TỔNG hợp lý THUYẾT môn THỊ TRƯỜNG CHỨNG KHOÁN

TỔNG HỢP LÝ THUYẾT 53 CÂU HỎI THI MÔN THỊ TRƯỜNG CHỨNG KHOÁN – NEU

Câu 1 !"
Câu 2#!$%&'()*!$(+,()-!.,(/0!1,2(!3#!$
%&'+,*!4#!"56!7890
Câu 3:-;'!(+#!$!'(;(<=><!-(!'?(@,(#ABC0!1,2(
!3#!$!$!'(;(<0
Câu 4!1,2'()!"#!$%&'0
Câu 5DE'FG(.,G,("0
Câu 6H(!,5BI(!(!J/?K5$(EL?K(MK,+$!(!5
!(!,2N#!$:5
Câu 7!1,2*O()(;,!(!5
Câu 8'+,*(,,'+,2!"5
Câu 9:EP*(,Q%N:()*()25
Câu 10:(!3#!$%&'5#!$%&'(O*E315
Câu 11'(()*(?;;';R'#S)=(%2"Q,Q5
TT%&'
Câu 12';%;',!'(;(<5;',!'(;(<;QJ?();N:5
;',!'(;(</;N:!((()2
Câu 13;(<U(&()?();;',;(<5';%;',;5;',
;N:5(+*EO,Q!V(';(<*W(("*2<X
Câu 14!1,2'-1Y;(<$5DE';(<$,;(<Z(
Câu 15?(@1(<('%&'!"7E,[,DC\Q7]]8<20
Câu 16 0(,'%O(W(#!$%&':()25
I^,,;'!(+_\,`
Ia 0DE';(<$,%bGQ5
I8Uc!5c!%&'!":5
Câu 21:d<Oe<('YJ('!#;(<!'(;(<512<Of!":5
Câu 22!1,2(!3c(+*#!$!'(;(<;(<0
Câu 23M2;Q:()*()2g?K==(<;',;(<5
Câu 24BI1()*K/;',!'(;(<J;(<W(?();0

TTT-!.#!$
Câu 25"*O((")(E-;,%-;0\f(")W(,(),;'!(+:()*
Câu 26(E!';'!(+#!$%&'<7]]-*-'(-!.&
Câu 27#!$E-;N:()*()20
T:B',%&'
Câu 28h)1Y!&(?%&'6&'(()*Jc(+*J';?K95/?K
Câu 29!1,2'%&W;)5EE'&W;)("K,&W;)#&0/?K5
Câu 30DE'';%;',%&'0
Câu 31!1,2';%;',!'(;(<5!1,2';%;',;(<0
Câu 32 F2!;',!M._5
Câu 33:("*2<U(&()("*2<5K5=(<,1-=(("*2<5
:#!$%&';!
Câu 33!1,2(!3EN(?#
Câu 32:!1,2P!'M2("*2<!"E,Bi/*(0
Câu 33:!1,2P!'M2("*2<!"E,,(0
Câu 34!1,2?(@1(</!"E,,(6c,;Oi/ (90
Câu 35-1YEN(?#5
Câu 36:!I*(?#,;O()25
Câu 37:DN(?#,;O ()25bEO:(?jR,ADf&'
:T#!$%&';(;!k
Câu 38:!1,2'-1Y#!$k5
Câu 39BI1()E&'(#!$k,#!$%&';!0
Câu 40EP;'!(+#!$kN:()*
Câu41,42, 43:#!$k,#!$;(<_\,`JX!NJ
Câu 44,;#!$5&'(()*J(!3J0h=(<,1-=(5
Câu 45:f$(!VlB',!"#!$k,*(Y(;';O-!((
()2l0F();I/-!.%!((()2 Câu 46:m(Y(;';;'!(+#
!$k'?();:()*
Câu 47:DE';!,;(;!k5P!7,2!"&
:TTM2%&'0

