单选题 根据《证券法》,下列关于从事内幕交易承担的法律责任的说法,错误的是( )。
According to the Securities Law, which of the following statements about the legal liability for insider trading is false? ( )

A、 责令依法处理非法持有的证券,没收违法所得,并处以违法所得一倍以上十倍以下的罚款
Be ordered to dispose of illegally held securities according to the law, be confiscated the illegal income and imposed a fine of no less than one time but no more than ten times of the illegal income
B、 没有违法所得或者违法所得不足五十万元的,处以五十万元以上五百万元以下的罚款
If there is no illegal income or the illegal income is less than CNY 0.5 million, a fine of no less than CNY 0.5 million but no more than CNY 5 million shall be imposed
C、 单位从事内幕交易的,还应当对直接负责的主管人员和其他直接责任人员给予警告,并处以二十万元以上二百万元以下的罚款
Where an entity engages in an insider trading, the personnel in direct charge and other directly responsible personnel shall be warned and imposed a fine of no less than CNY 0.2 million but no more than CNY 2 million
D、 单位从事内幕交易的,仅处罚单位,不处罚个人
Where an entity engages in an insider trading, only the entity, not the individual shall be punished
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单选题 根据《证券法》,向特定对象发行股票后股东累计超过( )人,但依法实施员工持股计划的员工人数不计算在内,为公开发行。
According to the Securities Law, if an offering of securities offers securities to more than ( ) specific offerees cumulatively, excluding the employees under an employee stock ownership plan in accordance with the law, it shall be deemed as a public offering.

A、 100
B、 200
C、 300
D、 500

单选题 根据《证券法》,发行人申请公开发行可转换为股票的公司债券,依法采取承销方式的,应当聘请( )担任保荐人。
According to the Securities Law,an issuer who applies for a public offering of corporate bonds convertible into stock by means of underwriting in accordance with the law shall appoint a /an ( ) as its sponsor.

A、 咨询机构
Consulting organization
B、 评级机构
Rating agencies
C、 证券公司
Securities company
D、 行业专家
Industry expert

单选题 根据《刑法》,在招股说明书等发行文件中隐瞒重要事实发行股票,数额巨大,( )。
According to the Criminal Law, whoever conceals important facts in the prospectus and other issuance documents while issuing shares in a huge amount shall be ( )

A、 处有期徒刑或者拘役
Sentenced to fixed-term imprisonment or criminal detention
B、 处有期徒刑
Sentenced to fixed-term imprisonment
C、 处有期徒刑或者拘役,并处或者单处罚金
Sentenced to fixed-term imprisonment or criminal detention and shall also or only be fined
D、 处有期徒刑,并处罚金
Sentenced to fixed-term imprisonment and shall also be fined

单选题 根据《刑法》,下列关于操纵证券、期货市场罪的法律责任的说法,错误的是( )。
According to the Criminal Law, which of the following statements about the legal liability of the crime of manipulating the securities and futures market is false? ( ).

A、 情节严重的,可单处罚金
If the circumstances are serious, a single fine may be imposed
B、 情节严重的,可处五年以下有期徒刑或者拘役,并处罚金
If the circumstances are serious, the offender may be sentenced to fixed-term imprisonment of no more than five years or criminal detention and shall also be fined
C、 情节特别严重的,处五年以上十年以下有期徒刑,并处罚金
If the circumstances are especially serious, the offender shall be sentenced to fixed-term imprisonment of no less than five years but no more than 10 years and shall also be fined
D、 单位犯该罪的,对单位判处罚金,其直接负责的主管人员和其他直接责任人员无需承担法律责任
If an entity commits such a crime, it shall be fined, and the personnel in direct charge and other directly responsible personnel shall not bear legal responsibility

单选题 根据《证券法》,公司对公开发行股票所募集资金,必须按照招股说明书或其他公开发行募集文件所列资金用途使用,改变资金用途,必须经( )作出决议。
According to the Securities Law, a company must use the proceeds from a public offering of stock for the purpose set out in the prospectus or other public offering documents; and change of the purpose of offering proceeds must be subject to a resolution of ( ).

A、 董事会
Board of directors
B、 监事会
Board of supervisors
C、 董事长
Chairman of the board
D、 股东大会
Shareholders’ meeting

单选题 根据《证券法》,下列条件中,不属于公开发行新股条件的是( )。
According to the Securities Law, which of the following is not a condition that a company shall meet when undertaking a public offering of new shares? ( )

A、 具有连续盈利能力
It has continuous profitability
B、 具备健全且运行良好的组织机构
It has a sound and well-functioned organizational structure
C、 实际控制人最近三年不存在贪污、贿赂、侵占财产、挪用财产等情形
The actual controller has not committed any crime of corruption, bribery, appropriation or misappropriation of property in the past three years.
D、 发行人最近三年不存在破坏社会主义市场经济秩序的刑事犯罪
The issuer has not committed any crime of disturbing the order of the socialist market economy in the past three years.

单选题 根据《证券法》,证券的发行、交易活动,必须遵守法律、行政法规;禁止欺诈、内幕交易和( )的行为。
According to the Securities Law, securities offering and trading must comply with laws and administrative regulations. Fraud, insider trading and ( ) shall be prohibited.

A、 关联交易
Related party transactions
B、 杠杆交易
Margin trading
C、 操纵证券市场
Manipulation of securities market
D、 大宗交易
Block transactions

单选题 《证券法》以证券市场各类参与主体为适用对象,其核心旨在( )。
The Securities Law is applicable to all kinds of participants in the securities market, and its core purpose is to ( ).

A、 保护投资者的合法权益,维护社会经济秩序和社会公共利益
Protect the lawful rights and interests of investors, while maintain the social and economic order and public interests.
B、 扩大市场规模,为国民经济和国有企业改革服务
Expand the market scale to serve the national economy and the reform of state-owned enterprises
C、 打击各种金融犯罪,保证国有资产和公共财产不受损害
Crack down on various financial crimes, and ensure that state-owned assets and public property are not damaged
D、 为证券市场融资功能和资源配置功能的发挥提供法律保障,提高上市公司质量
Provide legal guarantee for the exertion of the financing function and resource allocation function of the securities market, and improve the quality of listed companies