-—_f% ¢ TB seve Lie son USL pion fae baie DALBOC KIN T Eee Dh Tia KT SHUCR HOC PUAN Khoa a chink -— NgAv hing MON: TH] TRUONG & CAC BC EAL cHinn Hig ten’ sith v : ; i M8 2s 991 6 phi mi 0 pl ging) Of. Th] trvgng tal chinh hign del bao gdm cde thanh phan A Binh oh6 {Al ohinh Cong cytdi chinh. —_C.Th] trwéng tal chinh “Bava b ddng One ding a 02. C40 cng cy fal chinh bao gdm: ote phwong tin thanh todn khong ding tian mat boat aay is 6 gid due mua én nfl tng tt ehinh, eb phidu au ail va phibu ng chuy8n al, D. Thong phi itu va nihting béo lh cia ngén hang (Bank's Acceptancss): E, Tito 03, Trong cée wine inh sau, nhan dinh-nde adnginhAt? ‘AL Qu’ mala qui’ dal chding-ina chang ch quy da chao bah ra cong sig pha abe fniva Ini theo yéu ou cda nha du tur 1B, Quy me la quf dal ching ma chong ch? quy G8 chéo ban ra cng chang Khong. sued mua tal theo yeu'eis oda nha du ty 7 re oy me la cul dal paid ching chi quy dé chda ban ra. gong hung cé thd auee g faua Dd. ae pene dou a 04, THI feuding OTCi« ‘A Lath treeng giao dich cfc loa 8 phidu ots ofe doath nghiép vira va nh. 'B. La thi trudng bn buén céclogl ching Khon, GLa thi truéng vo hinh, hoat dong: aint ta sudt ngdy dam va & khdp rig! not. dD. as 58 -gigo doh tht hal tal c&c nui 06 th} truémg ching khoan phat trlén. Ete sia 08, Gong oy ng khéc vol a oy vén 18 co the! han va Igl tte &6 inti ‘Bing al Moat cing cba th turing ev cp B. 89 Tal chin C, Hoat déng ctia th] irrdnig thir cap 1D. Ngan hang trung wong. K.Tht o& au ung 07..S8p xdp thw ty theo mee @6 an toan-ciia céc cong cy tal chinh.sau: 1) Fin phidu kha bac; 2) Trai phiéy c&ng ty; 3) Cd,phiéu; 4) Trél phiu Chinh pha; 6) Ghung-chi tidn gc A 12-3-4-6 2B C.1-4:6-32° 34: TAt ca ddu.eai 08. C&in cr dug ste dung dd phan bidt th) trwéng v6ri va thj trwdng tidn t& ia A,Thdl hen chuydn glao vén, ® Tho! han, pong thc chuyn giao van va cde chi thé tham gia. C, Céng cy tal chinh duvge sit dyng va tai sua, D, Tho! han chuyén giao van va mire 46 ril ro. E, Géc chi thé tham gla va lal suat. 09. KXhi edie nha dau ty nim gid’ c&o c6ng cy cia th) tri’eng tian t8 cho 4én khi déo hen thl: A, Ho 88 nhan bang ménh gid’clla cng cy va rane Jai (coupon) B, Ho 88 ting iol nhugn khi [ai eudt glao dich C. Hg 88 ting Igi-nhuén khi lal sudt giao dich an @. Ho 86 nhan bang ménh gid cla cong cu i, Tat ca ddu sal 5:2" NG-TY TAHA ATV THUONG MAI & DICH VU HO QUOC DUNG -|MST:0401424043 194 Ngi Hanh Son - Ba Néngn= Thi gion inn bAi275.nhGt 10S VigtNam, Tin ‘phigu Kho bee dug phat hanh thong qua A. Thor jua céc del ly hanh Kho bec nha nude a 2 Ngan hang nna nude. Brat caddudung. Tato dusal 1B. Thuong phidu 1 D. Tra! phiéu eng ty , Chap phidu ngan hang in olla thi truréng.tal chinh dug thye hign nho: a thi trudng thir chp i fhoet 1a th {rvdng 80 cf ©. Co ché hoat dng otia fae hani chinh phd 1D. Co ché hoat dong oda ngan hang trung wong BE, Tat o& du ding 26-640 tinh chat: trivu wong, hét bugo, kha hodn. “Begale pee te eet 14,86 le'chals Aur te: eee “Bs Nngng USD do fc ngan hang ngo@l quéc & bén ngoal nuéc MY phét hanh.va niém.gi. & Nhtrhg USD do céc ngan hang goal quéo’é bén ngoal nude MY ho&e nhttng chi.nhanh ‘olla ngan hang My & ngoal quéc nam git. C. Nhiing USD do ofc ngén hang ngogl quéc & bén trong nude My hose nhting chi nhénh tia ngan hang Mg & trong nude ném git. D, Nh@ng USD do cdc ngan.hang ngoal quéc & bén trong nude MY hoke nhing chi nhanh oda ngén hang Mg & ngbal quéc nam git, H. TAt cd du sal. : 18, L&l sudt olla céc khoan vay qu llén-bahg duoc xem Ia mot phong vd bidu dB do mits a6 cng thang ciia thi truréng tin dung trorig hé théng ngan hang. i 7 7 A: Sal ‘Bang 46. Hogt dng chii yéu ctla ngan hang thirong rei la ‘A. Ohiovay va nhén vén dy thée 8 cho vay —_B, Huy déng va cho vay ngan han C. Huy dong vén & tat od cao thoi hen BY Tat ca aeu sal . 47. Choh ménh 48 ding trong'céc mah dd sau day: VA. TY 8ti&t Goupon olla tral phidu thing lé 06 dinh trong suét thd! gian ton tal cia tréi phidu. B. Tat ca cfc loal tral phiéu ddu tra Ia. + C. Lgl to do tral phiéu mang fal luén 6 dinh. | D. TY sudt coupon eta tréi phiéu bang v6l ménh gia tral phiéu. B.-TAt of du ding. <>» . 48. Mot trl phiéu hign tal dang.duere ban vdi gia thap hon ménh gia thl: A. Khéng xée dinh dugc lol ttre oda tral phigu B. Loi tte du ty vao tréi phidu bang [ai sudt coupon C. Lol dre du tur vao tral phidu cao hon t) sudt coupon . Lol ttre dau tu vao tral phiéu thép hen ty sudt coupon E, Tat cd Bui sat 49. Céng ty phat hanh thuong phidu trong’ vong 90 ngay, ménh glé $100.000, Iai sudt 9.5% néim.H@i céng ty thu duos bao nhigu tn? A, 97.625 B,100,.000 . 109.600.110.000 Ev TAt cd du sal eT ee eesoo THR AAO NB I: LED oon enaeantsnnceme nmnnaniarenermnmnstitrns 20, Chéeng’ khodin ia: A. 06 phiéu-va tral phigu ode log. B. Tin:phigu Kho’ bao va ede logl thong phiéu. Co gly tt cé gié diroe mua ban trén th throng tal chinh. 6, Céo gldy t8 06 gla, mang lel thu nh@p, quy2n tham gla a& hou hoite ddl no, yadurgs mua in en th] trueng. B. Tat o8 du eal pee 24. Néu mdt trél phidu 06 ty sudt coupon (tra hang ném) 18 6%, ky han 4 néim, ménh glé $1.00, céo trdl phidu tueng ty dang duoc bén vol mic iol tae 8%, th] glé oda trél phibu nay ta bao hhieu? : A, 810,358 1B, 880,228 ©, 800,648, 10008. TAt of du cal 22. Ch ra ménh 4B SAI trong céo ménh dd seu: ‘A. TrAl phidu duge ban vél gid cao hon ménh gia 66 chat lweng rét cao {B. Trél phigu ofng ty ¢6 lol te cao hon so voi tral phidu chinh.phd. C. Ral fo vérng céng cao th-lol tire ctia trdl.phidu cng Gab: .” : Dy Trél pitiéu 6 tinh thanh kho&in cang kém thi lol tire céing’cao:: B. Tét'cd dbu cal : 23, Ban odo bach la: ‘A. Tal H@u‘o6ng khal nhiing théng tin, chifth xéo, trung thy, khéich quan llén quan dén viéo chao bén ho&e nlém yét ching khoan cila t8 chivo phét han B. DO ru idn tie ofng khal nhdng thing tin khéng chinh xée, trung thy, khach quan len quan én vige chio bén ho&e nlém yét ching khodn otia 16 chite phat hanh : , Tal iu cOng khal béo.c40 tal chinh ova tB chive phat hanh, . Dea vab ding : 1 Tat cd abu sal 24. Trai nguige vol phan Ign oc Ging ou khdée.trén thj trivéng tién 16, ching ohF-tldn gid duos tra 18i‘aqu theo ky han, : tat! A. Bung B. Sal : . 26. Vi thé-ciia ngwdl phat hanh trél phidu cang...thi trél tre (lal) c€ng... Ca, thay B. Cao, 620 ©. Khong cé méi lian hé nao voi nhau D. Thép, inp E, Tat of dau eal 26. MOt tral phiéy COUPON hién tal dang dug bén vét gié cao hon ménh gid thi: A. Lol ttre Gu tu vao tral phidu cao hon ty suét coupon - 1B. Khéng'xée dinh dugic lol tire cia tél phidu C, Lol te dau tu vao tral phidu bing Iai sudt coupon -D. Lol tire du tu. vao trét phidu.thép hon ty suét coupon Hi Tet c&tdu sel 7S Pee 27. Chon cae ménh 48 dung trong cée ménh d& sau: A. Chiing khodn 06 dé rill ro cang thép thl I9i tre céng thap B. Ky han ching khoén cang dai thi Iol tive eang cao C.Céc ching Khodn ngan han 6 a rai ro vd gid cao hon cdc chiing khoan dai han D. Cdo'méhh dd (a) va (b) 1a ding. E, Tat 08 du dung 28, Gié'tr] thi trudng olia’cd phiéu thuvdng phai tdn hon gid tr kd toan. A. Ding B.Sal ‘ang,25, Mot tral phiGu 6 ty sudt coupon cao hon tah al thi tredng 88 duge ban vel gianeo? A. Thp hon ménh gid . Khong x0 dinh dtvge gid ©, Cao hon ménh gid 1D. Bang menh gia” BE. TAt of du asi 90, Phat bidu nao sau day 18 dung tal Viet Nam: 1. Nha dtu tu duiga phép dng thd dt én rua va lénh bén dé véi 2 logl eB phidu khée nhau tre tn trong cling mét ngay glao dich ; JL. Nb@.ddu tu o6 thd 06 2 tal khoan glao dich ching khoan va duoc mé tal 2 ong ty ohteng khodn khao nhau ; Ui Nha dau tu Kehdng duvoc phép dBng thot at lgnh mua va bén 46 v6i mét foal cB phigu, ching chi quy du tu trong oting mat ngay giao dich, Alvall Bitvaill C.lvall |, e8 8 du ding 31. 08 phidu X 26 miro c8 tie dy kién sau 5 nim ddu khong 48i Id 3S. Sau dé 08 tite tang vol the 9 khong dl la 6%6/ndm, Hat ¢8 phiéu X hién duoc ban vol gid beo nhiéu néu biét ty euét sinh igi ‘yeu chu khi du tur vao cong ty fa 13%/nem? a ns : A. 28,583 B. ‘2. 42,608 965,218..’ B.TAt od ddu sal 32. KY qui hep déng tong lal nhAm mise dich @8 nha dau tu hay nia dau co: A, Trénh ty y hdy bd hyp adng B. Giém {hyp tén that do odo bén ganh chiy C.avab ddu ding Da va b déu sal 33. Gié trl tal adn rong (net worth) cila odng ty trén mBi.cB phidu theo barig can al tal ean (balance sheet) fa: = A. Gié tr] th] trvéng cde ob phisu - _B, Gid tri 88 sch ctla o& phidu C. Ménh gid ob phigu. D. Hign gid ciia ¢8 phidu E, Tét od ddu sai ‘34. Nh@n dinh nao sel? . As Hop dng ky han la hop ddng luén duge thie hién, vide thyrc hién dye vao trach.nhiém alia nhdrhg ngwéi tharn gla hp ding. Quy din mét ngay ay thé dé chuyén giao tal san. Phong ngiva ril ro vao ngay dén hen da xée dinh, B. Hop dng twong fal \a hop dBng thudng dee aéng tivéc khi aén han, Viée thye hien urge quain ly bol Phong thank toan bu tree Hop dang cé-mat s6.ngay chuy8n glao nhét dinh. Phang rigtra ri ro va bat ky thal didm nao tarde ngay cn hen dd ne inh, C. Hop dng ky hen la Hop @dng dugo chudn héa, Khong yéu clu ky quy, thanh todn vao ngay dén han. Tinh lng rat thdp. Hop ding dug mua ban trén thi trudng QTC. D, Hop ding tvong lal yeu ed ky quy, mie ky qu) duoc diau chinh hang not theo sy bién dong glé, vig thanh toan dug thye hién hang ngay. Tinh lng rét cao, Hop dong duoc mua bén & cae $6 giao dich. B. Tat c& abu sal 36. Cong ty PC vita tra 08 te 28/08 phidu va mivc ting truding 0B tire. 1g eng {rn thi trudng 98 mal la 8%/naim, Hi 68 phiéli PC nén dec. bién vol gia bao niu néu biét t7 eudt sinh lol yau cdu nl d8u'tur vao cng ty18 16% nan?” : : 7 A, 278 B. 12,55 C. 13,58 D, 25$ BR. Tét cd ddu sal 38, Mét tral phidu c6 ty eudt coupon thép hon lal auét tran thj truvdng 9 duoc ban vét glé ndo? ‘A. Thdp hon m&nh gid B. Bang ménh gia €. Cao hon ménh gid D, Khong xéc dinh duge gid E, Tét cd du sei 37. Cé phidu cia céng ty A dang giao dich v6i gia $15,0, Cong ty nay viva tra od tire $1 ,5. C8 ttre Khong thay d8i trong suét qué trinh hoat déng. Hai lal sudt-chidt Khu otia nha du tu? A, 9,0% B. 9.8% T.9,5% B. 10,0% BE, Tat c& dbu sai —— BT mcmama48. BF GBC HA NOLS Vist Nam quy dink don vj vat gla aa voi nding ob phidu co mie gia te " 7 50,000 ddng én 99.600 ddng Ia: 4.100 ddng 8.600 déng. ¢, 200 déng D.300 dng. 1000 ding 49. Mt chin luge quydn chon t6) wu khi gla ¢8 phidu dy doan tang 96 1a: A, Mua quyén chon ban B. Mua quydn chon mua : ©. Ohie6 catia sal D. Ban quyén chon ban. Tat 6d ay ating 60. Thing du vén eda cong ty o8 phan phét sinh kh: A, TrA 06 tivo bang 08 phidu B. Chénh Ich gira gid phat hanh va ménh gla khi phat hanh 68 phidu mat Cong ty gil lol nhugn D. Cong ty Kinh doanh ¢6 Iai E, Tt o& du esi 61. Nhdng ic didm cla hop ddng ky hen A..Burge mua ban trén th} truéng tap trung BOO) lap volhop ding glaongay, C. Kiém 1a] thong qua nghlép vu abit (Arbitrage strategy) D. bya 6 ating E, Tt o& du ding 82. Nha du tu mua 10 tral phidu c6 ménh gid 1000 USD, &6 fal sudt danh nghta 6%inam voi gla 2000 USD. Vay hang nam nha du tu 86 nhén duge tldn lal la: A. S40USD ~ -BS4USD C.BE0UBD =D. BODUSD Cs, TAt cd eu eal 83. Theo quy dinh oa phap lugt Viét Nam, chao ban ching khodin ra cng chting la: A. Chao bain cho 96 lugng nha du tw khong xéedinh B, Thong qua Internet : ‘C: Thong qua aéc phutong tin thong tin cai ching Tat o& dbu ding E. Tat o& du sai 88. Mét tral phiéu 66 ménh gia 100 JPY, i6t sudt 10%/nam, thdi hen 10 nam, tra li Sau, Nha dau {tw nén mua trai phiéu v6i gid bao nhieu néu ty eudt sinh iol yéu cu khi dau tw vao tra phiéu nay 18 8%/n&m- va thoi glan con tal la 8 n&m, A. 100 JPY 8,100,373 JPY €.79,313 JPY». 99,925 JPY Tét od ddu sal £5. Gong ty XYZ. 6 10,000 o8 phiéu dang Iuu hanh va tuyan bé tra 08 te bling ¢8 phigu vei mive 30%: Khéch hang oda ban cé:100 0 phidu XYZ. Sau khi nh@n c6 tio bang cd phiéu, ty 16-sé hou 8 phdin eda 8ng ta trong cong ty XYZ [a bao nhieu? A. 0,76 % B.13% C.1.6.% D.1% sew EyTét c& ddu sai 88. "Trong thang 7 ching ta khong 6 ngay hghi 18;-gia et ben la ngirdi e@uw Ban od phidu trén SGDCK TP-HCM va da dutge bao la ban than cng véo phian giao dich ngay'18 thang 7 (the €). Tha! glan than todn theo quy dinh hign hanh {8 T+3. ThOt glan tidn duige chuyén vao tal Khodn ofa ban la: A. Thi ba 20/7 B. Thirty 217 ©. Th hal 19/7 D. Thienam 22/7, Thie sdu 16/7 87. T6 chtte phét hénh CK 6-VN phai hoan thanh vi8e phan phiéi cé phiéu trong vong A. 80 ngay ké tty ngay gidy chceng nhgn dang ky phat hanh oé higu lye B, 60 ngay ké tiengay gldy ching nhan dang ky phat hank cé hiéu iyo C, 120 ngay ké ti ngay gidy cheng nhan dang ky phat hanh c6 hiéu tc D. ET ras kB tungay ty chieng nhan ding Iiy phét hanh c6 higu ire E, Tat 08 du sai ETS eemtaamaamcenpneeeaneenpmntnnmnntnatn jwcXhdi lan lam DAL. TS Drwimavoninssmenmnienmnrnamninnsinentt ‘38. Trong fu tric cht 86 ching khodin ngwdl ta thong cha y 3 thanh td: Logi chieng khoan 3 ang ky), 84 hrgng cla mél log! chung khoén, ‘Miro gid cd chieng khoan. A. Bang B. Sal 9, GIA ef gid dong olva olla chiing khoén A trong phién giao doh tied 10,000 adng, donvi yt glé 1a 100 dang, bidn & ‘dao d6ng gid ta + 6%. Cac mio glé ma nha dau tw 66 thé dat fénh trong phién glao dich to 1a: A 9.400, 10,100, 10,200, 10.00 B. 10.000, 10.100, 10.600, 10,600 ©, 10,980, 10.800, 10.660, 10:700 — D, 8,800, 10.000, 10.100, 10.200 E, Tht c€ du sat 40, Nh@n dinh nao sal? we ’A. Guyan mua o& phan phat hanh cho nguai 9 hou ob phiéu phé trong B, Cheng quyén phat hanh cho ngvei mua ‘ob phidu uu aa, trél phiéu cong ty C.Gla tren quybn mua 0b phn < Gid 6 phiéu tran thi trudng hign tal 1D. Gié trén ohiing quyén < Glé o8 phiéu trén thy trvdng hién tat 1 Tét.oA dda sal PEE er eee bet eet 441, Néu mOt trél phidu'duige bén vol glé thép hon ni@nh gid th: A, Lél auét hign hanh oa trél phigu < tal eudt danh nghifa oda tral phibu B. Khong c6 co 88 so sénh ©. Lal euét hign hérth ofa trél phigu = Ii sudt danh nghia oa tral phigu D. Ll sudt hién hah ofa tl phidu > ial oudt danh nghta cba trl phidu , Tat c& ddu sal 42, Nam N, Gong ty ABC o6 thu nh@p réng 14.900 trigu ddng, 6 cd phidu di phat -hamh 1 600.000 . GB pribu, 8 phiau ngén au lé 40,000, Khrig 06 oB phidu wu 6B. HO! ddng quan tl quyst inh ta 680 trigu ding o8 tire. Nh vey ml cb phidu dug tré 08 tire 1a. noe A, 1300 dng B. 1000 ding .€.2000ddng =D. 4800 ding ‘Tat ca ddu sal 443, Mbt quybn chon mua 100 o8 phidu véi gig the hign $10 lang glao alch val gia 80,72. Néu 03 phidu nay dang duge giao dich tal $10,038 th! ‘quyn chon nay: : ‘A: Khong 26 gid tr thél glan B..C6 lal ©. Bi 'D. KhOng 06 gid te ndi tal , Tat cd ddu sai 44. Cb phigu rigdn guy ‘A. Buge chia 08 tie 1B. La CP 48 phdt hanh nhung chua dang key nian yt ©. L&loal CP di phat hanh va dugc t8 chive phét hanh mua Iai trén th trong D, Noudl ed hdu cé quydn bidu quyét E. Tht ca au sal * 48, ibu kign bao-Iénin ma trong & cée nha bao Vinh phat hanh cam két 8& mua toan bd ching ‘Khoa efa'8-chive phét hanh cho.dti ho o6 thé ban hét hey khéng duvye gol I: A, Bio 18inh vei ob garg t61 da 1B, Bao Heinh tét ca: ho’ khong Bao [Binh voi han muve t61 thi ©, Bao Iinh-véi cam Két chiic chén BE, Tat 08 abu val 48, CA ngwdl mua va ngwdl ban hyp dong tweng lal ddu phal kj quy cho TT thanh toan bi tree ‘A.Dung B. Sal C. Chl cd ngual ban phal ky quy—D. Ch c6 nquoi mua phal ky quy 47. Quy dau tw cheng khodn dang dong 1a qu? A. Phét hanh ching chf uy nhibu ihn 8B. Due quyén mua lai ching ch qug te nha dau tur €..06 thd duge niém yét chting cht qu9 trén th] trvdng chdeng khoan D. Buge quyén phat hanh bé sung ra cbng ching . TAt ca dau salsseernenternnemtainnmeeniniawniasnsmnc AGUA tam YAls 75.010 aman pesemenanamenenianin, 5, Phign dong ofa ngay th N cla HOSE, VN.Jnclex dat 847,7 diém, tang 6? didn go vélphien déng-ota gay thir N-1, two la més téng tong duong vei: ‘As 0,08% B.1% C.2% D.1,8% i, Tat o& abu sel 59. Cong ty GAM. duge phép phat hanh 10,000,000 c8 phidu theo Bidu 18 cing ty. Geng ty da phét hanh digo 8,000,000 of phiéu, trong a6 06 1,000,000 8 phiéu ngan qui. Vay Gang ty SAM od bao nhidu ob phidu dang wu han? : . A: 8.000.000 B. 7.000.000 C, 9.000.000 D, 6.000.000 , Tat cd ddd al 7 60. Cong ty XYZ thong bao 86 tlén hanh chia nhd od phidu, diéu nay 68 lam A. Tang ménh gid tong duong v6 chi aé tach 1B,-T&ng mgnh gla va gidm e6 ivong o6 phan ©. Khong thay aig} D.Giam men id va ting-66 Ivong 05 phan , Tét od déu sal 61. S6-1onh oda ob phigu.x0e tel HOSE: trong phish dong oir hw edu (gd hath chibu 40,6): ° te ee ‘Ban a [4400 | 40,8 20 mis 40s 00. [360 ‘600 ~ 600) 40,3 A 500 Gid déng ofa ola ob phibu XXX TE : eect As A055, B.40,6 6. 