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Jingdong book

上海证券交易所期权投资者知识测试辅导读本（修订版）

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Jingdong book

上海证券交易所期权投资者知识测试辅导读本（修订版）

Name: 上海证券交易所期权投资者知识测试辅导读本（修订版）
Brand: Jingdong book
SKU: 3111005171
Price: 23.78 USD
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《上海证券交易所期权投资者知识测试辅导读本（修订版）》是期权知识系列丛书中的一本，是上海证券交易所专门为准备参与期权投资的广大投资者而写的，有助于投资者加深对期权这种投资工具的认识，了解期权投资者知识测试的要求，并帮助投资者顺利通过分级知识测试。
《上海证券交易所期权投资者知识测试辅导读本（修订版）》结合新政策要求，简明扼要地介绍了期权投资者必须掌握的各类知识，还列举了大量实例，包括相关习题、知识测试大纲以及知识测试分级样卷等内容，而且针对性强。

Catalogue

第一章期权基础知识
1．什么是期权？
2．什么是期权的买方与卖方？分别有哪些权利和义务
3．期权合约的标的资产有哪些？
4．什么是认购期权？
5．什么是认沽期权？
6．什么是合约单位？
7．什么是行权价？
8．什么是合约面值？
9．什么是到期月份？
10．什么是到期日？
11．什么是行权？
12．什么是行权日和行权交收日？
13．什么是欧式期权？
14．什么是美式期权？
15．什么是实物交割？
16．什么是现金交割？
17．什么是权利金？
18．什么是实值、平值、虚值期权？
19．什么是期权的内在价值？
20．什么是期权的时间价值？
21．什么是行权价格间距？
22．什么是合约编码？
23．什么是合约交易代码？
24．什么是合约简称？
25．期权在什么时间交易？
26．什么是开仓和平仓？
27．期权有哪些买卖指令？
28．期权有哪些订单类型？
29．最小价格变动单位是多少？
30．期权的涨跌停价如何设置？
31．认购期权的涨跌幅度如何规定？
32．认沽期权的涨跌幅度如何规定？
33．什么是断路器？
34．交易单位是多少？
35．单笔申报最大数量是多少？
36．什么是未平仓合约？
37．行权有哪些相关指令？
38．什么是自动行权？
39．什么是做市商？
40．在何种情况下会出现合约新挂？
41．在何种情况下会出现合约加挂？
42．在何种情况下会出现合约调整？如何调整？
43．合约发生调整后，合约交易代码和合约简称如何调整？
……
第二章备兑开仓与保险策略
第三章买入开仓策略
第四章卖出开仓策略
第五章基础组合交易策略
上海证券交易所期权投资者知识测试大纲
上海证券交易所期权投资者测试一级样卷
上海证券交易所期权投资者测试二级样卷
上海证券交易所期权投资者测试三级样卷
参考答案
后记

Book Abstract

10．什么是到期日？
到期曰是合约有效期截止的日期，也是期权买方可行使权利的最后日期。合约到期后自动失效，期权买方不再享有权利，期权卖方不再承担义务。
上交所的期权合约到期曰也是最后交易日，为每个合约到期月份的第四个星期三（遇法定节假日顺延），但另有规定的除外。
11．什么是行权？
行权指期权买方在期权合约规定的时间行使权利，以约定的价格买入或卖出约定数量的标的资产。期权被行权后，头寸将消失。
12．什么是行权日和行权交收日？
行权曰是指期权买方可以提出行使权利的日期。
上交所的期权合约行权曰也是最后交易曰，但另有规定的除外。
行权交收曰是指期权买方提出行权后，资金或标的资产交收的日期。
上交所的期权合约行权交收日为行权曰的下一个交易日。13．什么是欧式期权？
欧式期权是指期权买方只能在期权到期曰行使权利的期权。上交所期权的履约方式为欧式。
14．什么是美式期权？
美式期权是指期权买方可以在期权到期前任一交易曰或到期曰行使权利的期权。
15．什么是实物交割？
实物交割是指在期权行使权利时，买卖双方按照约定实际交割标的资产。以认购期权为例，期权买方支付现金买入标的资产，期权卖方卖出标的资产收入现金。
上交所股票期权采用实物交割的方式。
16．什么是现金交割？
现金交割是指期权买卖双方按照结算价格以现金的形式支付价差，不涉及标的资产的转让。
17．什么是权利金？
期权的权利金是指期权合约的市场价格。期权权利方将权利金支付给期权义务方，以此获得期权合约所赋予的权利。
18．什么是实值、乎值、虚值期权？
实值期权，也称价內期权，是指认购期权的行权价格低于标的证券的市场价格，或者认沽期权的行权价格高于标的证券的市场价格的状态。
……

Introduction

2013年，全球资本市场发生了两起在我看来影响至为深远之事：一是成立仅十余年的美国洲际交易所成功收购了百年老店纽约证券交易所，二是老牌的伦敦证券交易所完成了对伦敦清算所的兼并。这两起事件，既是过去二十年来技术进步、投资全球化、管制放松和市场整合带来的交易所行业化的必然结果，也昭示了全球资本市场未来发展的大势所在。
从国际视野看，竞争力强的交易所通常具有以下三个特点：一是发挥流动性与定价中心功能，能够低成本、高效率地满足市场参与者需求，实现最优估值和定价；二是发挥风险管理中心功能，具有高效、低成本的一线监管和基于交易结算机制的风控安排；三是发挥资产配置中心功能，具有相对完整的产品链，满足投资者多元化投资与风险管理需求。
与境外一些证券交易所相比，我国证券交易所建立历史短，还存在较大的发展空间。目前，我国资本市场规模已跃居全球前列，但交易所市场结构单一、产品不够丰富等问题仍较为突出。股票期权不仅是丰富资本市场产品的重要环节，也是提升我国交易所质量和能力的有效手段。
作为国际资本市场十分成熟的基础性金融衍生产品，交易所股票期权诞生于1973年，在过去几十年里发展十分迅速。2013年，全球主要交易所衍生品合约成交量超过216亿张，其中期权成交量约占一半，而基于个股和ETF的股票期权又占期权总成交量的一半左右，显示出全球投资者对股票期权的强劲需求。交易所股票期权迅速发展的主要原因是其具有良好的经济功能，存在真实的市场需求，对投资者有广泛的用途，是投资者高效、低成本的风险管理和定价工具。与期货的风险对冲功能相比，期权产品为资本市场提供了独有的市场化风险转移功能。没有期权的资本市场，就如同没有保险的实体经济，社会风险分担无从实现，进而降低整体社会经济福利。
与其他新兴市场相比，我国发展股票期权产品更具有紧迫性和重要性。这主要表现在以下四个方面：一是有助于提高定价效率，并通过价格信号实现资源优化配置，更好地发挥资本市场服务实体经济的功能；二是便利投资者风险管理，为投资者提供包括保险功能在内的多样化风险管理手段；三是可有力地支持证券商、基金公司等机构的产品创新，开发类固定收益等结构化产品，拓展其资本中介业务空间，优化其收入结构和抵御风险的能力；四是在当前我国资本市场不断开放的背景下，为我国投资者和相关金融机构提供新的金融衍生产品，完善交易所产品链，提升市场的整体活力和竞争力，更好地应对未来开放的挑战。
长期以来，上海证券交易所一直努力推动股票期权产品。早在2006年，就组织力量对股票期权产品进行了深入研究。近几年来，随着市场层次日益丰富，多元化机构投资者队伍逐步成熟，融资融券和股指期货乎稳推出，以及证券公司创新业务加速推进，推出股票期权的条件已经成熟。
……

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