单
2. B 业务许可类型与产品
3. C 投资者工作背景
4. D 公司营业效益
正确
7.证券公司、基金管理公司、证券投资咨询机构等会员应在_____底之前向协
会报送上年度的投资者教育工作总结和下一年度的投资者教育工作安排，同时抄送注册地的地方协会。

1. A 每一年度的一月
2. B 每一季度底
3. C 每一月度底
4. D 每一年度十二月底
正确
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ?
2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
8.投资者教育工作的目的是为了帮组社会公众了解证券行业，自觉维护市场次序，___? 1. A 增强财产安全意识
2. B 促进资本市场规范发展
3. C 促进投资者财产收入
4. D 深入理解证券投资法则
正确
9.证券投资咨询机构应结合自身特点开展投资者教育工作，向投资者介绍证券投资知识、___和风险特征等内容。

1. A 证券的相关法律知识
2. B 不同证券产品的收益
3. C 何如学习证券知识
4. D 如何获取更多的效益
正确
10.为了提高透明度，各证券经营机构会员单位应严格按照要求做好公司基本情况、经营性分支机构、_____、高管人员等信息的公示工作。

公示内容如有变更，应及时进行更新。

1. A 投诉者名单
2. B 业务许可类型与产品
3. C 投资者工作背景
4. D 公司营业效益
正确
11.地方协会要建立健全监督检查机制，检查重点为各证券经营机构对新客户的投资者教育，对新产品、新业务知识宣传和风险提示情况，以及___。

1. A 投资者收益情况
2. B 对投资者投诉的处理情况
3. C 公司营业情况
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17
arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
4. D 新产品、新业务使用成效情况
正确
12.对新开户的客户原则上至少要通知其参加一次投资者教育讲座或培训，提
高其相关认识中，以下哪些方面属于投资风险的认识:
1. A 证券公司的基本情况、法定业务范围
2. B 各类证券投资产品的市场风险和收益特点
3. C 业务合同、协议及双方的权利和义务，员工守则要点
4. D 要让投资者了解和区分不同产品和不同业务的风险特征，理解“买者自负”的原则
5. E 以上都包含
正确
13.地方协会要按照中国证监会和协会的要求，对本辖区内的商业银行等基金
代销机构的投资者教育工作情况进行____。

1. A 问卷调查
2. B 案例分析
3. C 走访了解
4. D 选择性抽取调查
正确
14.证券公司、基金管理公司、证券投资咨询机构等会员应在_____底之前向协
会报送上年度的投资者教育工作总结和下一年度的投资者教育工作安排，同时抄送注册地的地方协会。

1. A 每一年度的一月
2. B 每一季度底
3. C 每一月度底
4. D 每一年度十二月底
正确
15.基金管理公司及基金代销机构可以采用以下哪些方式开展投资者教育, (SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol
amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
1. A 在公司网站设立“投资者教育专栏”
2. B 举办专题讲座或现场咨询活动。

3. C 在新闻媒体开设基金投资者教育专栏。

4. D 开设基金投资咨询服务热线电话。

5. E 以上都包含
二:上海证券交易所融资融券交易试点实施细则单选题
正确
1.会员在向客户融资、融券前，应当按照有关规定与客户签订融资融券合同及
风险揭示书。

该说法:
1. A 正确
2. B 错误
正确
2.投资者融资买入证券后，只能通过卖券还款的方式向会员偿还融入资金。

该
说法: 1. A 正确
2. B 错误
正确
3.标的股票交易被实施特别处理的，本所自该股票被实施特别处理当日起将其
调整出标的证券范围。

该说法:
1. A 正确
2. B 错误
正确
4.证券被调整出标的证券范围的，在调整实施前未了结的融资融券关系将失
效。

该说法: 1. A 正确
2. B 错误
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid
added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
正确
5.会员向客户融资、融券，应当向客户收取一定比例的保证金。

保证金必须是
标的证券。

该说法:
1. A 正确
2. B 错误
错误
6.客户追加担保物后的维持担保比例不得低于130%。

该说法:
1. A 正确
2. B 错误
正确
7.会员公布的融资保证金比例、融券保证金比例及维持担保比例，不得超出本所规定的标准。

该说法:
1. A 正确
2. B 错误
正确
8.投资者通过上海普通证券账户持有的深圳市场发行上海市场配售股份划转到深圳普通证券账户后，方可作为融资融券交易的担保物。

该说法:
1. A 正确
2. B 错误
正确
9.融券卖出的申报价格不得低于该证券的最新成交价;当天没有产生成交的，申报价格不得低于其前收盘价。

低于上述价格的申报为无效申报。

该说法:
1. A 正确
2. B 错误
正确
10.投资者在本所进行融资融券交易，应当按照有关规定选定一家会员为其开
立一个信用资金账户。

该说法:
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17
arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
1. A 正确
2. B 错误
错误
11.会员公布的融资保证金比例、融券保证金比例及维持担保比例，不得超出
本所规定的标准。