40,8 D404 © <' £4035 : "62. Mot tr phidu 06 ménh glé 100 JPY, tal oud 10%némi; thet han 10 nam, tra fi dinh ky. Nha dau tu nén mua.trél phidu véi gla bao nhiéu néu tY suat sinh Igl-yBii cdu khi du ty vao trél phigu, nay Ié 10% /naim va.thdl, glan con lel ta.8.namn. A. 83,3 JPY B.41,92 JPY C, 100 JPY D, 100 JPY E, Tét c& ddu sal 63, Trung tam giao dich CK’HA NOI str dung phurong thive khép lénh nao? ‘A, Glao dich thda thuan B. Khép f@nh lién tuc , Khdép I6nh dinh ky D. Tat od ddu sel , Tht o& du ding 64, TS chiro phat hanh, t8 chive niém yét phal cng bé théng tin bat thurdng trong thé? glan: A, 24 téng ké tty Khi ey Kien xdy ra 3B, 14 tiéng ké tir kh av Ki6n xdy ra 0 tiéng ks w Khi ey kign xy ra, 8 tidng ké te kh-sy klgn xdy-ra 68, TY.18 nam gid t6l davcila Aha GAL tu nude rigodi 461 voi 8 phibi ete mot t8 chie niém yét duge quy dinh theo phép luat Viét Nam fa A. 25% tng 86 cd phigu B. 49% ting 86 cb phidu C, 80% ting 26 od phidu 1D. 30% téng 84 cd phidu 1, Tat cd déu sal~ DATHOC RINE. MDETHIRET THUG HOG Kiet ‘Tal chinh - Ngan hing MON: TH] TRUONG & CAC DC TAI CHINH me n ding mht Pe 04, Céc ioal chang Khoan sau du 6d menh gid la $100,000, Lo ? ASTI phigu kho bac B. Ching ohftidn gist . Thyong phidu’ E, Trai phigu cong ty 02, Trohg cde nhan inh seu, rih€n dinh nao @ing nhat? A. Qu? mé 1a qu) Gel ching ma chtng cht qu a8 chao ban ra cong ching khong dug mia Igl theo yéu cd ola nha dau tu B, Qui mé 1 guy dal ching ma ching chi quy aa chao bén ra cng ching o6 thd duoc mua {al theo yéu cu ota nha dau tu C. Quy mé la quy dal chang ma ching chi quy-d& chao ban ra céng ching phal due mua lal theo yéu chu etia nha du te =D. Tat cd du sai 03.6 lachau Au la: 4. Nhiing USD do ede ngan hang ngoal quée & b&n ngoal Alréo MY hoc nhting chi nhanh ota ngan hang My & ngoal quéc ndm git, 'B, NhGing USD do ode ngén hang ngoal quéc & bén trong nue MY hoe nhOng chi nhénh: “ cila ngan hang My'& ngbel quéc ném gic. C. NhGing USD do cae ngan hang ngog! quée & bén trong nude Mg ho&e nhirng chi nhanh cola ngan hang My & trong nude ndm git. D. Nhting USD do ede ngén hang ngogl quée & ben ngoal nude MY phat hanh va nim gith E. Tat cd du sai 04. Cong ty phat’ hanh thuong phiéu trong véng 90 ngay, ménh gid $100.00, tat ‘sudt -9:5%/nam. Hoi céng ty thu dwec bao nhigu én? ‘A. 100,000 97.625 c. 109.500 D.110.000 ._E, Tat cA ddu sai 08. Sép xép thir ty theo ‘mite 46 an toan cid céo c6ng oy tai chinh sau: 1) Tin phiéu khio bac: 2)Tréi phidu c6ng ty; 3) Cd phidu; 4) Trai phigu Chinh phd; 5) Ching ch tién git . AAAG-2-3 . B,1-2-34-5 ©. 1-4-6-3-2 D.3-1-4-6-2 ~ E,Tét od déu sal 08. Hoat dong chi yéti-ciia ngan hang thong mai la . A. Cho vay va nhén vén by 'théc 8 cho vay 'B, Huy d6ng va cho vay ngén han C. Huy dong vén & tdt ¢é cde thdi han D. Tat c& dbu sai 07.Ban co bech la: A. Tal ligu c6ng Khel nhdng th6ng tin chinh xée, trung thye, khéch quan ligh quan dén vio chao ban hodc niém yét:chiing khoan cia t8 chive phat hanh 5B, D&r liéu ign ti cong khai nhOng théng tin khéng chinh xéo, trung thyc, khach quan llén quan én vige chao bén hose nim yét chiéng khodn cita t8 chive phat hanh . Tal ll@u e6ng khai béo céo tai chinh cia td chive phat hanh. D.avab dung E, Tat cd dau sai 08. Cé phiéu X co mie cd tire dy kién sau S nd dau. Khong di 18 38. Sau d6 8 tue téing voi tbe 46 khong 481 18 6%/ndm. Hal cB phidu X hin dwgc ban vei gid bao nhiéu néu biét ty sudt sinh lot yéu cu Khi dau tu’ vao cong ty [& 13%/naim? A. 42,608 B. 28,565 ©, 33,528 D. 36,21$ 5. Tat cd ddu sai 3 rang09. Cong ty PC vire tra Trai phiéu céng ty ¢6 I9i ttre cao hon 80 véi trai phiéu chinh pha’ * 36.86 lgnh otia o8 phidu XXX tal HOSE trong phién déng civa nhu sau (gid tham chiéu 60,5): a N ‘Muar Bi ‘SHMG. f sb wong | Téng S| Gid_ | Téng St_| Sélwong | SHMG at 600 BI5 m4 300 1,3 400 2 M3) 400, 612 ‘300 [83 M2 ito 00,9 200 87 M5. 600 608 = Mz 300. 60,7 600 68 7 60.8 800 86. MB. 00, 0.4 700 8 19, 500. 60,3 5 60,0 400 Bt : ATC 500 B4 Hay xAe dink két qué giao dich Tang,f TRUONG ON KINH TE bi THI S0 487 KHOA TCNH MON: Th trudug vén& che @foh ee wt Chiat Peet ‘Thod gian: 90 phit wel s6-hdu e6 phidu ya tedi phiéu du duge hwdng: . hey oy siudt slab fol tt von ina minh db tu vo. cong ty. Thu nhigp phi thuge vao Hoa dang cia cong ty "C, Lal sult 06 dink, Biege quydn bau ett taf ai hv'od dong '* ‘ eh * 02, Nha du tur mua 10 tral phidu 26 ménh gid 100 USD, ¢6.lal sudt denh aghia 6%/nsm véi. ‘BIA 900° USD-Vay ‘hang nda nha du tw sé nhén goctin Ui las oe : usD “A, $40 USD | , 600 USD a téu.ngan quy* 7 La ¢@ phigu dX phat hinh nhung chun ding ky niém yét, pete G B, Duge chia o6 tte . 7 . S + Neudi sé hitu ¢6 quydn bidu quydt ; : en Joel CP. duge ph hiuh va dupe 8 chuto phat mous tt tih th tion 04 Chu nto sau ly ng él t] trang ofp. ; Perse ieiaee- 7 Bane wong vén alu tw cho ndn kink té 5B. Gif phét hanh do quan h¢ cung ed quyét inh EY'Lam tang higng tién trong twa thong. D. Khong lim tang long tien trong.luy thing. 5, Th] wudng thitolp i : aes : La nol mua'ban céo tog CK kém ohdt'tuong ” —B. La th) trudng ching khodn kém hét tridn, «, A no} nia bgn ao ohiing khodn dat phat han - D,.Tht cA du sit 7 : 106, Bidu Kign bao Ink mA trong dé-bke nha bad lah phidt hint Gam Ket, 68 sua joan bp chéing-khogn cia td, “ee inh cho dit ho o6 thé bén hét hay tion, durge gol la: ye Bao linh voi cam két chic chin, B. Bao Iaoh vot han mae ¢6i thidii* Bato Hanh tht of howe khong D, Béo Ieinh vial'86 garg fida oy es ar dling ky phat han ra eSpgschungt ,” 07. bi véi cong ching dd tu, tai gu nao quan trong nhdt tong id ‘A. Béo ofo tai chnh da duge kiém toxin is B, Danb sich vi ty 1¢ scr hau oda ob dng hign tai : Danh sich va sor yéu ly lich thanh vién Hoi Bag Quan Tr] va Ban Gisin be. nee Ban cho bach i 09 Taft tw mu tién thye hign Ign theo'pliuonig tbe Kop Iénh Its : : Gid, thoi gian, sé luong, khioh Hang B, Thoi.gian; gis;.s8-hong, Kilich Haig s Thol glan, khéch hang, séong,gia D, Sétugngy thd! glan, khdoli ‘hang, gif : +09. Lénh gidi han .., os, “ aon z Bue thye hign tei mi gié khép enh : eo Buge wu tien thie higti truds nh ATO 9 eth Hign tel mis gté ma nguc dit tanh chit dinh Soe oat Nguoi dt bén va ngudi dat mua déu cd wu tién giéng nhau, 7 7 oe 10: UGhir ARO 1a tanh Tt : . A: mta/bin voi gid cao hon gid thi trudng hign hanh 8. mua/ban vei gié-thdp.tion gla ‘thi trirong hign hanh wa/bén tai gid giao dich’ cita phign'déng ctta Inwa/bin tai gid gino dich cia phién mé eda dlo no saw day ding voi ban khéng chitng khodn. oot A. Hudg loi tr vige ting gid ching ehodn @ vicniy yr st ld ching boda Incch8in su thua iB D. Han'ehé nui ro Ww tice no sau day khéng phi fi chi tigu cum phén tich co ban; ig sinh Iyi ctia cdnp ty BL. Ty $6 P/E ve thanh ton cus cong ty QBICH s6 gid cin thj udm ching khoin Trang 17 MA de tar13.88 GDCK TP. HOM o Vigt Nam quy dinh don v} yét gid 44i voi nhang c6 phidu cd mie gid ta 50.000 dang, iad én 99,500 dong 1a: ; A. 100 4bng Bs00 dbng C300 dong D. 200 dng 14, Ong X vita bin 100 ¢4 phiéu oila cong ty A véi gid 40 USD/eb phidu. Ong ta mua c&c o6 phidu way mat ; mil trade dy véi gid 30 USD/ob. phidu, nai viia qua dng ta cb nbén cb tite 2 USDicd phidu. Vey thw aha trube thud oita Ong tir 100 6d phidi A 1a, mes _ A, 1000 USD B, 200 USD 6.1300 USD @ 1300 usw 215, Mn 8 lib phi iin re gh & Vi Non lay eect wee 100.000 ddiig wee A B 10,000.4dng 4 i: thldw fa, 100, 000:tBng va b6r 66 evla 100:000tng 200.000.4dny Pew’ 16. Nou mot tr phidu durge ban voi gid thé heen mgah gl th isin ae ‘ m Kong ed 09 9 90 ab 4 te hs tn a kilt 1B, Lat sult hign hanh oda trl phigu = (ad sudt danh nghta ola trdl phidu coed Lai sudt hign hanh eda trAl phidu < Iai sudt dali nghth cia tedt phidu BDLai sudt hign hanh ota trét phidu > tal sudt danh nghta cue teil phidy 97. Nha phét hanh dinh phét hanh 2 Jogi trél phidti:.tréi-phidwX 6 thot-hen's mim va trai’ phidii 'Y 06 that hen 20-nfim, Nhu vay, nd phat héinh phal dink mute tal suft cho 2-tral phigu.teén nhur thé ndo? =: . AP Lal sudt trai phidu x < ti sudt tréi phida Y B, Lal stadt tral phidu X=, lat sudt tedi-phidu al sudttedi phidu X> tai sud tad pia Y D.Khdiig ¢6,00 66 dé s0 sé - 418. Ngudil bah Kiéng éhinig Rhodn thye hign hanh dong Khi ho diy doan gid cia of phisu: ? Brine len B. Khong they abt Glam dl nD TH oh-du sa 19, Gia sit'o8' pliléu A 06 gid dng ila &-phidn' gino djch trade fa: 101.000 abn; bien! do ‘dad big gid 459%, _theo quy. ché glao dich & SGDCK TP.HICM tign hay, mio gif mio sf. 1a mb gid hop Ie trong, cf mite gi sau: Shs 101500.dbig ~ B,110.000 dBhg |” 10.dbng BD. 94:000d0ng 20, Lgnh ATO 1a tanh. uveae : ‘A. muo/hén v6i gid seq bon gid thi trudng hin hanh sent ne Oe ane alt B, mma/bén tai gi giao dich ola phign déng eat : ne mud tal gid wikd dic Ode phior mi eva care ’ ‘mua/bén voi gid thdp hon gid thi trudny hign hanh a Eee eet Eb 24, Thi trong vén la th creudng, gino djeh . i oh ong cy tai chinh trung va dai han B. Tidn te b Ky phiéu Dy Cho c6ng.oy-tdi-shinh angio han 1a 22, Thj trudng clyimg khody la, grb phen sia. eee being A, Thi trudng tin dung. _.B. Thi trutng lin-ngain hang twidrig'vin D.Thj trvdng mo tie 23. Thing du vén ca cdng tyvd phan phat sink khi: separ 7 . 