Đề thi môn thị trường chứng khoán (3)

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Dai dien Phong TT-QLCL:.f*xk^ri......; Ngfty duyet dl: ...

I - lqA chqn phuong An tra lot dEng nhAt
Cau 1. TM trudng chiing khoftn dugc phftn chia thftnh cftc dang thj trudng nfto sau day:
A.Thj trudng sa cap, thj trudng thii cap
B.Thj trudng cd philu, thi trudng trfti phieu, thj trudng chiing khoftn phfti sinh
C.Cft A vft B dlu diingD. Ca A vft B dlu sai
Cau 2. Co philu lft loai chiing khoftn:
A.Chiing khoftn vdnC. Chiing khoftn cd thu nhap cd djnh
B.Chiing khoftn ngD. Khdng co dftp ftn diing
Cau 3. Cdng ty co phin co the phftt hftnh logi chiing khoftn nfto sau day:
A.CdpMluD. Quyln mua cd phin
B.Trfti pMluE. Tat cft cftc phuang ftn tien deu diing
C.Chiing quyen

Cau 4. Quy dlu tu chiing khoftn dang ddng cd dgc diim:
A.Von dilu le cua quy thudng xuyln Men dgng

B.Chiing chi quy dugc giao djch teen thi trudng thii cap
C.Quy cd nghTa vg phfti mua lgi chiing cM quy kM nhft dau tu ylu cftu

D.Tit ci cftc phuang ftn teen dlu dung
Cau 5. Dau thlu trfti philu:
A.Uu tien nhft dlu tu dgt lai suit caoC. Uu tien nhft dlu tu d|t thlu vdi gift trj ldn
B.Uu tien nhft dlu tu dat lai suit thlpD. Uu tiin nha dlu tu cd kinh ngMem
Cau 6. Trong philn khdp lenh djnh ky xftc djnh gift md cua:
A.Nhft dlu tu cd th! su dgng lenh ATO vft LO d! d^^t lenh
B.Nhft dlu tu cd th! sii dung lgnh ATO, ATC vft LO d! dat lgnh
C.Nhft dlu tu cd th! stir dung lgnh ATO, MP vft LO d! dat lenh
D.Lgnh si dugc khdp ngay kM cd linh dli ling phu hgp
Cau 7. Trat tg uu tien khdp linh tien he thing giao djch ciia SGDCK TP Hi CM Minh
A.Gift, thdi gianC. Thdi gian, gift, khii lugng
B.Gift, khoi lugng, thdi gianD. Khii lugng, gift, thdi gian.
Cau 8. He si tin nhiem cua trfti philu lft:
A.Lft sg dftnh gift Men thdi vl miic dd sftn sftng tift ng diing han cua nhft phat hftnh
B.Lft sg dftnh gift Men thdi ve khft nftng tift ng diing hgn cua nhft phftt hftnh
C.Lft sg dftnh gift Men thdi vl miic do sin sftng vft khft n^^ng trft ng diing hgn cua nhft phftt hftnh
Cau 9. Tai thdi diim 9 gid 06 phut ngay thii 2 (11/10/2021), mot nhft dlu tu muon dgt lgnh mua cl pMlu
mem y!t tgi Sd giao djch chiing khoftn Ha Noi vdi mgt miic gift xftc dinh, tM lenh nfty ciia nhft dlu tu la:
A. Lenh ATOB. LenhLOC. LenhMPD. Lgnh ATC

CSu 10. Mgt nha dlu tu dftt mua 1000 cl pMlu ACB vdi gift 31.350 d/cl pMlu. Vfty, lenh mua cua nha dlu
tu thanh cong, tM nhft dau tu nay cd thi se mua dugc cd pMeu vdi gift nfto sau day:
A. Thlp han hoftc bing 31.350 d/cl philuB. Cao han ho^^c bing 31.350 d/clpMlu

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C. 31.350 d/clpMlu
Cau 11. Thdng tin v! phuang ftn dlu gift cd philu nhu sau:

D. Chua du ca sd kit lugn

1. T^n doanh nghi^p ban dlu gid: Cdng ty C6 phSn NhUa An Phat Xanh
>|a chi: L6 CN11 + CNl2, cgm CN An Odng, Thi Trin Nam Sich. Huy^n Nam Sdeh,
Tinh H^i Duong
Oi^n thoai: 02203 755 997
2.C8phi^uchdobdn:
-T^n c.6 phi^u: Cd phidu C6ng ty Cd phdn Nhua An Phat Xanh
-Loai cd phi^u: Cd phi&i ph^ th&ng
-M$nh gia: 10.000 -Sd luong Hingk) chSo ban: 75.000.000 cd phi^u
3.Tdng gia trj vdn huy ddng dg kidn: 1.050.000.000.000 ddng
4.Mgc dich huy ddng vdn:T3i cdu true cde kho^n ng v^ bd sung v6n Hlu ddng
5.Sd luong cd phdn nhd ddu tu nude ngoai du^e phdp mua: 75.000.000 cd phin
6.Gii khdi diim: 14.000 ddng/cd phin
7.loai cd phin chio bin: Cd phin phd thdng. tu do chuyin nhugng