Câu 48!1,2'()*K1YM2%&'5P!M2%&':
("25
Câu 49:*M((W(M2%&':()*()25
Câu 50:P?M2%&':()*()25
Câu 51:1YZ;',M2%&':()*()25
Câu 52-M2%&':()*()25
Câu 53:l'M2%&'()2g*c*,W(();;#!$l
Câu 1: Hoạt động của NHTM trên TTCK.
nn'% !"
o 2",,% b!"pP&(?()W('
$R2",2<,(&/L(\&',W(!'()*,!Y,EL
?KEO(f+2JP()();K(<&-,,*;()'0
o X;Q,%*,' <*O&(?%&'J&(?
1Y(+*;Y(,;*M2!P ';,'$(
&(?(0
o X,;Q,% =;q;!P(<;&(?%&'J&(
?1Y(+*,&(?()r'?#K,(/&'0
nn !"
Ngân hàng thương mại với hoạt động kinh doanh chứng khoán
(?%&',();K*1'.&'/*,P'#!(!,
2<O!=(.;()X-=,()Y#!$0f+(s&(?
%&'I,*(,(f*Jf,IG,Q
%&'
tIG,I,*($Q>,'%
&'f/&YJ(;/(?#-;,f/#/;(<&1J%
b(L(f+2+==u2<V*?P!%-;Q'J
Q?P;3,Q/!0
tQ%&'I,*(*/?/;!,
*(%&',W($(Q?,T0I,*(f+EL?K'
&YO2+$R2"*(#!$%&'1V'*'(

;(<,!'(;(<0I,Ev*'*%&'W(('-;-,1'/('-
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Ngân hàng thương mại với nghiệp vụ huy động vốn trên thị trường chứng khoán
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Ngân hàng thương mại với các nghiệp vụ trung gian trên thị trường chứng khoán
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&(?,J1J'z22'JI,*(f(&(()*

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E>,I,*(,*%!-<!pP,20M$J&',
,(()$I,*(1YY%&'3*OI,-;"*
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!"I2,();K1YZ*(%=;Q,(!3,YNW
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Câu 2: Thị trường chứng khoán việt nam ra đời để hoàn thiện cấu trúc của TT tài chính. Trình
bày vai trò của thị trường chứng khoán để làm rõ nhận định trên? (T29).
Câu 3: Vấn đề phát triển thị trường trái phiếu được nhắc đến rất nhiều trong các diễn đàn hội
nghị APEC. Trình bày vai trò của thị trường trường trái phiếu.( trong gt)
Câu 4: Trình bày các loại lệnh trên thị trường chứng khoán.
f!('!\‚ƒ<„76fYJ=(+*9
,(!3f)(?#(*%('&W;)6Ak9
h)(?#(*%('&W;),)*c1'%&'&M(*%('J
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O(=(?#)=,&O(=&W;),=;I1!W)
(W(0
Câu 5: So sánh Quỹ đại chúng và quỹ thành viên.
Theo Luật Chứng khoán 2006:
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M.06:…J:…7J:…xJ:…‚J

…9
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;
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=;`(,(&Y!("
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'=(/
tU  ?  f  %  , ?
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;(<J$f',Qf+
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Câu 6: Rủi ro là gì? Phân loại rủi ro, cho ví dụ? Người ta sử dụng những loại công cụ nào để đo
lường rủi ro? Bình luận những rủi ro này ở thị trường VN?
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Bình luận những rủi ro trên thị trường Việt Nam
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!$0(<;j,((#!$1|J=(0',Q2<!2<#
jI*zEOMJI2!!11fJ,*#!$X*!$((?,(
((*‡!(!!-W0FYE((,2JX*7]]a,((!(!*%&b
K,#!$(Y**0X*7]]8<2J#!$1>Q(,?Q#J#!$
;Ki(J2("?gf((&(<<(W(J?f!(!g&'!&bb)
E($(N*%-;0
Câu 8: Các chủ thể nào tham gia vào TTCK và hoạt động của các chủ thể này trên TTCK?
nn,;',
,;',,'%P()2OM#!$%&'0,;'
,f+,/;J/2#;JM20
t/;;','(!'(;(</;V*2(1|>;I*KIE'
cP()M!O(W0
t/2#;;',!'(;(<#;+2(Q'M!
2!&(<JRZ(#;0
t'M2*O2OQ;'!(+EYR-;',!'(;(<M2c
;(<0
nn,Q
',Q'I
,Q'I,$(*(*1'!"#!$%&'W(*K/*
&(<*=(02("J=(M>(W(!(!0H(!,=(,W0
_2J',Q;Y(Ps'%Q;|=;W(*0
',Qf%
'%,2$R2"*1'%&'W(EO=W,f'1;%X
1i*(2"(f&(()*+("%#!$,!'2<#Q0
UQM'%,2f(+*,?'?*KQ,'2<#Q
=P()1N('2"(f&(()*0
1;!s'%Q,'M2,(/0"fJ'M2
%&'J'I,*(rf+!N,,Q2"();&(