4; & Céng ty kivih dounh 6 tat Tra cdtite bing 8 phibu Meee “Cong ty git ti foi nuda IChenki Wel Bical phat tidnh va inenh pia 24, Cong ty c6 phan bit bude phai phét hank B eee : Beg A.Cé phidu vu dai B. Trai phidu céng ty Ocs phigu phé thang D, Quyén-nua.cd phan 25, Quy dis uw ching khoan dang mo la quy 7 a ‘A. Khong mua tai ching chi quy Dien tue phat hath cling chi qu ©,.C6 ching chi duge nim yét trén TICK Chi phat banh chiing chi quy mét Ian 1 26. Quy du tr ching khodn dang déng Ia quy. ay Dwoe quyén mua lai chdng chi quy tir nid dau we g Co the diege niém, yét ching chi que tren thi tydng chang khodn, * Dirge quyén phat hinh bd sung ra edng ching D. Phat hvinh ching chi quy? nhidu lan Ting 4 MA ME FS \27, 7 DB “E,B8 bao vé cong ching du tw dich phan bigt phat hanh rléng lé va phat hanh ra céng ching ta 4 dé dang quan |y B. Dé thu phf phat hanh D, Dé dé dang huy dong vén 28, Nam N, Cong ty ABC c6 tha ht rong 18 900 trigu ddng, sé 08 phidu di phat hanb 18 600.000 o6 phidu, od ald 1516 phidu diego trd 66 tig je: a 300 dong @ 1000 ding ©, 2000 ddng, a "i Gian hess all oath aghigp, cde 3 dong st ; ee Li ud cling dige thanh todn ching chug ae 7 vl ovop sbbeake tr D) Dugewntigate-vén gop trvde ted: pha san, glal thé cong ty, ngwdi nfin git tri phidu-st due hoan tid! \. ut ‘che khoaa on ks hdp-va-ofic khoan pha tra £30. Guy 14°40,000, Khong c6 cd phi JB) Trude cfc khodn vay o thé chp va céc kchoan phat G. Trugo thué cbn ng ela Nha nude eae ) Trude odo ob dong niim gitt cd phiéu wu dai va.cd phidy phé thing ; +31. Mit trong nhtng didu kign phat hanh 8 phidu tn dau ra-oOng ching ¢ Viet Nam tied véer tr tildu la... A: 5 ty VND, hogt dong kinh doanh cita nim tidn trade mim dang’ y-phal eda Peete BOY NND, hoot dong inh doanh eva.2 nim lida trade nim ding ky phat hah phai coat ; 7 © 515 VND, ticat dong kink doanh ote 2 niin Hdd truéc'nim ding ky phil oé Isis. Dy 109 VND; hone dong kivtrdonnk ote nag lidn trube nam ding ky hal c6.1p} fo #32 TY'i¢'sin git tbi da‘ oda nd abu tue nude ngoai-d6i vi £6 phidu oa.ngt td chute niém yét duge quy-jnht theo phép luge Vigt Nam ia / : uuu dil, H9i dong quan trl quyét dinh tré 560 trigu ddng ¢é tie, Nhu vay tra woh ‘A, 25% thng 36 ob phil C “849% tng 36 08 piu sooeadne ga DE eo te: + 33, Mot trong nhiing dida kibnede nif i phigu.doanh aghigp ia eSing'ty 8 ‘phdn, “eOnid ty ive mig hei hen, doanh nghiép nba nuGe 06 vén dig 1G 48 yop tai thoi didi’xin phép nigin yét tt... ‘A. 20 ty VND trés len len tinh theo gid te] ghi trén sd kd, todn SP: R:5 8 VND te 16m theo gt tg tel 8 kb tn 80 ty ddng Vigt Nam ted In tinh theo gid te} shi tren 36 ké tof 10 ty VIND tré-tén Len tinh thed gid thf ghit trent 38 & 34, Quy dlu tw ching Ichodn theo quy dinh lia Viét Nam li A. guy dau tw t6i thidu:40% gid ti tai sai cia Quy’ A0 clitiig’Khiodin” eee aug ditu tw ti thiew 60% gia tr tat'san cda'qupvio chit ktioait kp ok mye dfoh klén lof inhyitin tt vide du fi. vag ofving ichoan ) quy hinh thaoh ti: vén gdp ctla nha dau tur + hoe cdc dang tai san dau tu’ kde, ké oa bAt-ABni sin D. quy dau tur ti thidu 50% gid tri tai san ola qu9 vio olving khodn 38. TS chic phat hanh CK o VN phaé hoan thatih Vigo phar phi &8 RIEU trong vong | : 90 gay ké ti ngay gidy vhimng nig ding ky phat haat é6'hleu ye 9 - 60 ngay ké tt nigay gidy chitig ng dding RY phat-hantt 6 ne Wye" ‘< C.30 ngly.ké tt ngay gidy ching nhgn dag ky pdt hAnh od ig lve D, 120 ngay ké tir nay gidy chung flién darig ky phat 36, Ngudi co tien quan fa ed nhan ho} A. Cing ty me, ediig ty con , B, Thanh vien HOi dbng quén tr}, Ban kiém:soat, Gim ** TBrig’gidit déc va ede chvie dank qui ly kha eba vd eh 537.1 13 56 bio ign tiép cua mae we bio C. Cha. cha nudi, me, me Tat c& ede cde wwimy hop néi tren cehite phit hank ng bd Bain thong héo phat han win b 3 86 bito lidn t Trang #7 : lidith 06 higu lye Ae t8 chic c4 quan hé véi nhau tong cde fring hop sau day: déc hose Téng gidm Adc, Phé-Gitm'ade hike PRE hie dé 9. chdng, con, con nudi, anh, chi em rudt etia e&’nhdn bio dign tir hoe béo vid tong: ctla mOt LY bdo. B. 456 bho lin tip cia mot to bio DB, 786 béo lien tigp ciia matt bio Ma db 487“38.1 chive phat anh 1 chic niém yet phi cdng be thang tin bat thudng trang thoi gian, A. 8 tidy ké tix hi sy kign xay ra B, 20 tidng ké tiv khi sy kign xay ra G14 tidng ke tir khi syrkign xay ra - 5,24 Ung ké tir ki sy kign xdy to 39, Ngwol hanb nghé kinh doanh ching khodn dtigie etree etert er 1du- mol noi ty, nn fan ob shed Arle) bie quydt. eda mot td che phat hanh y B yt “ Bi ‘dingo ie ‘at Kita ito dh cho ith (i eOng ty chimg khiokn nol lant vige M0. Quy sit ghee la SODCK TP.HCM guy din dom v| vit eld abi val nhlug 08 phidu 06 me Bi6 dust ne *- 80,000 adn es Se B.300.4dng ©.200 ding Gide J 41. Ménhyald cfpsshit ays au us plidt fit ra ong ohting & Vigt Nam la: ea la 100,000 ig VA bol aba 100.0000 ng B; 100.600 dbng - 7 ‘ C. Tay theo o6ng ty xtc dinh “® 000 dng: ” eo 42. 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BPS ting ; a 46,461 (ug quin ti B tri, Bap giém d&c, Ban kigm ios i céng.ty nig vit phatniimegitts, 2-5 0 A, ft nhdt 20% vén od phdn trong varig’3 nain.kd tirngay,niém yt , “ 2 ost opeie foo B it n.cd phan cika ty 9 eine SoH ing 6 thing lien Ke gy it > @) Tht oa ddu sai * . Mt trong nhong diéu kign nigm,yét ching ehj eda qubalehing : La quy mé e¢ tng gid ir ching. chi.qug (theo.mngni, i) pc bch 1 0 ty. dbng ten: Aquy co téng gid’ tr] ching chi qug (theo, mgnh gid) phat. hanh to 5019 dng trd len + 73 A quy dong co tong gid trj chibi chl quy (theo méah gla) phat han tir 80 ty.d&ng thd len: A quy déng c6 téng gid tri ching chi,quy (theo Hnh gid) phat hanh sir 50 ty dOng tro len 48. Thi trudng ti ebinh la noi huy dng vin: : 7 A. Dai han B. Ngan han G. Trung han @riv ca déu ding 7/49. Nha distur dt Ignh mua ban ching kliodn-niém yét tren So gino dich: Trung tam wm Céng ty ching khodn thanh vier ban Chimg khodn » Céng ty chung khodn rung tn Gia deh ching Khon io dich chong khoan ti Thang 4 A MA de 4872 0, Hinh thitve bao lanh phat hanh trong d6 dot phat hanh st bj hay bd.ndu toan bg ching khodn khOng ban. duge ét, gol lar ; Blo {anh tht.ca hoge Khong BY Bao tanh vot eb ging t5i da, Bio | tanh véi cam két chic chan ‘D, Bao Hanh voi hen mite t6i thidu '34:-Trovig’cate nh'dinh say-€ayntidn din néo te ding v6i TTCK thet ofp. : © A Thi teudmg thé ofp tgo cho moi ngudi dau twoo neice co cdu Iai danh'mye dau tw cla minh hf trudng thé-edp ta tinh thanh khaAn cho oéc.04 phiéu dang liu hanh .., fie 0 Nh ing thit odp [a th] trudng glao'dich céo Shing k i tiv thes hat tr i : yTht o& ying ding: : 82, ‘cb dong ad hou 8 phidu wu,ditied site & Viet Nam 66 quyén: | {Nig ob taro voi méo wu dat . tee seerae va bidu quyét tht o@ odo van a2 thuge thim quyén cia Dat 01 ‘bong | ot UL Khi oOhg ty gid thé, durge nhygn 1pi mot phan tal sén tuong dng v6t 34:08 phn gop vio cong, v. LV. Bugo nhgn 06 tie wu dat nhur It sudt tdi phiéu kB ch Kit eOngety Hamshn hue) a Y kidn nao ating g oe Aviva HIT B.ivanl vat D.Tvalv 53. Cong ty XYZ cb 10.000 ob phidu dang iuu hanh va tuyén bé tra of tite ob phidy vl mige 30%, khdon hang one bas 46 100 af sd XYZ, Sau kt nbn ob ia 6 phiéu, ty oie vik e Ay (a trong XYZ td bag nhlgu? : : 1% Ee? B. 15% (is 4. Vigo dang ly hhucky ‘chittig khodn tal TT fu ening ‘chodin'duiye thige hleit bat: a A. TO chite bio lanh phat hank ‘Té chiie phat hank 7 CoNgusl 9 hteitilg Khon ae Gna iutky Bee ‘Cong ty’ “gAM' ip phat hanh 7,000,000 ob phiéu theo ,Bidu, If.céng. y Gong 4y phdt hanh:duge By, Mong a6 eh 4,000.900 4, phién ngdn quy.. Viay-COnig ty SAM-c6 béo-nhiéu & pl te 8, 4.000.600 ©.6.090:009 o De7,008.0 ies htiig eK silgmn y&t igi Trung jim elao:dich gfting Khodn edn phae6.ofe bude: + nig t6in ging dich CK't ve le he \enh.va,thOng béo, co) ano dish:sho cong ty ching a vi 2.Nhi ‘thu tw mé tat ktiodn, dat 1énb mua bani ching khodn rd 3. COng ty ching khoén nha l¢nh vao he théng glao djch cua Trung sm 4, Nha, dy tu gn duge chitiiy'kiidén (nd 18 nauel mi “noe 118 8 (if uy nat bi ep fai. fhoan g sau 3 igay Wait Vibe Red a ily glao'dieh “> 5. Cong ty chithg khofin thOng béo két qua giao dich cho nha dai Anh (chi) hily:chit 1a trinh ty cle bude glo’ dlch etic ch ‘igo ede’ phuibng an sau: Ae 2PB SB, 3,8) 24 13145 ». 