Si tiin dftt cgc cua Nha dlu tu A khi tham gia dat thlu nhu clu mua 1.000.000 el pMlu nay la bao
nMlu:
A.1.400.000.000 dingC. 500.000.000 ding
B.1.000.000.000 dingD. 140.000.000 ding
Cau 12. Cong ty X phftt hftnh 4.000.000 cl pMlu theo hinh thtic bfto lanh phftt hanh cam kit chic chin vai
pM bfto 13nh la 1,5 nghin dong/co pMeu. Kit thuc dgt bfto lanh, to chiic bfto 13nh phftt hftnh bftn dugc 3,5 tiigu
co philu cho nhft dau tu, vay, pM bfto lanh phftt hanh ma to chiic Bfto lanh phftt hftnh nhan dugc lft:
A.5,25 ty dingC. 6,5 ty ding
B.6 ty dongD. Khong co phuang ftn diing

Cau 13: Hinh thiic nfto sau day lftm tang vin dilu 16 cua cong ty el phin:
A.Phat hftnh el philu mai cho dli tftc chiln luge
B.Phftt hftnh co pMeu mai cho co dong M|n Miu

C.CM ttft co hie bang co philu
D.Cft A vft B
E.A,BvftC

Cau 14 Nhft dau tu A mua hgp dong quyln chon mua co pMeu kieu Chau Au co ky h^m 3 thang. Gift thuc
Men gM teen hgp dong lft 30.000 dong/cl philu. PM quyln chon mft nhft dlu tu phfti trft cho ben bftn lft 5.000
dong/cl pMlu. Nlu gift thj truang tai thai diim dfto hgn hgp ding lft 38.000 ding. Nhft dlu tu A se:
A.Thuc Men hgp ding vi lai 8.000 dlng/cl philu
B.Thgc M|n hgp ding vi lai 3.000 dlng/cl pMlu
C.Thuc Men hgp ding vi lai 5.000 dlng/cl pMlu
D.Khong co dftp ftn diing

Cau 15: Nhft dlu tu X dat lenh mua 1000 cl pMlu HPG vai gift 55.000 dlng/cp vfto pMen ma cua. Bilt
ring gift md ciia cua el philu HPG lft 55.000 dlng/cp. Khlng djnh nfto ducri day lft diing
A.X chac chftn mua dugc 1000 cl pMlu
B.X khong mua dugc 1000 cl philu
C.X chac chan mua dugc mpt phin hope toftn bp
D.Khong co phuang ftn diing

II - NHAN DINH DUNG/SAI VA GIAI THICH NGAN GON
Cau 1. Chiing quyen lft loai chiing khoftn dugc phftt hftnh cung vdi dgt phftt hftnh el pMlu bl sung cua cong
ty co phan.

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Cau 2. Dftu thlu kilu da gift lft Mnh thuc dlu thlu ttong d6 nhft dlu tu dat thlu d muc gift nfto nlu tiling thlu
s mua tai miic gift do.

Cau 3. Trich thong tin tir bftng gift chiing khoan nhu sau: donvj- 1000 dong

MaCK I Gift teln
Gift sftn
Gift tham cMeu
Gift cao nhftt
Gift thftp nhat
DGC | 168.8| 146.8| 157.8| 160| 155
Tir bftng gift co the thay, c6 pMeu DGC dugc giao djch vdi biln dp dao dpng lft 10%.
III - BAI TAP
Bfti 1. Trich thong tin tir dot phftt hftnh them el philu cho cl dong Men him cua cong ty cl phin Fireant nhu
sau:

-Ngfty giao djch khong hudng quyln: 7/10/2021
-Ngfty chit danh sftch cl dong: 8/10/2021
-Ty 16 thgc Men quyln mua: 2:1

-Gift phftt hftnh cl philu mdi: 12.000 ding
-Dli tugng phftt hftnh: Cl dong Men huu cua cong ty Frieant
-Phuang thuc phftt hftnh: CTCP Chiing khoftn SSI thgc Men bfto lanh vdi cam kit chic chin
Cd mdt si thong tin v! giao djch cua cl pMlu Fireant nMr sau: don vj -1000 ding

Ngfty
5/10/2021
6/10/2021

Gift trung binh

Gift ddng ciia

Gift md cura

60
61

62

61

61.8

62

Yeu cau:

1.Tinh gift tham cMlu cd dieu cMnh, gift teln vft gift sftn cua cd philu Fireant ngfty 7/10/2021.
2.Trong trudng hpp cl ddng Men hflu cua Fireant tir chii thgc Men quyln mua cd phin, ban hay gifti tirich
eg th! tiftch nhiem cua CTCK SSI tiong tinh hulng nfty.
Bilt ring, biln do dao dpng lft +/- 7%, chu ky thanh toftn T+2.
Bai 2. Cho thdng tin giao djch cl pMlu HPG (niem y!t teln HOSE) trong ngfty giao djch 8/10/2021 cd mot
sd lenh dgt nhu sau:
Vlua

Thdi gian Nhft dau tu

lOh
lOhOl
10h03
10h05
10h07
10h08

lOhlO

A
B
C
D
E
F
G

Bftn

Gift(lOOOd)

Khdi luang (cp)

55.5

500

55.7

Gift(lOOOd) Khii lugng (cp)
55.5

1000

55.4

200

55.6

400

800

55.8

200
500

MP

Yeu clu:
1.Xftc djnh kit quft giao djch cua cftc nhft dlu tu.
2.Tinh phi mdi gidi nhft dlu tu A,B,C phfti ttft cho CTCK bilt ring ty 16 pM mdi gidi CTCK ftp dung lft

Sinh vien KHONG dugc su dung tdi lieu khi lam bdi thi

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