s*%&'*0
nn'%&(?%&'
M2%&'
'M2,2W(();K/,1YZ;',JP?J*M((W(JYz
?*KQ,-Q%&'0
'I,*(
'I,*(f+EL?KO+Q%&'b=!(W(
!-#+1Y)I,!W1(<('%&'0
nn'%f("<#!$%&'
Yz,W
,2=,;+P()%XYz,WO(W(#!$%&'0
,2f"s(&'{\W0(Af•S1Q%&'
6DT9J( Gf•S1%&',m(?#%&'6DC92NYf•S1
('*E'%&',m(?#%&'6CD9=,;,X*887,<X*
88a(",…DA0:,N:()*f•S1%&',W=,;j#
#EO^„eB,27aee88ƒ0
DN(?#%&'
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• %-Dm_=%?W(%‰I1*((‹2=%j<
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Câu 9: Bình luận về sự tham gia của nhà đầu tư tổ chức ở Việt Nam hiện nay?
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Câu 10: Vai trò của thị trường chứng khoán? Bình luận thị trường chứng khoán giống như một
sòng bạc?
** Vai trò: T29
** Bình luận: Bình luận nhận định: "Thị trường chứng khoán Việt Nam như 1 sòng bạc"
I) Phải khẳng định rằng thị trường chứng khoán Việt Nam không phải 1 sòng bạc vì bản
chất đầu tư chứng khoán khác xa đánh bạc:

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&(?•‘(Y*("P!&(?
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nâng cao đời sống XH
II) Nguyên nhân gây ra nhầm lẫn
a) Tâm lý bầy đàn của nhà đầu tư Việt Nam:
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;QW,'GQJ%,(/000<Q%&'f/1Q2,&M0
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$J*s(MK;I/&Mf()YJ?g<,Qf&(<%,#!$
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~LO(X*7]]^("?O&M;Jf.KROE'*O7]](+*0
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b)Một số sai lầm nguy hiểm khác:
Không có kỳ vọng đầu tư riêngh3*(rfJ-<,;Y(1(<&(+*
E'fJ(,Q:()&M1(<&(+*E'3*0O((sQ,#!$
:()*Mf&{sQ!("JsR'#=(&{s6:_„ˆ!3x
'9J==({ssEv!.&`(#!$2J3,I:==(
&{s!i(J-2#!$"gQ(<;+*$f=("<
„]ˆJ]]ˆ000J,&(#!$2Q!N2&M&#;J*-<=(,f+<*K
YOO0
Quan tâm tới lợi nhuận nhưng không quan tâm tới bổ sung kiến thức(<&(<%!1-&{
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%&'*,&Mf&(<%.((*b,**i(&w&'0
 Tin rằng "mình khôn ngoan nhất"0UI2,1(+()(<&(<%J,$((<
&(<%,(!V*&M-J(,2?g<!(b?
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Câu 11: Tỷ lệ lợi tức yc của NĐT
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;;';L,*€(0.;Y((<;KLS)*W(<&(*-2S)
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x0’p
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TTe
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Câu 12. trình bày các phương thức phát hành trái phiếu. bình luận về các phương thức phát
hành trái phiếu chính phủ, trái phiếu doanh nghiệp ở việt nam

Các phương thức phát hành trái piếu:
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!#!$%&fJ;I;O(!'(;(<',QJ*!'(;(<+1'(
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tYZ;',1i*Y()-,(/,;I;O(%&'

t%1YZ=N;/1YZc*S)i-#?P!"EO(
=
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!J!'(;(<QJ!'(;(<=/;1YZJ!'(;(</2#;
U(z;',!'(;(<
U(z;',,()%;',2''%&'P()1'!'(;(<
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=!'(;(<("K=J=!'(;(<("K&M<=;',J(z=
23!Y(%;',
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Bình luận các fương thức phát hành TPCP, TPDN ở VN