87, $6 1gnh oda of phibu XXX tai Hose Soi btn dng a tobi sau su (ad harm chigu 3 Man Tata fsa Saba : 300 A. 60) | 30,8 23 |: A col 300 2.40) 1306. 246 [500 : = be 05 600 = [304 14a [700 500, Lop | 303 sD __| ATO $00. [500 sm Gif déng ctia eda cé phidu XXX lb 7 A. 306 B. 30.8 Ors D304 Trang £7 MA db 48758. Gid sir gid déng cia cla ching khodn A trong phign glen dich trude [4 10.000 ddng, don vj yét gié 1a 100 ddng, bidn 4} dao dong gla 1a # 5%. Céc mito gid ma nba ddu tr ed thé dat lénb trong phién sito dich toi la; pases, 10,000. 10,100. 10:300449 ene ygGgy} 3: 10,000, 10.100, 10,500, 10:60 10,998; 10.608, 10,650; 10.700 D, 2.409, 10.100, 10,200, 10. 300" 89, Phién déng cida ngay thir N oda HoSE, VN.Index dgt 236,34 didm,’ five "2,34 diém 80, axl St pe 461 ngay thirNe1, tte mite ting tong dong véi: ith Ag ott ng Cv : ' 1s ga oa! A. 098% -BL2% Gm: ; Tia rote 60. C4 phigu ce ‘obng ty nldin yt tal 88 GDCK TP.ACM 28.) hiby bd niin yt ndu khong dat duige cc diay kién nao ddl A Von ater ln ‘thidu 10 ty aaa A nhugn 161 thidu J 1y bi tid 20% ob nike oo gusta bid quyét do tn 100 08 dng nde tr 1 BeRhOng 66 no qué hn én 6 thing SHEE Sie 763K) | Cone ty 06 phn tr ob tde-bhng ob phiku, a8 lam: oa . 7 Goicnoa tony ti Ie quydir Igi:oa of dong“. - fs A pat Bln enc a ong : Ting 4 yi theo 1g trong dong ty “" Sones! F fig tif tru cidtig khiodn thié’edp cia 190, ding Khon duge thd hig boi: at “ph i sft aneenae nee wu “aia hid Chioh pa a 9 ia djch ching khodn nigmn yét ‘Bfu gid cb phin DNNN op phan ho 63, NOi-gi61 ching Khodn 1A mgs aghlgp va. kin dean ie khogn, trong a6 mot cong. ty hing ket dg digo cho khach hang tién han’ aieo dich ig gu oo hd giao dich tai. ‘$9 GDCK trong 46 khach as fu te aon natin két qua kinh 14 ota gigo.dich a6 ., J. $4 ODCK oko thi trvtmg OTC, trong A $4 GDCK /'Fh]teudmg OTC odng in sé tefoh ahigin ve két quackinh 16 oria giaoidjch'd6 vai khfok hang, 20 GIICK hote thi mubihg OTC rg do cdhg ty ching kad dge'diydn ea qiyde dg doh” D. Thi trudng OTC trong dé cdng ty chiing khodn chiu tréch nhigrn vd két qua kinh té qua \ Bino igh 46 . 64. Trong thatig 7 ching ta khdng 06 ngay ght 14, gid sit bon 1a ngdi. ddu te bén ob phigu trén th trudng, chitng khodn tap-trung vi da duge'bdo-A bén-thanh cbrig vao phith giao dich Aaiy 16 thérig 7 (id's), Tho gian thant toan.theo-quy-dinh hign havi | Wd glan tid igo chiuyen-vA6 tal khodn edd ban, + @) Ther ww 21/7 iB. Thi Mien’ 22/7 Fidodaae “De Tht hai 19/7 68. Theo guy dinh oil phép uft Vigt Nami ehdo ban hing khagnt #9 Ong chaipe (a: & ‘Chao bari cho 56 ngtig wha dau tur khong xée inh B, Thong qua ‘ode phurgng tig thong sin, Gut ching C. Thong que Intemet (BY TA ca dau ding os Khi Luu gift ching khodn tp trung tei. Trung tam i oy ching hos, ngudi dau ty duge, ii vine ‘Tham dy dai hdi ob déng cis cong ty ~~ "B. Chuyév nhugtig CK khi giao dich thanh céng 16 Rat chimg khodn ra bing ching chi @®) Tht c& dev ding / 67. Theo quy dinh ola phap ingt Vigt Nam, phat hanh chiing khoan:ra cdng ching la: @) Phat hanh cho ft nhdt 100 nha dAu ter, khong ké nha dau tyr cltting khoan chuyén nghigp 8. Phét hanh qua 6 chite trung gian : ~. Phat hanh cho it nhdt 100 nha dw tie + AB! Phat hanh dé nid yét 68, Mye ti6u chinh ein eBng tée thank ta. gid st vige thye hign php tut ching kién Kod va th rd ching khodn 1a: A. Gidin thidu rai ro hg thés B. Dim bi tudng et ri cua newéi dau tir (Y Aca déu ding, khodn cong Ning.cény khai. higu qua Prange? (babe?oon > Ky tien ching khodn Gang daithl.t9j tte, c&ng cao ki eetaennaneerustinennnanninarsanesanine Mt AiOSAND DAG TS. BD i ausent nnn nseremnnesnnnecen 29. 76 cheve phiit hanh, ( choc nlém yét phal cdng bé thong tin bat thudng trong thdl gian: A, 20 ting kb tor khi'sy kién xAy ra ob, 24 tidng ké tir Khi sy kign xay ra, c. 14 tiéng kd tty khl oy kign xdy rap, 6 ting ké te khi ay kin xy ra B, Tat 08. ddu sat ra nady thi N olla boSE, VN.Index dat 341,7 did, tind 6,7 dibmm g0,v6l phién : ae sr "gay tha-N-1, to 18 mcie ting tucihg dirong vot: 12% SA 1% . © 18% 9.098% ——B.TAt 08 du gat!” ORL Ally $98 12d opin. gon oe cfu hat dudi day G4Nhén dinh ndo duvél day SAX; Gal thich : = Hap aang twong lai la hop aang thudng duge dong trréo Khl één'tan, Vide thyre hién ugo quan Ij bal Phong thanh todn bir tri..Hop ddng co mot 96, ngay chuyén glao hat dinh, Phong ngiva ral ro vao, bat ky thot diém nao trege ngay dén hen. dé xd dinh, ~ Hep ddny ky hari f& hop ddng lub duge thyc hién, vide. thys hign dwa vao trach nhigm cia nhing ngudl tham gla hyp ddng, Quy dinh mot ney oy thd-68 chuy&n glao tal ean, Phéng ngtra riti ro vao ngdy én han a6 xée inh. an = Hop dng ky han la Hgp dng due chudn hda. Khong yéu cau ky qui, thanh todn vao gay dén hen. Tinh king rdt thép. Hop dng dugc mua ban trén thi trudrig OTC," -» Hop ddng trong lal yéu cu kj: qui,;mére iy quy dvge albu chinh Hidhg ngdy theo sy blén @gng gid, vide thanh toan duge thye hin hang ngay. Tinh na rit cao. Hep ddng digs mua bén & of¢ 88 giao dich. : 32. Chon 60 ménh 4d dong trong cde ménh dd sau, gial thich’ RG -6)~ Chang khodn 06 dé rill ro eng thép thi I9l tire cang tite PTS + an n> AD Late - haat savin" « badichéng khodn ngdn an 6 d6,rdk-ro ve gid.cao hon ode chittig kiYoan.dal han . 83, Chira ménh d8.SA\ trong.cac.ménh PAlddu, gla thich Le ree = RULwo vey ng sang cad thi Igl Kd dia tral phidlr cdg oso iy oe BOn Tra) Bhibu dug bén.v4i gid cao hon ménh gid o6 chét lvong rét caoTPde bot LTP oa Rat MG sche 4 +n Teal phidu-cé tinh thanh kehodn cng kéri'thi lol tke cng cad Ri. LSU Diy e eel Rak + “*Prarphigu'cdng ty 66 iol tere cao hom sb Wei trl phil chinh phot~ 34, sé'eAh cUa-0d phiéy XXX ta] HOSE tror lah déng civa hy. sau (glé thm ehiéu. 60.8):49. Ob phidu ng&n quy saat A, be. cb ehltu 42 phat hanh nhung cha dang ky nlam yét Be H 88 hihu 66 quyén bidu quyét pase loal CP di h va dure t8 cho phat hanh mua ll tran th regng ei ST 20, {tha dill tu rriua’40 tral phidu o6 meinh gia 1090 USD, 06 tél sudt danh nghta 6%mnam vergia 9000 USD. Vi | hii nha Gu tw 88 nhan dug tidn fl bas : a ins IEE ac Uso sr ge. 17 Manta to S40U8D Tht dhu eat » 24. CA nguél mua va ngudi ban hyp ddng tvong lal dBu pial ky qu? cho trung tém than toain bir trie Phe ‘ALChT odnoudl ban phal ky quy 8, Beng G Chl 06 nguedl mya phal kj quy D, Sal 22, Mdi ohlén tego yay hon 161 wy khl gié-€8 phidu dy dodin ting 08 14: 7 ~AeMun quiydn'chon Ban i c, 1.08 Oba Sal coe aga ee Ba. 9t@ ong ty 08 phan phat sinh kh: A. Cong:ty-git? lal lol-nhuan . Se sng ch vam Se Te ons and 26 ph Di: Tra68 tho hid 06 mioritflé 100 JPY, 6 Sut 40%67nin’ thd ign 40,nén, rd 16] Sal. Nha ada tu'ng mua tral phidu. vot gid bao nhieu ndut) ca ‘odu Kh! dau tu vaio tél phidu nay 1.99 va thol glan ean tal la 8 nim, rae, © § rose 100,373 UPY ; ¢.99,9280FY. "Db, 79,313 JPY 1. Tét cd dau sal et G6 mfr gid 100 JPY, ia su Jorindin ra hen ‘0 rm ah hy. Noa a ty Gn thus tral phidu veil glé bao nhiéy.ndu ty Hsin lt yeu eb kl bu tw vb td {shay la fobaniaih va tne gian con ial ta eam, WEED» Meg eyin = me te Lay Me a9 JPY, DB 03,8.PY E. Tét of ddu sai a ‘s N pang ty ‘Abe: tha ini rong la’ 800 Wu ane, 86 08 phidy a8 phat hanh 1 800.000 ‘ 6 phibu-ngén qu. Id 40,000, oi na: quan t inh tr fot ec ne ngan guy. Ie khéng.o6 wu discus ai fa 7 96 68 phi ng 08 tir, Nhe dy mBi G8 id durge tra ob io dar ODD -88 BD 5. A. 1800%dbng. « 4000 adng ©4300 adng 5: iD. 2 n "At ca dau sal 37. Cong ty XYZ. ad 40,000-c8 phigu dang lvichanh va'tuyén b6 tha of:t00 bang 68 phiéu vol mirc 90%. Khéchihang etd beh.6 100 sy hiéu X¥zZ, Sau Kil Aen §6 tdo bling 08 piiéu, t7 16 8% hou 6b phn edaiéng ta trong cOng ty X¥Z1a beonhieu? —A¢0. ESO ge V9, A13% 2. 