该说法:
1. A 正确
2. B 错误
正确
12.会员通过客户信用交易担保证券账户持有的股票应计入其自有股票。

该说法: 1. A 正确
2. B 错误
错误
13.日均涨跌幅，指过去六个月内标的证券或基准指数每日涨跌幅绝对值的平
均值。

该说法: 1. A 正确
2. B 错误
正确
14.会员应当对客户提交的担保物进行整体监控，并计算其维持担保比例。

该
说法: 1. A 正确
2. B 错误
错误
15.客户追加担保物后的维持担保比例不得低于130%。

该说法: 1. A 正确
2. B 错误
创业板市场投资者适当性管理暂行规定单选题
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L),
dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
正确
1.证券公司没必要了解客户的身份、财产与收入状况、证券投资经验、风险偏
好及其他相关信息。

1. A 正确
2. B 错误
正确
2.如果投资者不配合或提供虚假信息的，证券公司可以拒绝为其提供开通创业
板市场交易服务。

1. A 正确
2. B 错误
正确
3.深圳证券交易所没有义务为证券公司实施创业板市场投资者适当性管理提供
必要的技术支持和查询服务。

1. A 正确
2. B 错误
正确
4.证券公司应当指定经理层高级管理人员和专门部门，组织实施创业板市场投
资者适当性管理和投资者教育等方面工作，并强化内部责任追究机制。

1. A 正确
2. B 错误
正确
5.证券公司应当完善客户纠纷处理机制，明确承担此项职责的部门和岗位，负
责处理投资者参与创业板市场所产生的投诉等事项，及时化解相关的矛盾纠纷。

1. A 正确
2. B 错误
正确
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved
people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
6.根据深圳证券交易所和中国证券业协会按照会员管理的要求，对发现的违规
行为及时采取自律措施，向深圳证券交易所报告并通报证监会相关派出机构。

1. A 正确
2. B 错误
正确
7.深圳证券交易所和中国证券业协会按照会员管理的要求，对证券公司实施创
业板市场投资者适当性管理和投资者教育等方面情况进行自律监管，对发现的违规行为及时采取自律措施，向深圳证券交易所报告并通报证监会相关派出机构。

该说法:
1. A 正确
2. B 错误
正确
8.________________应当为证券公司实施创业板市场投资者适当性管理提供必要的技术支持和查询服务。

1. A 登记结算公司和深圳证券交易所
2. B 中国证监会
3. C 深圳证券交易所
4. D 上海证券交易所
正确
9._____ 应当完善客户纠纷处理机制，明确承担此项职责的部门和岗位，负责处理投资者参与创业板市场所产生的投诉等事项，及时化解相关的矛盾纠纷。

1. A 证券公司
2. B 登记结算公司
3. C 中国证监会
4. D 深圳证券交易所
5. E 上海证券交易所
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
正确
10.深圳证券交易所没有义务为证券公司实施创业板市场投资者适当性管理提
供必要的技术支持和查询服务。

1. A 正确
2. B 错误
正确
11.根据深圳证券交易所和中国证券业协会按照会员管理的要求，对发现的违规行为及时采取自律措施，向深圳证券交易所报告并通报证监会相关派出机构。

1. A 正确
2. B 错误
正确
12.证券公司应当在业务流程中落实创业板市场投资者适当性管理的各项规定，持续做好投资者教育和风险揭示工作。

1. A 正确
2. B 错误
正确
13.证券公司应当完善客户纠纷处理机制，明确承担此项职责的部门和岗位，负责处理投资者参与创业板市场所产生的投诉等事项，及时化解相关的矛盾纠纷。

1. A 正确
2. B 错误
正确
14._____ 应当完善客户纠纷处理机制，明确承担此项职责的部门和岗位，负责处理投资者参与创业板市场所产生的投诉等事项，及时化解相关的矛盾纠纷。

1. A 证券公司
2. B 登记结算公司
3. C 中国证监会
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L),
dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
4. D 深圳证券交易所
5. E 上海证券交易所
正确
15.如果投资者不配合或提供虚假信息的，证券公司可以拒绝为其提供开通创
业板市场交易服务。

1. A 正确
2. B 错误
证券投资基金销售人员从业资质管理规则教程
单选题
正确
1.以下基金销售人员中，不需取得中国证券业执业证书就能从业的是( ) 1. A 基金管理公司的全部基金销售人员
2. B 证券公司总部从事基金销售业务管理的人员
3. C 证券投资咨询营业网点从事基金销售业务管理的人员
4. D 商业银行总
行从事基金理财业务咨询活动的人员
正确
2.基金销售人员在开展基金宣传推介活动时应向基金投资人出示从业资质证
明。

