[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_law-115-1-023":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sec_law","證券商業務員資格測驗——證券交易相關法規與實務","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_law-115-1-023","115-1",23,"證券商簡易分支機構得辦理之營業項目，以下何者正確？",[13,14,15,16],"財富管理業務","證券經紀業務之招攬","提供客戶辦理證券經紀業務之開戶前置作業","以上皆是",3,"證券商管理規則",1,"證券商簡易分支機構得辦理財富管理業務、證券經紀業務之招攬,以及提供客戶辦理證券經紀開戶之前置作業,故 (D) 皆是正確。簡易分支功能較完整分公司受限,惟前述項目均屬許可範圍。單選 (A)(B)(C) 各僅涵蓋部分。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_law-114-3-014","證券商經營基金受益憑證買賣及互易之居間業務之內部控制制度，應依下列何項單位規定辦理？",14,{"id":28,"question":29,"qno":30},"sec_law-114-3-015","券商經營涉有外匯業務之衍生性金融商品交易業務時，應就涉及資金匯出入部分向何機關申請許可？",15,{"id":32,"question":33,"qno":34},"sec_law-114-3-016","證券商業同業公會之組織型態，為下列何者？",16,{"id":36,"question":37,"qno":38},"sec_law-114-3-018","證券商顧問業務部門所提供之研究報告經公開後於市場交易時間開始幾小時內，除金管會另有規定外，該部門以外之部門及人員不得進行研究報告所建議標的之買賣？",18,{"id":40,"question":41,"qno":42},"sec_law-114-3-027","證券商經取得委託人同意後，由委託人透過載有 4G 以上門號 SIM 卡之行動裝置，經第三方認證機構向委託人所屬之電信業者，以委託人之行動電話號碼、國民身分證統一編號及生日，與電信業者之行動門號租用人申辦資料進行比對，確認為一致後通知證券商，這種線上開戶的身分認證作業稱為：",27,{"id":44,"question":45,"qno":46},"sec_law-115-1-004","下列何種證券商業務人員，不得辦理登記範圍以外之業務或由其他業務人員兼辦？",4,1783498253028]