78% 8 Ere 28, Trong thang:7.chung fa khong 6 gay nghra, SGDCK“TP.HCM va 88 duro’ béo la ban thank’ Thal gan thanh togn thea quy dinh hign hanb AT cdabenia: © co GEE A. Thikhal 27g, Thy ty 23/7 €. Thik ba 22/7 D, The nam 24/7 &, Th edu 18/7 See ene 7 add . PDO m B.Tét o& dau sal bah la ngudl dau tu ban o& phidu tran ‘o'phIen glo dich ngay 16-thang 7 (thi 4), ThA! glan tldn duoc chuyén vao tal.khoan\ 69. Céng ty 06 phan la doanh nghiép, trong a6; +L Ve didu t@ dug chla thanh nbidu phdn bing nhau goi lob phdn “H, C8 dong ehiy teach nhigm hau hen v8 nghin vy trd ng 111, Tht of 240 68 dong dugo quydn f-do chuyén ntingng tdf cA c&e'Iogi 06 phan cia minh © - /. Khéng an ohé s6 lux 1g tl da * ATUL VATV dng Iva lV ding Cu, UW val ding 70. Lénb th] trang 1a leah; * A Liu gitt 686 Ten dn kil mus, bin durge too cho dn khi bj hay bs Ginna mia, bén ching khodi ¢ mot gid nhde inh 46 ehj teudmg ohdp ntign f i D. van dong it ban theo gié thi tritong * ‘D. Cag b vio déuding* ’ Khoa TCNH BA tht gdm 70.c6ju 7 trang ‘TS, Nguydn Hod Nhan Trang 77 MAE 497Araby ie “eg 57 | worrcee | § Wey St (6)3¢ xeon [drt | ia : i sanger | hapmar car |e |. tay! Cal4~Ce)sa~ sx sien l a of “gaye | bem erm any | ene | 904 “Chnyse ~ Pease | gocsidon | Ayre wy oye |. pe-trw] 7 | 8g | F014 ~Cey 54 ~ 2vaYUL | FO HLL | j “b a 7 j : Quy, | ler-zr-er]} & |} garg (RECO ~ praise [b0- 23y7 fim ayo mma-e-sy joo y zed 9014 -C2)56-PxQ4 HO tay e abot | xe wes tip g / 4 054 ~(9¥) 56- Ped | 64 md, . aye | hale rier] A1, Trong che mbgn djuh sau, nhgn djnh nao ding nhfit? LA ous md la quy dai ching ma ching chi quy dit chdo ban ra cng ching phii duge mua Igi theo yéu ctu eda nha dau tu, * 7 ..B. Quy me 1a qug dal ching ma chting chi quy d& cho bén ra e6ng chang khong duge mua Iei theo yeu cu eta nha dau tu; : C. Quy mé 1a qug dai ching ma chimg chi quy dit chio bén ra cong ching-c6 thé duge mya tei theo yeu od ola nha dau tu, cH wD. Cf A va CIA ding, ; 2. Bin efo bgch Ia: oe A, Tai Higu oding Kkhal nhting thong tin chinh xe, trung thye, khéch quan lién quan dén wige cho ban hoe nigm yét ohimg khodn oi 18 chie phat banh; f ae . B, Dor Ligu 4ign ti o6ng Khai nhttng thong tin khOng chinh xéo, trung thye, khéch quan Jién quan d&n vigc chito ban hoe niém yét chimg khoén cita td chtto phét hanh; 7 C. Ch hai trudng hop trén; 1D. Khdng 06 eft ndo la dling, ee 3. Chio bén chiéng khodn ra cOng ching 18 vige chito bin chiing khofn theo mft trong cfc phwoing thite sau diy: . : : , ” “A, ThOng qua phuong tign théng tin dgi ching, ké c& Internet, PEE -B, Cho, bin chimg khoén cho tix m6t trim nha diu tu tré.lén, khong ké nha du, tw ching. Khofn chuyén ip. pete. nghigp. C. Chao ban cho mét sb luong nha dau tu xéc dinh. \'D, CA ba trudng hyp trén du ding, : : “V! 4.C6 phidu 18 logi chitng Khodn xée nhgn quydn va lol ich hyp phép cia ngwbi s¢ hitu adi vol mot phin ybnong cita té chite phat hank, - 7 neeeh . J ov. Ditng 5 BSai.v ” anrasi 8. Didu kign chao bin cb phiéu ra cdng ching 1a: (1) Doanh nghigp c6 mice vba aidu, 16 Ging ky chao _ bin 80.20.05 ding Vidt Nam ve }én uh theo. gii:trj-ghi tren sf, ké-to4n. (2) Hogt dgng inh doanh eiia niin en tube nikn ding k§ chio bin-phai c6 Ini, dng thot khong 06 JO Ady. é tinh a6n niim-chao ding Ag chito bin ; GB) Cé phicong dn phdt hank vd phiong dn sie dung von thu duge tit dgt chido bin dwyc Dai hi Dang cé dong théng qua. 7 i A.Sai MB. Ding 6, Chon cfu tra 1d} ding nhit : COng ty dpi chiing 1a cbng ty od phan : 7 X thyc hign chao bén ra o6ng ching ; : ct 7 : B.C6 08 phiéu duge niém yét tai Sd giao dich ching khodn hote Trung ‘ain glad dich chime Ktibén, ». 0.06 06 phibu duge fc nhét mot trim nha dhu ty sé; hit, khong ké nha. @du tir chitnig kho&n chuyén nghigp va 1" cb vbn digu 1¢ aa gop tir mudi ty dng Vigt Nam tré fen, . : “YD, Cau A, B hoge C d&u ding 7 7 7. Ditu kign chio ban cb phiéu /dn adu ra cong ching la : (1) Cong ty e6 mite: vn didu 1g G8 gop tgi thd ‘im dling key phit hanh cb phiéu 61 thidu'S¢y abng Vig Nam; (2) Hogt d9ng kinh doanh tite nam Hen urbe niim ding kj chido bin phil o6 Iti; (3) Cb phuong dn kid thi vd vide sik dung yOn-thu due te dot Phiét hank of phiéu; : ae . A. Sai S B. Ding 8.Gid mi cika Ia: Trang 1A. Gid thye hign tal lan khop enh cudi cing trong ngdy giao dich. Trong trudng hop khéng c6 gid thye hién trong ngay giao dich, gid mé cia duge xéc dinh la gid mé cia cia ngay gino dich gin nhat ; B. Mit gia lam co sé cho vigo tinh toén gidi han giao dong gid chimg khodn trong ngiy giao dich ; C. Gia thie hign tei ln khép Ignh dAy tién trong ngay giao dich, 9. Leah giao djch tel mike gid khdp Henk (ATO) : + ALLA lgnh us Rofo bbén ching khodn do ngudi dau tu dua ra cho ngudi moi gidt thye higry'theo mite gla chi~ ._ djnb hote t6t hon : B. La lénh mua chimg'khoén tikung khéng ghi mite gid, do ngudi dau tu.dua ta cho riguisi moi, gidi 44 thye. hhign theo mite gié khdp lénh 3 C. La Ifnh bén chimg khodn nhung khéng ghi mac gié, do ngudi dau tu dva ra cho ngudi mél gid! 48 thye hidn theo tinire gid khhép lénh ; * D. Gav B vaC la ding, 10. TY 18 gdp von cita t8 chive kink doanh ching khoan nwée ngoal trong Céng ty ching khofn lien * Adshih Hoge Cong ty Quam If quy len donnh t6i da 18'49% ybn albu 18 25.6 A.Sai V B, Ding 14; Bitn 49 gino dng gia la: A. Gid dao dong chiing Khoén qui dinh trong ngay giao dich duge tinh thio ty 1g phin'traim (%) so véi gid Op enh ; : B, Gié la gid dao d9ng chimg khosn qui dinh trong ngay giao dich dugc tinh theo ty 1¢. phan tidim (%) so vol gid thye hin ; 7 7 aoe - Ong chimg khodn qui dinh trong ngay gido dich duge tinh theo ty 1 phan trim (%) sb voi gia tham chiéu, 12, Phat bidu ndo,sau fly IA ding: 7 . ANhA dlu tu duge phép ddng thdi dat Iénh mua va enh bén di véi 2 Joai 8 phiéu khdc rifidu tro 1én trong cilng mgt ngay giao dich ; : TI, Nha dé tur ¢6 thé 06 2 tai khodn giao dich chtmg khosn va duye ma tgi 2 ong ty chimg kkhodn Khéc nhau ; IIL. Nha du tu khGng duge phép dng thoi dit lenh mua va bin 46i v6i mot logi o8 phiéu, chimg chi quy ddu ‘tu trong cing mt ngay giao dich. i eee LALLA. B,J va til ryan D.1, vam 43.19 18 nim gle tral phiéu ¢8 chic, ch nin nude ngoii than gia vao di trubng chitsig khoén Vigt ‘Naw las YK, 49% C: Khong gisi hen ty 16. ei B.39%; D.30% 14, Phat biéu ndo sau day 1A phét bidu khong ehinh xe: cf A. Hop dng tuong lai la hop ddng thuing duge déng trade khi dén'han, Vigo thye hign dude quin IY bdi Phdng thenh foén bd trit. Hop ddng 06 mot 36 ngay chuyén giaa nbd din: Phong ngira rhi,t¢ vao bat ky thoi idm sido trude ngay én hen 4a xéc dinh. . ; B, Hop ding ky hen 18 hop ddng lubn duge thyo hign, vige thyé hign dya'vao trich nhigni cha nhiting ngudi tham gia hop déng. Quy dinh mot ngay oy thé 4é chuyén giao taf sin, Phong ngia rdi ro vio ngay d&n han dt xbe.dinih. C. Hgp ding tuong lai You odu ky qug, mire ky qui’ duge did chinh hiang ngay theo ey bién ding gid, vide ‘thafth todn duge thye hign hang ngay. Tinh long rat cao, Hop ddng duge mua ban & cdc $6 gino dich. dng ky hgn 14 Hop ding duge chudn héa, Khong yéu clu ky qu, thanh tofn vao ngay dén han. Tinh Jang rt thép. Hop dng duge mua bén trén thi trxdng OTC, 15. KY quy hyp adng tuong lal nhim muc dich dé nha dilute hay nha du co: A. Tréh ty ¥ hay bd hgp ddng; a o Trang 2B, Glam thidu tn thit do ede bén génh chju: _ % Cathal trudng hgp tren, 16. Chon eA trl 1Ol ching: : A. Di vl hop ddng tuong tai, Khi $6 dur thi khodn ting lén > s6 tidn ky qug, ngudl du tur khong ed quyén rat 96 tidn vurot qué s6 tidn ky quy ban dau; _ ¥ BL BOGE véi hop ddng tong lal, Khi Tas Khodn gidm xudng < 36 tldn yeu clu, ngudi ddy tay sduge yey cdu bd ‘sung thém vio ti khoan ky quy cho dén khi bing woite ky qug ban dau ngay trong ngay k6.ti6p, Néu khéng bd suing vio til khodn ky qug, ngudi mdi gidi 8 déng vi thé hop dng; bene yD ode 17, MQt hop Adng ky han 68 phiéu Ikhéng tra eb tfc, thoi han 3 théng. Gid cb phibu Inign t9i.428 va IAt sudt phi rl vo 3 thang 1A 5%/nim. Gia ait gté ky hon oda of phidu dye xéc djnh & mie 458, Che nha Idnh doanh chénh lgch gié thye hign nhue thé ndo dé c6 duge yl nhugn ? Fae ~A. Vay sé tidn 428, Mua o6 phiéu véi gl 428, Ky két hop ddng ky hen bén cb phiéu, gla hop ding tae ky két 1a 438. 