Basic Knowledge of the Securities Market

Author: Wen Jing
Publisher:
Publish Date: 2006-09-01
Features: This book is one of the 2006 Securities Industry Qualification Examination Preparation Guides. The book is divided into four parts: Part 1 is the examination syllabus, primarily designed for candidates to use as a reference during their review; the second part is key points from the textbook, which helps reviewers quickly grasp the main focus of their studies and improve their review efficiency. The third part consists of review questions and reference answers, with the review questions divided into four types: multiple-choice questions, multiple-choice questions, true/false questions, and calculation questions; the fourth part is mock exams and reference answers, allowing candidates to self-assess their exam readiness and estimate their potential scores after review. This book is written by authoritative experts, closely aligned with the textbook, offering concise explanations and exercises to help you easily overcome challenges.
This section includes the definitions, characteristics, features, and classifications of basic capital market instruments such as stocks, bonds, and fund shares; the definitions, characteristics, components, and classifications of financial derivative instruments such as financial options, financial futures, and convertible securities; the origins, development, structure, and operations of the securities market; the establishment, main business, internal controls, and management of securities firms; and fundamental knowledge such as the regulatory framework, supervisory structure, and ethical standards and qualification management of securities industry professionals in China. Through this section, candidates are expected to master the basic knowledge, theories, key regulations, and ethical standards of securities and securities markets; and understand the main business and risk supervision of securities intermediaries.