Thị trường trái phiếu Việt nam mới hình thành còn chưa đa dạng về chủ thể tham gia, các phương
thức và các công cụ trên thị trường trái phiếu. Đây là một thị trường có tiềm năng trong huy động
vốn, nhưng chưa thực sự phát triển. Phương thức phát hành chủ yếu là đấu thầu trái phiếu chính phủ
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7]x,„]0]]]SiJ1i*1|>;1((IE'8]0]]]SiJQ'?P'JM
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Bình luận:t,“Z(E-BB!"#!“
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t(<>',&(?;2"();,,;#!“
tBBZ\1“?&{g3(=E'(&{JEJ,2'
&'
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Thị trường trái phiếu doanh nghiệp ở Việt Nam còn hạn chế,&M;Y(1-%?();
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?();\,`0
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;',!'(;(<?();Z<()P,=Rq,'"&M&2<
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
Câu 13. ĐK các DN phát hành cổ phiếu .trình bày các phương thức phát hành cổ phiếu. bình
luận phát hành cổ phiếu?
Đk phát hành cổ phiếu:
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(&()E
t %O()O((+Pf/<,2R(;q;;',,„Si0
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;q;;',J,(/,*Jf!(+s;'!(+6$((7X*1i*Y
$((!W&(P();Qf90
tf;'&Y(()EL?KO=\=;',J=((MM
0
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t!$=;;(<;',f('!#j*)('=]Si;Y(f%1Y
Z;',0
U+=;',;(<QQ!M.J?();;Y(L(iER(;q;;',
;(<<˜21%&',W0iE1i*
0UR(;',0
70YEM%(-2;q;,;0
x0YEM%(-2%X&z&(?0
‚0U()M20
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ƒ0Y'16fM(Q(<J!PJ!4!,JV*(.;$(Q,M
2%&'f+'('.,(/J&(??();90
Phương thức phát hành cổ phiếuf7Š%;',;(<0Uf,;',!("w,
;',!M.
tB',!("w,()M2Š',,1';(<*!Š*(*EO“
-#6M“,',Qf%fz#>*(;(<*'I?,(9
M21Y(+*JG!/000W((&()<%&MŠ',!!Z(!M
.0

tB',Š(<!M,()Š',!fŠ(<f+2+=1'!
!Z(!MEfW“Q-#6!fŠY(?,S)',Q`9
,&O(Š',ŠY(W(**%-#0
7;%Š',Š(<!M.
~B',QQ!M.6TBk9Š(<2QQ("1'!!Z(M
Q0i*TBkE-;tŠQ1'QQ("M.>*XO,TBk%
-;tŠQ1'\EOŠQ()0
~,1'E-;Š',Š(<1EM2!!Z(!M.
Bình luận về phát hành cổ phiếu: cty cổ fần VN vẫn chưa tận dụng đc lợi thế fát hành cp:
bfM2;Q,Šq;2O1VŠ',Š(<,!'(;(<JM2b
Šq;Š',!'(Š(<02M2;Q,(?();f<!()2
O1V;',%&'0
(&:;'!(+J'?Rj*I2,&"Š',;+2O()-
$((f(=Š',2OjQŠ'!(+?JI2,1(+()/
P()P&0i$(f&M/=Š',(*‡&YX+!
J?KiO!'&'Q!"0U(,2ŠQ,Z?g<!EL
?KO&M.jQŠ'!(+J&Mj?P'K+2&<EL?KOZR';0
_2J&{s,QJ*=("&(<,';%0
}:J,Š';z3!$*!,I2!N(O(W(Š',;(<6?();Ev*-
($((&I‡1#,Rq?2)iE9J'M2%&'?<&(
()*J!2"*M"f(!3/PO(W(()-J1YZŠ',
'M20:;/'M2J;(<!'(;(<M23&q*Š'!(+?'
M2jW(()2OŠ',;(<J!'(;(<*,g?P2<,
iO2IJc1(),'M2WJ'??f&YX(<;'
iO2IJ2Z(0'#,2(<%#*%/()*(.;
()R'#/()*,,*X/*(1';(<J!'(;(<Š',000_fJ'
M2;Q()23!-<!();',;(<+2O
Theo thống kê đến ngày 12/12/2012 của Bloomberg, tổng số tiền mà các doanh nghiệp Việt Nam
huy động được từ việc chào bán cổ phiếu lần đầu ra công chúng (IPO) trong năm qua chỉ đạt
0.01 tỷ USD (tương đương 208 tỷ đồng).