7 ot B.. Vay 6 tidn 428, Ban cé phiéu véi git 428, Ky két hop ddng ky hgn mua ¢6 phiéu, gid.horp ddng hio.ky két 1a 458. ‘ an & Cho vay s6 tidn 428, Ban ob phiéu véi glé 428, Ky két hop ddng ky hen mua od phidu, pid hop.ddng Ite ky 1a.4ss. : 18, Th} trudng tal chink hign dpi bao gdm che think phin . A.Djnb ché tai chinh; C.Thj trudmg tai viii - B.COng cy thi chfnh; DA vAB dting vat 19, Chite ning thank khodn eds thf trying tai chinh durge thye hign nko: ¥ A,Co ohé host d6ng ota thj trubng thir cAp 5° + B.Co che hogt dOng cia thi tring so chp ; C.Co ché hogt dong eda didu hanh Chinh phi; © ‘D.Co ché hoat dng cla Ngén hing Trung vong, + 20, Cac cOng cy tai chinh bao gdm: 7 A.Cée logi gidy 10 06 gid duge mua bén trén thi trudng tai chinh, -B.@b:phigwwu dai va phiéy.ng chuydir dai. V-0 <= : Pe C.Thuong phiéu va nhting bio Idinh cia ngén hang (Bank"s Acceptances). D.Céo phuong tign thanh,tofn Khéng, ding tin mat 7 21. Thj trwdng tal chinh gidip hy agng vén cho 16 chire phat hanh, nén kinh #6 nhy yao: AvHoat dng oa thi trudng so cp 5 7 CBO Tai chfoh ; : ci; Belogt d0ng ca thi trudng thir ofp ; D.Nafin hing Trung wong. ‘MO¢ tréi phidu hig tai dang duge ban véi gid cao hon mgnh gif thi: ‘A.Loi the ca tréi phiéy cao hon ty sudt coupon ; _ BuLgi tite ota tri phiéu biing lai sudt coupon ; “ CiL.gi tie ota tréi phiéu thdp hon-ty sudt coupon ; D.Khng xéc dinh duige lol tite ota trdi phigu ; 23. MOt tral phiéu ign (gi.dang duge ban voi gid thdp hon ménh gid thi: A,Loi tite ofa trai phiéu cao hon ty. sudt coupon ; BiLgi tire ota tréi phigu bang Ifi sudt coupon ; ‘C.Lgi tie cita tri phiéu thp hon ty suét coupon ; D.KhOng xéc dinh duge Igi tie eda tréi phidu ; _- ¢ 24 Chon ménh a8 diing trong ese mgnh a8 sau day: AsTY sudt coupon cita tréi phiéu thudng {a o6.4inh trong suét thai gian ton tai ctia tréi phigy ; ' B.Lgi tite do tréi phiéu mang Iai luén 6 dinh ; Trang 3C.TY sudt coupon cia tr4i phiéu bing voi ménh gid tral phiéu ; D.TAl 0 ode loai trai phiéu du tra lai. 25, Néu mot trai phidu c6 t9 suit coupon (tra hang nim) 1A $%, ky han 4 nim, mgnh gid $1000, fc tri phiéu tong ty dang duge bin vol mite lpi tire 8%, th gid cita tréi phigu nay IA bao uhigu? $1000 ; €,$900,64 ; B.$880,22 ; 1.$910,35, 26, Chon ra mfnh 42 ichOng ding trong che mgnb 48 sau: A,Ril ro VO ng cdng cao tht lol tée cia tedl phidu cdg cao ; B,Tral phiéu duge bin vol gié cao tion ménh gid c6 chit {trong rét cao ;v + @'Trbl phiéu e6-tinh thanh khodn cag kérn tht Iol tte otng ono 5 DiTrdl phidu cong ty 06 gi tite cao hon so-v6i trél phibu chinh phd, (27. Chon eéc mfnh a2 ding trong cfc ménh a8 sau: ‘A.Chinig khofin 06 46 thanh khoan cang can thi Ioi tire ong thfp ; B.KY han ching khofn cing dai thi loi ttre ong cao ; C.€fc ohtmd ikhodn npn hen 66 49 rai ro'va gid cao hon ofe ching khoén dai hen ; D,Cho ménh é@ a) va b) Ia ding. ¥ 28; Mgetrai phigu 6 «7 sudt coupon cao hon Iai suft trén thf trudng 66 duge bin v6i gid nao? A.Thép hon ménh gid ; . CaBling ménh gia ; B.Cao hon ménh gia ; D.Khdng xée dink durgé gid ; 29, Mgt trél phidu cé t} oust coupon thfip hon Ii suit trOn th] tredng 68 duge bAn v6i gid niio? A-Thip hon ménb gid ; +” G.Bling ménh gid; : B.Cao hon ménh gid ; “DiRhding xée djoh duge gid, . 30, Nam 2006, cdng ty ed phiin ABC thanh Igp vél von didu I€ 1 30 ty ddng, 96 cB phigu ding ky phat anh 3 trigu Cb Phiéa, Nam 2007, cOng ty quyét djnh thing vb bing ech phat Hanh thém 1 trigu Cé Phidu, Tot thot diém nay, gid ban mdi Cé Phiéw trén thj frudng 14°2,0004, Bist ring quf’tich lof ding cho GAu tu con Ipi tinh dén cudi nim 2007 1 10 ty dBng. Tinh gid tr]. 96 sich cla CS PHIgu?- A. 16,250 dong ; C. 16,750 ddng ; : B. 16.520 ddng ; D:'16,000; 31. Gid tr] tAi sain rdng (Net worth) cia cng ty trén mi cb phiéu theo bing cin 461 tai sin (Balance sheet) Ia: : : A. Ménh gid ¢6 phidu ; c Gié tr] thj trurdng ota c8 phibu ; B. Gié tri 38 sich cde 06 phidu 5 D, Hign gid cha cé phiéu; ~ 32. Che togi gid Wen quan dén cb phibu ta : : A.M6nh gid, gid phat hanh, thu gid, thi C.Gid khiép 1enh, Gid giao dich, Gid thoa thugn 5 B,Gié mé cita, Gid déng cia, Gid tham chidu ; 'D.Tét oA cfc cfu trén du ding. 33, Cong ty PC vita tri ob tite 28/8 phiéu va mike ting trudng ¢6 tike KY vong tren thy trmdng 58 mai la 8%/niim. Héi cb phiéu PC ven due bén voi gid bao nlildu néu bide IKi sudt chit khidu 1A 16% /ndin? A.27$; C.25$; B, 12,5; D, 13,5 8. 34. C6 phién X 06 mute cf tire sau 3 nim Gu khng dét 1A 25, Sau 46 6 tive ing voi the 4 Khong 4618 6%/niim. Hi cb phién X hign duge bin véi gis bao nhiéu néu biét lal sudt chiét khAu la 13%/ndin? A:288; C.258; B. 12,58; D.135$. 38, C6 phiéu cida cong ty A dang glao dich véi git 15,6 $, Cong ty nay vira tra cf tie 1,5 8: CB the khéng thay déi trong sudt qué trinh hoat ddng. Héi lai sudt chiét khdu cia nhia du tw? Trang 4A. 9,62% 5 C.9,5% 5 B.9% 5 D.9,8%, + 36. CA ngudl mua vA ngwdi bin hyp dng tuong lal ddu phal tra idn A¥t gc cho Trang thm Thanh todn Ba trie? 2 Aang s _37,@ Vii Nam, tin phiéa kho bge duije phat te 2 hing aqua Nefn hing Nha nude va Kho be Nha nwée. A, Bing 3 B. Sai, : 38, Mgt chién Inge quydu chon 61 wu Ichi gis c8 phiéu dy dodn ting 58 la: A.Mua quyén chon ban; C.Bén quydn chon ban ; B,Mua quyén chon mua 5 “DIChi c6 cfu a sai. 39, CB phiéu wa Gai 1 logi cb phiéu eSng ty phét hanh cam ét tra ty % ob tire 6 inh bang nim va “* $didng tuyen b6 ngdy 446 hg? A. Ding B.Saiy = TI 40, Myo dich phén bipé phat hanh rigng 18 va phat hin ra cong chang : A, BA dB dang quan ly C.Db bao V8 cong ching du tr V 1B. 56 thu phf phat hanh D. DE dé ding huy dong von a Nam N, Cong ty ABC c6 thu nh§p rong 1d 900 trigu ddng, 26 0b phiéu G8 phit hank 1h 0000 ob “plitén, 8 phiéu quf1A'40.000, khéng 6 ob phiéu wu-dai. Ht Adng quan tr] quyét Gh trd $60 trig ‘Gdn ob tte. Nhu vay idl ob phigu duge tra ob tite Mar Az 1500 dng, C, 2000 abng, B, 1000 ddng v D, 1300-ddng 42. Khi Cong ty cd phan tra ob tie bling ob phidu, 58 am: A. Khéng thay ddi ty 18 quyén loi cua ob dongv B. Gidm quyén Igi theo ty 16 ota cb d8ng trong cong ty C, Ting quytn Igi theo ty 1@ ctia o8 déng trong c6ng ty D. Taek da sal “a3; Chite ning thj tredng.chimng Ikhodm-thét efp eda Trung tim gino djeh:ching a Guege thé Hign, bit A Du gid cée thi sin tabchinh, + © C,Giao dich chang Rhodri nid yt B: Dé thdu tréi-phiéu-Chinh pha 1D, Diu git.cd phith DNNN ob 'phia héa 44, MOi giéi ching khodn IA mgt nghigp vy kinh doanh ching khodn, trong: 46‘ mt ‘cng ty ching khodn dgl difn cho khéch hing tién hanh giao djeh etirig kliodn thOng qua eo:ehé giao djelital: * JA. 86 GDCK trong dé khéch hang chju teéch nhigm vé két qua kinh 8 cia giao dich 46! B. SO GDCK hot thj trudng OTC, trong 46 86 GDCK / Thi trudng OTC cdvig chia sétebch big vb két qui kinhté otc gino dich a6 voi Khvich hang; C. $8 GDCK hot thi trudng OTC trong 46 cOng ty ching Khodn duge quyén ra quyét ditih giao dich; D. Thj trudng OTC trong 46 cOng ty chimg khodn chju teéch nhi¢mvé két qué kinh t'eda' giao djch 46, 45, Déng vj thé hop ddng twong lai 1A tién hank mot giao djch ngwge véi-ban dau ~ imua'sau khi ban, ban sau Ki 8 mua hop dng (voi cing thoi hen, 96 lugng vA tai sin eo $8), Phong thanh tod bi tri se hiy vj thé cia ngudt du tw. A. Ding BeSai 46, Ba 86 cde hop ddng. ‘twong Jai khong chwyin gino tai sain co s& thye sy. Cae ma Glu tw thong dong vj thé hyp ding triée thdi han chuyén giao thi-sin dwye quy dith trong hop ddngy' A. Ding B. Sai 47, Hop dbng ky hen la: Trang 5A. Yeu clu ky quy, mite ky qu? duge didu chinh hang ngay theo sy bidn dong gid, vige thanh todn duge thye ign hang ngay. B, Kh6ng yéu cdu ky quy, thanh ton vio ngay dén hen, C,‘Tinb Iéng rt thép, Hop ddng duge mua ban trén thj trzdmg OTC. D. Bép én B va C 1a ding. 48, Ngnng gid Iai suft €6 bio him dwge phét bidu nlur sau: Néu vige dau te (hay ai vay) tr0n ode thf trcdng ttn t@ qubc té cb mite bao hidm rit ro ngogi hdi (foreign exchange hedged), thi rake tai sudt thu tur (hay di vay) ta nlue nhau cho dh ding tan abu te (hay a vay) 1a dbng tien nao. A, Daings B, Sai, 49, Che cbng cy til chink bao gbm ANG; C. Phai sinh; B,.Vén; vD. Ca3 déip dn tran, 7 50. Mye tidu chinh cia cong tée.thanh tra, giim sit vige thye higu phép lugt ching khodn va th] trudng cheng hon Ta: A. Gilde thidu rdi ro hé théng ; B, Dam bio cho host dng thi trudng ching khoén cng bing, cOng Khai, higu qua ; C, Bao ve quyén loi cba ngudi du tu ; 2: Tt od ddu dingy : toe 54, Ching chi quy diiu tw ching khosn (gol tit IA ching chi guy) IA logl chiitig Kho&n.dwéi hinh thite chimg chi hoje but toin ghi s6 do cing ty quan ly qu thay mit Qu¥ ong chiing: phat hang, xée nhgn quyén a8 hiri hyp phép cba ngudi aku tu d6t vét mot hoge mot s6 don vj quy eda m6t, Quy cong ching. Ching chi quy c6 mgnh gid théng nhdt 110000 VND. wae A. Ding B. Sai $2. Qug cing ching ta: A. Qui’ 06 chimg chi quy duge phat hanh ra cOng ching ¥ B, Qug 06 chimg chi quy duge phat hanh trén th trutmg so ofp C. Qui 06 ching chi qu duge phét hanh tén th] tru’ng thir ofp D.