此种说法:
1. A 正确
2. B 错误
正确
3.基金销售机构应为通过证券业从业人员资格考试的基金销售人员统一办理的
事项不包括( )
1. A 职前培训
2. B 执业注册
3. C 后续培训
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b
base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
4. D 执业年检
正确
4.通过“证券投资基金销售基础知识”一科的，可获得( )。

1. A 基金销售
人员从业考试成绩合格证
2. B 中国证券业执业证书
3. C 基金销售从业资格证书
正确
5.基金管理公司的全部基金销售人员都应取得中国证券业执业证书。

此种说法: 1. A 正确
2. B 错误
正确
6.基金销售人员在开展基金宣传推介活动时不必向基金投资人出示从业资质证明。

此种说法:
1. A 正确
2. B 错误
正确
7.协会对各基金销售机构基金销售人员的持证上岗情况以及执业行为等进行监
督检查。

此种说法:
1. A 正确
2. B 错误
正确
8.以下基金销售人员中，不需取得中国证券业执业证书就能从业的是( ) 1. A 基金管理公司的全部基金销售人员
2. B 证券公司总部从事基金销售业务管理的人员
3. C 证券投资咨询营业网点从事基金销售业务管理的人员 (SnCl2 2H2O),
Add hydrochloric acid to dissolve and dilute to 100mL to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL
hydrochloride. 10.11 lead acetate solution (100g/L). 10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in
glass bottles. 10.13 the sodium hydroxide solution (200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL
water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine,
again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L), dissolved plus
25mL acid (6+94), move people 1000mL in the bottle, add new boiled
cooled water diluted to scale, and store in a brown glass bottle.
Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at
100mL. Volumetric flask, add 1mL sulfate (6+94).
4. D 商业银行总行从事基金理财业务咨询活动的人员
正确
9.协会对各基金销售机构基金销售人员的持证上岗情况以及执业行为等进行监督检查。

此种
说法:
1. A 正确
2. B 错误
正确
10.已取得中国证券业执业证书的，可以豁免基金销售人员从业考试。

此种说法: 1. A 正确
2. B 错误
正确
11.取得基金销售人员从业考试成绩合格证的人员不可以参加的培训是: 1. A 所在机构组织的培训
2. B 协会远程系统的培训
3. C 所在辖区地方证券业协会组织的培训
4. D 所在辖区以外的地方证券业协会组织的培训
正确
12.( )对基金销售人员进行日常管理。

1. A 基金销售机构
2. B 中国证券业协会
3. C 中国证监会
正确
13.基金销售机构总部负责基金销售业务的部门中从事基金销售业务管理的人
员适用本规则。

此种说法:
1. A 正确
(SnCl2 2H2O), Add hydrochloric acid to dissolve and dilute to 100mL
to join the metal Tin particles. 10.10 HCL (1+1): volume 50mL, diluted with water to 100mL hydrochloride. 10.11 lead acetate solution (100g/L).
10.12 lead acetate cotton: with lead acetate solution (100g/L) after the soaked cotton wool, in addition to the extra solution and loose, at 100 ? dry, store in glass bottles. 10.13 the sodium hydroxide solution
(200g/L). 10.14 sulfuric acid (6+94): volume take 6.0mL sulfuric acid added Yu 80mL water in the, cold Hou again added water diluted to 100mL 10.15 two b base II sulfur generation amino carboxylic acid silver-three ethanol amine-three chlorine methane solution: said take 0.25G two b base II sulfur generation amino carboxylic acid silver [(C2H5) 2NCS2Ag] placed mortar in the, added few three chlorine methane grinding, moved people 100mL graduated cylinder in the, joined 1.8mL, three ethanol amine, again with three chlorine methane points times washing mortar, Wash together into the graduated cylinder, and methylene chloride in dilute Release to 100mL, and put up for the night. Filter man Brown
bottle for storage. 10.16 the arsenic standard stock solution: weigh accurately in sulfuric acid 0.1320g dryer for drying or drying at 100 ? 2H arsenic trioxide, and 5ml. Sodium hydroxide solution (200g/L),
dissolved plus 25mL acid (6+94), move people 1000mL in the bottle, add new boiled cooled water diluted to scale, and store in a brown glass bottle. Arsenic per ml of this solution corresponds to 0.10mg. 10.17 arsenic standard solution: lessons 1.0mL arsenic standard stock solution, at 100mL. Volumetric flask, add 1mL sulfate (6+94).
2. B 错误
正确
14.基金销售人员在开展基金宣传推介活动时应向基金投资人出示从业资质证明。

此种说法:
1. A 正确
2. B 错误
正确
15.通过“证券投资基金销售基础知识”一科的，可获得( )。

1. A 基金销
售人员从业考试成绩合格证
2. B 中国证券业执业证书
3. C 基金销售从业资格证书
五:证券经纪人管理暂行规定教程
单选题
错误
1.证劵公司与证劵经纪人签订委托合同时，不需载明的事项是,
证券公司的名称和证券经纪人的姓名1. A。