本书是普通高等教育“十一五”规划教材修订版。全书共分 12章，主要包括证券、证券市场、股票、债券、证券投资基金、金融衍生工具、证券发行市场、证券交易市场、证券市场监管、证券投资的基本分析、证券投资的技术分析、证券投资策略与方法等内容。

本书第 3版根据近年来我国证券市场发生的变化和 2020年 3月修订的《证券法》，在内容和体例上均做了重大修改，将证券投资基础知识和理论与证券市场发展的新业态、新技术和新趋势相结合，通过知识网络、案例导读、案例链接、知识拓展和复习思考题等形式，增强学生自主学习动力，开发学生潜在的创造性思维，满足“素质为基础、能力为本位”的高技能人才可持续发展的要求。

本书既可作为高职高专财经、金融及相关专业的正规教材，又可作为证券投资从业人员及其他参与者的学习用书和参考资料。

二维码索引
第 1章 证券概述 .......................................................................................................................................1


1.1 证券的概念及本质 ...............................................................................................................................3


1.2 证券的分类 .........................................................................................................................................5


1.3证券的特性 .........................................................................................................................................7
复习思考题..................................................................................................................................................8
第 2章证券市场概述 ............................................................................................................................. 11


2.1证券市场的认知 ................................................................................................................................13


2.2证券市场的构成要素 .........................................................................................................................15


2.3证券价格指数 ....................................................................................................................................18


2.4世界其他主要国家和地区的证券市场 ..............................................................................................25
复习思考题................................................................................................................................................27
第3章 股票 ..............................................................................................................................................30


3.1股票的概念及特征 .............................................................................................................................31


3.2股票的种类 .......................................................................................................................................34


3.3我国股票的种类 ................................................................................................................................38


3.4股票收益与风险 ................................................................................................................................40
复习思考题................................................................................................................................................43
第4章 债券 ..............................................................................................................................................45


4.1 债券概述...........................................................................................................................................46


4.2政府债券...........................................................................................................................................51


4.3金融债券...........................................................................................................................................54


4.4公司债券...........................................................................................................................................56


4.5企业债券...........................................................................................................................................58


4.6国际债券...........................................................................................................................................60
复习思考题................................................................................................................................................63
第 5章证券投资基金 .............................................................................................................................66


5.1证券投资基金概述 .............................................................................................................................67


5.2证券投资基金的种类 .........................................................................................................................74


5.3证券投资基金的运作 .........................................................................................................................83
复习思考题................................................................................................................................................86
第 6章金融衍生工具 .............................................................................................................................89


6.1金融期货...........................................................................................................................................91


6.2金融期权...........................................................................................................................................98


VI



目录

6.3可转换债券 .....................................................................................................................................101
复习思考题..............................................................................................................................................106
第 7章证券发行市场 ...........................................................................................................................109


7.1证券发行市场概述 ...........................................................................................................................110


7.2股票的发行与承销 ...........................................................................................................................113


7.3股票退市制度 .................................................................................................................................119


7.4债券的发行与承销 ...........................................................................................................................120
复习思考题..............................................................................................................................................126
第 8章证券交易市场 ...........................................................................................................................129


8.1证券交易市场概述 ...........................................................................................................................130


8.2证券交易市场的类型 .......................................................................................................................132


8.3证券交易程序 .................................................................................................................................138


8.4证券代码解读 .................................................................................................................................142
复习思考题..............................................................................................................................................144
第 9章证券市场监管 ...........................................................................................................................146


9.1 证券市场监管概述 ...........................................................................................................................147


9.2 证券市场监管主体及其法律责任 ....................................................................................................153


9.3证券市场其他主体及其法律责任 ....................................................................................................158
复习思考题..............................................................................................................................................159
第 10章证券投资的基本分析 ............................................................................................................163


10.1证券投资基本分析概述 .................................................................................................................164


10.2证券投资的宏观分析 .....................................................................................................................166


10.3证券投资的行业分析 .....................................................................................................................174


10.4证券投资的公司分析 .....................................................................................................................180
复习思考题..............................................................................................................................................188
第 11章证券投资的技术分析 ............................................................................................................190


11.1技术分析概述 ................................................................................................................................192


11.2 K线理论 .......................................................................................................................................196


11.3切线理论 .......................................................................................................................................203


11.4形态理论 .......................................................................................................................................209


11.5技术指标分析 ................................................................................................................................216
复习思考题..............................................................................................................................................226
第 12章证券投资策略与方法 ............................................................................................................228


12.1 传统证券投资策略 .........................................................................................................................229


12.2 行为金融投资策略 .........................................................................................................................237


12.3 量化投资交易策略 .........................................................................................................................240
复习思考题..............................................................................................................................................243
参考文献 .....................................................................................................................................................246