[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-futures_law-115-2-019":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"futures_law","期貨商業務員資格測驗——期貨交易法規","c4",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"futures_law-115-2-019","115-2",19,"本國證券商若曾受主管機關依證券交易法第六十六條第二款解除其董事、監察人或經理人職務處分者，原則上至少必須滿多少時間以上，才能申請兼營期貨業務？",[13,14,15,16],"三個月","半年","一年","二年",1,"期貨業與期貨商(設置標準\u002F管理規則)","證券商要兼營期貨業務，除了資本額、人員與內部控制等積極條件外，還須通過消極資格的檢驗。曾被主管機關依證券交易法第六十六條第二款解除董事、監察人或經理人職務者，屬於經營信譽有瑕疵的情形，原則上須自該處分屆滿半年以上才能提出兼營申請，故(B)正確。這類冷卻期的長度會隨處分輕重而不同：糾正、警告等較輕處分的觀察期短，撤銷營業許可等重大處分則要求更長的期間。(A)三個月短於規定；(C)一年與(D)二年則把門檻拉得比法規更嚴，多半是與其他處分類型所對應的期間互相混淆所致。","hard",[22,26,30,33,37,41],{"id":23,"question":24,"qno":25},"futures_law-114-3-015","依我國期貨交易法之規定，下列敘述何者為不正確？",15,{"id":27,"question":28,"qno":29},"futures_law-114-3-017","下列何者不正確？",20,{"id":31,"question":32,"qno":10},"futures_law-114-3-019","關於客戶保證金專戶，期貨商在下列何種情況不得提取專戶內之款項？",{"id":34,"question":35,"qno":36},"futures_law-114-3-021","期貨商受理開立綜合帳戶從事期貨交易，應向主管機關申報之事項不包括下列何者？",21,{"id":38,"question":39,"qno":40},"futures_law-114-3-022","期貨商對不同客戶所為同種類期貨交易之委託，就交易結果，如何進行分配？",14,{"id":42,"question":43,"qno":44},"futures_law-114-3-023","期貨商從事期貨交易，以下何者不正確？",23,1785904150285]