Câu 14: So sánh cp thường , cp ưu đãi:
m(O
t|,&O&Mf&{,&M,O
t“>*(;,MiENM2
tBQOf;Rj*f;p(@&M!.(J&(Qsf+j*1'!"&+-2
(Of;0
'
t;(<$
~h,(&R'2,=(/=;Š';“ENO(W(;QOŠQ%
Š',0h,Š(<1>1ŠY(f*s(M2;Q
~Uc(+*%&MO#JŠK,*%=(,X*M2J/E'
ŠI(%M2
~#(';!-2Y*!"#!“JŠK,=(M2J2QJ000
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Câu 15: Thị trường Chứng khoán năm 2012

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Câu 16: Cơ hội và thách thức đối với ttck
Thách thức:
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!W
&(<:()*X*7]7,)Y„X*1-&(<p*M0<;I/&(<p*Mb
,X*7]7*,&M;I/((7]]at7]7.&M-2=1Y-
-0!„X*(J?W('&Y&(<,Q/2<,EP1-
;2<&q*((&(<J\/E',(&'</E'().&/QJ.

(>c&(<&(<:()*‰1)EO!q‹0
t Y('_
t m(Y*(("M,I()YQ
t =R-)OI,*(O(X*7]7J=R-YA!(1&J
T_:J:(j*1&J:(j(1&,‚ƒƒ]]Si
t 7]7„]ˆ2%&'1#€
t :P?2#!$%&'
(Uš(W(:()2JT› T,!s-0(!X*7]xJf,
*;'1YZ=&(*<JR-&‡XJS('#!œ7txˆJX?P!
(),1($I,,W(?P!()(20UI2,(+*
/P!1%!("P0
,(!J7]xEv?(@!'(-#!$*'()ZJ1N(/E'/;
,€!=#!$;'!(+J%&M1-;EP2<&q*0'(-?(@!!"-Y
pPJ\I,J1-EYJ<%&'000:,(b?,?();
*J'(-OJ3?();'lO*2<‹Ev&Mf€%0
Q=O!";?()E
t •# p*M!?,(
t -'!(,/E'
t h,*f*M(!$Q
t m(Y(2<-ENq
t Y(()Y!#?();
t Y('j1Y)2=(M`w
((Q
t [W(Y**;'X*7]aJxˆJ7]7ƒJaˆ
t /E'(,Z(E-Z(E-RO3xˆeX*
t mf(%!=UDx]]]]Si•‘(';(<UDX
Câu 17: Hình thành TTCK cho DN vừa và nhỏ
!"k%&'(?#!"#!$,%&'("‡("*2<
!"DNm(?#%&'J!f2<,M2`,\–/<J%
&'!"#!$,2f!(!EW(%&'!"DNm(?#%&'0

("‡+%&'=(?#!"#!$k-;J(EW(("
‡("*2<NDNm(?#%&'0
BI/Ek
Câu 18: phân biệt cổ phiếu thường và chứng chỉ quỹ đầu tư
;(<$JUc(+*!N(
%bG,(%&'R'2ENUO(W(*;QOf;
G(.0FG(.,GQ%&',\Of;UJW(*K
/&(<*=(\()?fQ,%&'c'?,(EYQ&'
V*;I'!(!J!fU&Mf2&(+*E',,2O(W(()!2<
#QG0(*O,;GJM2YzG;Y(;',%bGJ
U*%bG%,ZR'EPf;O*,Gf0
:1Y-J%bGr(O;(<*M2,1V%R'2
ENJN=(!";QOf;,c1()=("*2<!"+*1'('
U02("Jfx(+*&'(.0%-J;(<,;()2O
*M2&(?*,(,K+J3%bG,;()+,
;G*GQ%&'J*,,/,Q%&'0%
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A…B…6M2FYzGQ (Šj%&':()*9J:… :…6M2
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