-Pat c@ dau sai * 53, Gis déng civa lat A. Mie gif lim co s6 cho vige tinh gidi han dao dong gié ching khodn trong ngay giao dich 5” B. Gidi hen giao dong gid ohiing khoén quy dink trong ngay giao djoh dupe tinh theo 19.18 phan tram (2%) so + V@i gid tham chidu ; : . C..Gié ching khodn duge xéo dinh tir két qua khép.lénh ; D. KhOng 06 dép gn ndo ding, 54. Bign d6 gino dng gis : 7 . 7 A, Do chi tich UBCK Nha nude quy dinh ve bién 46 giao dong gid giao dich 08 phiéu, chimg chi quy ddu-ter trong ngay giao dich; . : " B.. Khong 4p dyng a6i v6i tri phidu 5 -C.ép én A vaB du ding 5 . DeDép an A va B ddu sai. 55. M61 gi6i chitng khoan 1A A. Hogt déng trung gian hoo dei dién mua va bén.chimg khodn cho chinh minh. : B. Hoat dong trung gian ho¥o.dai dign mua va ban ching khodn cho khdoh. hang dé hudng phi, V C, COng ty chimg khosn mua va bin chimg khodn cho obfnb minh, wey : : D, Cau B va C la ding 56. Cb ding 16n ta 06 dong nim git tir 5% cb phigu c6 quydn bidu quyét cia 8 chite phat hanh trd én, Trang 6A. Bing B. Sal 57, Tal khioan lu kf chitng khodn 1d tAl Khodn sit dung 48 hgch Coan vigc gdi, rét, chuy&n nhwong, giao vanhgn ching khofn, - s : * A, Dang B. Sai + $8, Téch, e6p ob phiéu 1A vige chia nhd mot ob phan thinh nhitu cb phiin hofe gdp mhidu 8 phan hign hank thanh mgt 68 padn. : A. Sait B.Ding : 59, Nguoi thu tm 1A 18 chite, ef nbn ob ¥ ajnh ndm gitr hofe chng vol ngudi 6 Hen quan cb ¥ djuh nimi git th 25% vén cb phan cha mt t8 chire niém yét trd ten. A. Sai B. Ding «, 60, Phin ph6i chiing khof la vife bin cheng khoén thong qua dei If hofe bao link phat hanh trén co sé hyp ddng, A. Bangs B. Sai. Trang 7TRUONG DH KINH TE e001 : KHOA TCNH Mon: Thi trudng vbn & cde djnh ché td etiam 7 Tht gla: 90 phe Ho-tén sinh vidi uh inf Bn. Lép: «26 08.A, 01. Nguidt sv httu od phién va trai phidu du duge huéng: 4. Thu ni py te vio hogt dong ci cdng ty B, Duge quy ott tel Dgi hOi ab d6ng, 4 C, LA} sudt 06 djnh + + D. TY sudt sinh-Jol ty vén ma minh du tu vao céng ty B, The of abu ding, 02, Muo ich phfin bigt phét han tiéng | va phat hanh ra e®ng ching 1a: : “A pe eae ee . BE bio vé cong chaig'dau ty C, Dé dB dang huy dong vba ‘D. DS thu phf phat hanh E. Tét of dau sai 03. Cd phigh ngan quy AwNgudi sb httu 06 quyén bidu quyét B. LA loal od phiéu a4 phét hanh va dugc t6 chtic phat hanh mua lal trén thj trréng, ©. Duyge chia 08 tho 1D. La mot phén ob phidu chwa diye phép phat hank E, La 0 phidu da phét hank nbung chua ding ky niém yét 04. Trt tq wu tign thye hign Ignh theo phucng thite khop Leah 1a: ""ANchidoh fag, 36 lingrig, tl gian, eid c 1B. Sb lugng, thal gian, khéch hang gid?” G. Gié, thoi gian, 86 lugng, khéch hang D. Thoi gian, gla, s6 Ingng, khéch hang E. Thdi gian, khfich-hang, s6 lugng, gla 08. Logl chttng khodn nao sau day duge phép phat hanh kém theo trai phiéu hofle 08 phidu wu asl, cho phép ngudi nam gittné duce quyén mua | khdi hrong ¢é phiéu phd thong nhét dinh theo gid da duge xée dil truge trong mét thdi gian nhét dinh, A. C8 phid wu dat B, Trai ‘higa C. Quyén mus od phin D. Chiing quyén. iB. TAt c& du sai 06. M6t trong nhing didu kign@eni yéching chi cia quy det chang 1 Ay, quy d6r a téng gid tri chung chi qu¥-(theo ménh’gid) phat hanh ta 50.9 ddng Vigt Nam td én Buy SS ong gid tr] olning chi Guy (theo. gia th trudng) td 50 ty ddng td én : C. quy déng cé6 tng gié trj chiing chi quy (theo ménh gid), phét hanh ti 80 ty ddng Vigt Nam tro len D. qui mé o6 tng gia tri ching chi quy (theo ménb gid) phét havth tir 50 ty dng Viet Nam trotén RK. quy o6 tng gid tej clning-cht quy (theo ménh gid)'phat hannh tir $0 «9 ddng, Vigt Nam tre 18a 07, Tai mOt.thol didm nhét dinh, néu tht c& cho trai phigu c6 thé chuyén dat du dugc trai chd di thnh o8 phiéu phd thong thir 7 A, EPS ting B, EPS khdng bj anh hudng . C. EPS gitm D, P/E bj anh hudng cdn EPS khéng bj anh hurdn, B. Tat cé déu sal 08, vive tiéu chinh eta c6ng tée thanh tra, gidm sét vige thyre hién phép uft ching kién khosn va thi trudng ching khodn 1d: A, Gidin thigu rai ro hé ting ——_-B, Dam bao cho hogt dng TTCK cOng biing,céng khai, higu qua. C. Da nguéi dau tw ngay cang &6 lat D. Bao vé quyén Ioi cla ngudi dau w=, Tet ca ddu ding 09, Can ott vao nc te 16 ch. va.hoat dons, TTCK chie tdm: | ‘A. Thi trudng edp phat han, thy trun it va th) trrdng giao dich B Thi trudng thet 1. Thing thir3 va thi trueme OTC > C. Thi trremg t€p tung. thi trong bén t8p trung vi thi tardng phi t€p trung ~ D. Thi uudng tp rung va thi wudng phi tip tung. Tat ed Bu sai Trang {10 bé uot10, Céng ty XYZ 06 10,000 cé phidu dang hru hanh va tuyén bé tra cd tie bing c& phiduy vgi mie 30%, Khdch hing ola ban 06 100 cd phiéu XYZ. Sau khi nhgn 6 tire bing 8 phiéu, ty 1¢ so hata bp phan cia ‘Sng ta trong ong ty XVZ ld bao nhidu? 7 AV L5% »Bi13% y — C.0.769% D. 1% B, Tht ci ddu sai AL, Lénh.gl6i han... ‘A. Duge wu tien thyo hign trube cfc fog! Ienh khéc* B. Buge thy hign tal mito gid ma ngudl dt lénh cht dinky G Ngudt dat bin va ngudi age mua déu c6 wu tlén gidng nhau, O-Duge thye hign tel mec gié khdp lent” * HE, Dugo wu tién thy hign trude leh ATO 12. TS chito phat hanh, t6 olnte, nie yét phai cOng b6 théng tin bét thudng trong thoi gian A. 24-t1éng’ké ti Kehi sy kign yay ra 8:20 tleng kd ti kchi sy-klgn xdy ra ©: 30 tidng ké ti khi'oy kign xdy ra ° D. 14 tléng ké tir kcal sy Ride xay ra . B. 10.téng,é tir kha sy kign xay ra . 13. Tren TECK, faith vi teu oye 1a: A. Mua bén lei chinh 6d phidu oda cOngty niémyét 8. Mua ban ndi glén + GsMua bén e6 phigu oda od déng va lanh deo ode cong ty niém yar %, Tht oa ddu dang it hanh ra GOng ching 6 Viat Nath 1a: A. Tiy theo obng ty B. 10.000 ding © €. 200,000 adng D. 100.000 ding, + £761 thidu la 100,000 ddng va bOi s6 eda 100.000ddng 15, Méah.gid trdi phigu phat hanh ra céng chting & Vigt Nam la: ‘A. TO thidu Ia 100.000 dng va b6i s6 ova 100,000dbng . B. 100.000 ddng ‘€. 10.000 dbng, D, 200.000-ddig E. Tat cf ddu gai 16, Luu ky 461 voi ching khodn niém yét 18 logl hah Www ky. A, phong tda/ B.bigtl§p — Choa dbl D In HE Tht cd ddu sai 17, idu kign bao lenhma trong ¢6 oé6 nha béo tanh phét héinh cam két sé mua todn b} ching khosn cia 16 chite phat harih cho dd ho 06 thé bén hét hay-khéng dugc gol la: x A. Bao ffinh vi han nic t61 thidu B, Bao anh v6i c6 ging t6i da C. Bao liinh véi cam két chite'chéin. D. Bao Hanh tdt 8 ho¥e khong , Tht of du dang 7 18. Ngudi 06 Tin quan ld of nhdn hoke (8 chic 6 quan h@ véi nhau trong cée trudng hyp sau day: A. Thanh vgn 39h dng quan trj, Ban kiém sodt, Gidmn dbc hoc Téng giéin dbo, Pho Gidm dbo ” hotlc Pho Téng gidm déc va ofc chive danh quan ly khéc cita t6 chite €6 : B Tht cA che céc trudng hop nol tren ie 2, TS chute ma trong 46 06 cd nhan 14 nhan vien, Gidm dée hote Téng giam dc, chit so how teen mudi phn trim s6 6 phiéu Iuu hanh c6 quyén biéu quyét a | D. Cong ty me, cong ty con : : E. Cha, cha nudi, me, me nu6i, vo, chdng, con, con.nudianh, chj em rugt cia ed nhan 19..Ong X vita ban 100 cb phigu cia cOng ty A vai gid 40 USD/ed phiéu. Ong ta mua céc ob phiéu nay mét niim tryde day vdi-gié 30 USD/cd phidu, nim vite qua éng ta c6 nhan od tte 2 USD/cd phidu. Vay thu nhfp trade thud cid dng td 100 cb phiéu A la: A. 1300°USD. B. 1200.USD €,200USD -D 1000 USD B. Tat c& déu sai 20, ‘Theo quy dinh cla phép ligt Vigt Nam, chao bén ching khodin ra dng eh~ing Ia: A. C6 fe nbiit 100 nha dust, King ké nha déu tw ching khodn chuyén nghigp- B, Chao ban cho sé lugng aha dau tw khdng xée dink . Fhdng qua internet rhdng qua cdc phwong tign thong tin dai/chting W. Tit ca ddu ding ql Trang 240 da