2025年證券公司英語面試題庫及答案

一、單項選擇題（總共10題，每題2分）1.Whatistheprimaryroleofasecuritiesanalystinabrokeragefirm?A.ToprovideinvestmentadvicetoclientsB.Tomanagethecompany'sassetsC.ToregulatethestockmarketD.ToconductlegalauditsoffinancialstatementsAnswer:A2.Whichofthefollowingisakeyresponsibilityofaportfoliomanagerinasecuritiesfirm?A.ToissuestockmarketreportsB.ToexecutetradesonbehalfofclientsC.ToregulatefinancialregulationsD.ToconductmarketresearchAnswer:B3.Whatdoes"IPO"standforinthecontextofsecurities?A.InitialPublicOfferingB.IncentivePerformanceObligationC.InvestmentPortfolioOptimizationD.InternationalPortfolioofOrganizationsAnswer:A4.Whichfinancialstatementismostcommonlyusedtoassessacompany'sliquidity?A.IncomeStatementB.BalanceSheetC.CashFlowStatementD.StatementofShareholders'EquityAnswer:B5.Whatisthetermfortheprocessofbuyingbackacompany'sownsharesfromtheopenmarket?A.ShareholderDividendB.StockBuybackC.MarketCapitalizationD.DividendYieldAnswer:B6.WhichofthefollowingisaprimaryfunctionoftheSecuritiesandExchangeCommission(SEC)?A.ToregulatethestockmarketB.Tomanagethecompany'sassetsC.ToconductlegalauditsoffinancialstatementsD.ToissueinvestmentadviceAnswer:A7.Whatisthetermfortheratioofacompany'scurrentassetstoitscurrentliabilities?A.Debt-to-IncomeRatioB.CurrentRatioC.ReturnonEquityD.Price-to-EarningsRatioAnswer:B8.Whichofthefollowingisatypeoforderinthestockmarketwherethetradewillonlyexecuteatthespecifiedpriceorbetter?A.MarketOrderB.LimitOrderC.StopOrderD.TrailingStopOrderAnswer:B9.Whatisthetermforthetotalvalueofacompany'soutstandingsharesofstock?A.MarketCapitalizationB.BookValueC.NetWorthD.EarningsPerShareAnswer:A10.Whichofthefollowingisakeyfactortoconsiderwhenevaluatingtheriskofaninvestment?A.Thecompany'smarketshareB.Thecompany'sprofitabilityC.ThevolatilityofthestockpriceD.Thecompany'sdebtlevelsAnswer:C二、填空題（總共10題，每題2分）1.Theprocessofbuyingandsellingsecuritiestoprovideliquidityinthemarketisknownas________.Answer:MarketMaking2.Afinancialinstrumentthatrepresentsownershipinacorporationiscalleda________.Answer:Stock3.Theratioofacompany'snetincometoitstotalassetsisknownas________.Answer:ReturnonAssets4.Theprocessofissuingnewsharesofstocktothepublicforthefirsttimeiscalled________.Answer:InitialPublicOffering5.Thetermforthepriceofastockdividedbyitsearningspershareisknownas________.Answer:Price-to-EarningsRatio6.Afinancialadvisorwhoprovidesinvestmentadvicetoclientsisknownasa________.Answer:FinancialAdvisor7.Thetermforthetotalvalueofacompany'soutstandingdebtisknownas________.Answer:TotalDebt8.Theprocessofanalyzingfinancialstatementstoevaluateacompany'sperformanceiscalled________.Answer:FinancialAnalysis9.Thetermfortherateatwhichthepriceofastockincreasesordecreasesisknownas________.Answer:Volatility10.Thetermfortheamountofmoneyacompanyearnspershareofitsstockisknownas________.Answer:EarningsPerShare三、判斷題（總共10題，每題2分）1.Aportfoliomanagerisresponsibleformanagingaclient'sinvestmentportfolio.Answer:True2.TheSecuritiesandExchangeCommission(SEC)isresponsibleforregulatingthestockmarket.Answer:True3.Alimitorderallowsatradetoexecuteatanyprice.Answer:False4.Theprocessofbuyingbackacompany'sownsharesisknownasastockbuyback.Answer:True5.Thecurrentratioisusedtoassessacompany'sliquidity.Answer:True6.Marketcapitalizationisthetotalvalueofacompany'soutstandingsharesofstock.Answer:True7.Afinancialanalystisresponsibleforprovidinginvestmentadvicetoclients.Answer:True8.Theprice-to-earningsratioisusedtoevaluateacompany'sprofitability.Answer:False9.TheprocessofissuingnewsharesofstocktothepublicforthefirsttimeiscalledanIPO.Answer:True10.Volatilityisakeyfactortoconsiderwhenevaluatingtheriskofaninvestment.Answer:True四、簡答題（總共4題，每題5分）1.Whataretheprimaryresponsibilitiesofasecuritiesanalystinabrokeragefirm?Answer:Theprimaryresponsibilitiesofasecuritiesanalystincluderesearchingcompaniesandindustries,analyzingfinancialstatements,makinginvestmentrecommendations,andprovidingmarketinsightstoclients.Theyalsomonitormarkettrendsandeconomicconditionstoadviseclientsonpotentialinvestmentopportunities.2.Whatisthedifferencebetweenamarketorderandalimitorderinthestockmarket?Answer:Amarketorderisanordertobuyorsellasecurityatthecurrentmarketprice,whilealimitorderisanordertobuyorsellasecurityataspecifiedpriceorbetter.Amarketorderensuresimmediateexecutionbutmayresultinhigherorlowerprices,whereasalimitorderensuresabetterpricebutmaynotbeexecutedifthemarketdoesnotreachthespecifiedprice.3.Whatarethekeyfactorstoconsiderwhenevaluatingtheriskofaninvestment?Answer:Keyfactorstoconsiderwhenevaluatingtheriskofaninvestmentincludethevolatilityofthestockprice,thecompany'sfinancialhealth,theindustry'sperformance,economicconditions,regulatorychanges,andtheoverallmarketenvironment.Additionally,theinvestor'srisktoleranceandinvestmenthorizonshouldbetakenintoaccount.4.WhatistheroleoftheSecuritiesandExchangeCommission(SEC)inthefinancialmarket?Answer:TheSecuritiesandExchangeCommission(SEC)playsacrucialroleinregulatingthefinancialmarket.Itsprimaryresponsibilitiesincludeprotectinginvestors,maintainingfairandefficientmarkets,andfacilitatingcapitalformation.TheSECenforcesfederalsecuritieslaws,overseessecuritiesexchangesandbrokers,andrequirespubliccompaniestodisclosefinancialinformationtoensuretransparencyandaccountability.五、討論題（總共4題，每題5分）1.Discusstheimportanceoffinancialanalysisinmakinginvestmentdecisions.Answer:Financialanalysisiscrucialinmakinginvestmentdecisionsasitprovidesacomprehensiveevaluationofacompany'sfinancialhealth,performance,andpotential.Byanalyzingfinancialstatements,ratios,andtrends,investorscanassessthecompany'sprofitability,liquidity,solvency,andgrowthprospects.Thisanalysishelpsinvestorsidentifyundervaluedstocks,assessinvestmentrisks,andmakeinformeddecisionstomaximizereturnsandminimizelosses.2.Explaintheroleofmarketmakinginprovidingliquiditytothestockmarket.Answer:Marketmakingplaysavitalroleinprovidingliquiditytothestockmarket.Marketmakersarefirmsorindividualswhocontinuouslybuyandsellsecurities,creatingareadymarketforbuyersandsellers.Theypostbidandaskprices,ensuringthatthereisalwayssomeonewillingtobuyorsellatcompetitiveprices.Thisliquidityattractsmoreinvestorstothemarket,facilitatestrading,andreducespricevolatility.Marketmakinghelpsmaintainanefficientandorderlymarket,benefitingbothbuyersandsellers.3.Discussthesignificanceoftheinitialpublicoffering(IPO)processforacompany.Answer:Theinitialpublicoffering(IPO)processissignificantforacompanyasitallowsthemtoraisecapitalbysellingsharesofstocktothepublicforthefirsttime.AnIPOprovidescompanieswithaccesstoalargerpoolofinvestors,enablingthemtofundexpansion,researchanddevelopment,debtrepayment,orotherbusinessobjectives.Italsoenhancesthecompany'svisibilityandcredibilityinthemarket.However,theIPOprocessinvolvesregulatorycompliance,underwritingfees,andpoten