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证券发行与承销单项选择练习题及答案解析

证券发行与承销单项选择练习题及答案解析
证券发行与承销单项选择练习题及答案解析

证券发行与承销单项选择练习题及答案解析

1.在A股发行定价分析报告中,发行人和主承销商不必研究本行业上市公司的()。

A.数量与名称

B.最近15个交易日的平均成交量

C.最近15个交易日的平均市盈率

D.最近15个交易日的平均收盘价格

答案与解析:选B。

2.在我国内地,一般情况下,发行金融债券的申请获得批准以后,发行人首先应()。

A.公告公开募集文件

B.向传媒吹风,公开发债信息

C.印制金融债券

D.支付发行手续费

答案与解析:选A。经中国人民银行核准发行金融债券的,发行人应于每期金融债券发行前3个工作日披露募集说明书和发行公告。

3.1993年8月,()发布了《企业债券管理条例》。

A.国家计划委员会

B.国务院

C.中国人民银行

D.中国证券监督管理委员会

答案与解析:选B。

4.()不属于可转换公司债券募集说明书的内容。

A.偿还方法

B.公司章程

C.申请转股的程序

D.赎回条款及回售条款

答案与解析:选B。

5.向中国证监会提出可转换公司债券上市交易申请时,无须提交

()。

A.偿债措施:担保合同

B.公司章程

C.申请上市的董事会决议

D.债券募集办法

答案与解析:选B。

6.我国内地证券经营机构申请B股业务资格时应当报送最近()经营证券业务的情况说明。

A.1年

B.2年

C.3年

D.5年

答案与解析:选B。

7.首次公开发行股票申请文件目录所列举的文件是发行申请文件的()。

A.最低要求

B.最高要求

C.一般要求

D.绝对要求

答案与解析:选A。

8.发行公司可许可承销商超额发售一定比例的股份,这个比例通常在()以内。

A.10%

B.15%

C.20%

D.25%

答案与解析:选B。超额配售选择权是指发行人授予主承销商的一项选择权,获此授权的主承销商按同一发行价格超额发售不超过包销数额15%的股份,即主承销商按不超过包销数额115%的股份向投资者发售。

9.拟发行B股股本总额超过4亿元人民币的,向社会发行股份的比例应达公司股份总数的()以上。

A.10%

B.15%

C.20%

D.25%

答案与解析:选B。申请发行境内上市外资股的,应当符合以下条件:拟向社会发行的股份达公司股份总数的25%以上;拟发行的股本总额超过4亿元人民币的,其拟向社会发行股份的比例达15%以上。答案与解析:选B。

10.上市公司应当指定()授权代表负责信息披露事务。

A.1名

B.2名

C.3名

D.4名

答案与解析:选B。公司应当指定专人(两名授权代表)负责信息披露事务,包括与中国证监会、证券交易所、证券公司或有关证券经营机构、新闻机构等的联系,并回答社会公众提出的问题。这两名授权代表中应有1名是公司董事会秘书。

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