问题 问答题

金悦股份有限公司于2000年10月向社会公开发行股票并在证券交易所上市。2003年3月,公司召开股东大会并讨论了配股方案。有关情况如下:
截止2002年12月31日,公司股份总额为 24000万股(每股1元,下同),资产总额为52 000万元,负债总额为15 000万元,净资产为37 000元。公司2000、2001、2002年的净资产收益率分别为10.8%、9.5%、10.9%。预期2003年的利润可超过银行同期存款利率。为投资新项目,本次拟以每股2.8元的价格向股东配售。
2003年4月18日,公司发布配股公告,5月,配股发行工作完成。6月,中国证监会根据举报,在组织对该公司的检查中发现:
(1)在公司申请配股期间,持有公司5%股份的股东甲企业认为公司股票将会上涨,便大量买进该股票,使其持有的股票达到8%。当该股票价格攀升之时,高价抛出该股票,获利30万元。
(2)为该公司出具2002年度审计报告的注册会计师罗某在4月25日购买了该股票,并于5月初抛出,获利2万元。
(3)乙证券公司从业人员戴某也于申请配股期间买入该股票后又抛出,获利7万元。
要求:根据以上资料,回答下列问题:
(1)甲企业买卖公司股票的行为是否合法,并说明理由。
(2)注册会计师罗某买卖股票的行为是否合法,并说明理由。
(3)乙证券公司从业人员戴某买卖股票的行为是否合法,并说明理由。

答案

参考答案:(1)甲企业买卖股票的行为不合法。因其持有金悦公司5%以上的股票,属于内幕人员。根据《证券法》的规定,知悉证券交易内幕信息的知情人员不得买人或者卖出所持有的该公司的股票。
(2)注册会计师罗某买卖股票的行为合法。根据《证券法》的规定,为上市公司出具审计报告和法律意见书等文件的专业机构和人员,自接受上市公司委托之日起至上述文件公开后5日内,不得买卖该种股票。因罗某买卖股票的时间是在其出具的审计报告公开后的5日以后,所以其行为合法。
(3)乙证券公司从业人员戴某买卖股票的行为不合法。因戴某也是《证券法》规定的内幕人员,所以不得买卖该公司的股票。

单项选择题
单项选择题

It’s easy to get the sense these days that you’ve stumbled into a party with some powerful drug that dramatically alters identity. The faces are familiar, but the words coming out of them aren’t. Something has happened to a lot of people you used to think you knew. They’ve changed into something like their own opposite.

There’s Bill Gates, who these days is spending less time earning money than giving it away--and pulling other billionaires into the deep end of global philanthropy(慈善事业) with him. There’s historian Francis Fukuyama, leading a whole gang of disaffected fellow travelers away from neoconservatism. To flip-flopis human. It can still sometimes be a political liability, evidence of a flaky disposition or rank opportunism. But there are circumstances in which not to reverse course seems almost pathological(病态的). He’s a model of consistency, Stephen Colbert said last year of George W. Bush:" He believes the same thing Wednesday that he believed on Monday -- no matter what happened on Tuesday."

Over the past three years, I found people who had pulled a big U-turn in their lives. Often the insight came in a forehead-smiting moment in the middle of the night: I’ve got it all wrong.

It looked at first like a sprinkling of outliers beyond the curve of normal human experience. But when you stepped back, a pattern emerged. What these personal turns had in common was the apprehension that we’re all connected. Everything leans on something, is both dependent and depended on.

"The difference between you and me," a visiting Chinese student told University of Michigan psychologist Richard Nisbett not long ago," is that I think the world is a circle, and you think it’s a line." The remark prompted the professor to write a book, The Geography of Thought, about the differences between the Western and the Asian mind.

To Western thinking, the world is linear; you can chop it up and analyze it, and we can all work on our little part of the project independently until it’s solved. The classically Eastern mind, according to Nisbett, sees things differently: the world isn’t a length of rope but a vast, closed chain, incomprehensibly complex and ever changing. When you look at life from this second perspective, some unlikely connections reveal themselves.

I realized this was what almost all the U-turns had in common: people had swung around to face East. They had stopped thinking in a line and started thinking in a circle. Morality was looking less like a set of rules and more like a story, one in which they were part of an ensemble cast, no longer the star.

According to the text, one difference between Western and Eastern minds was that ()

A. the world in Eastern thought is a line while in Western thought is a circle

B. Western mind is more comprehensive than Eastern mind

C.Western mind is more concerned of connections

D. Eastern mind considers things more like a whole instead of separate parts