[{"data":1,"prerenderedAt":43},["ShallowReactive",2],{"q-sec_law-115-2-020":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","c3",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_law-115-2-020","115-2",20,"對於有價證券募集之核准，藉此作為證實申請事項或保證證券價值之宣傳者，可為哪一懲罰？",[13,14,15,16],"處一年以下有期徒刑","處二年以下有期徒刑","處三年以下有期徒刑","處七年以下有期徒刑",0,"有價證券之募集與發行",1,"證券交易法第四十條明定，對於有價證券募集之核准，不得藉以作為證實申請事項或保證證券價值之宣傳；違反者依第一百七十七條處一年以下有期徒刑、拘役或科或併科罰金，故 (A) 正確。禁止的理由很直接：主管機關的核准只代表申報書件在形式上齊備，從未擔保發行公司的財務體質或證券日後的價值，若容許業者拿核准當背書招攬，投資人會誤把行政程序當成投資保證而放鬆判斷。(B) 二年、(C) 三年與 (D) 七年的刑度分別對應證券交易法其他違規類型，並非違反第四十條所適用的法定刑。","hard",[23,27,31,35,39],{"id":24,"question":25,"qno":26},"sec_law-114-3-007","公開發行公司募集、發行有價證券，應向政府何單位申報生效？",7,{"id":28,"question":29,"qno":30},"sec_law-114-3-009","依「發行人募集與發行有價證券處理準則」之規定，轉換公司債「發行及轉換辦法」所定發行屆滿一定期間得開始請求轉換，所稱一定期間指：",9,{"id":32,"question":33,"qno":34},"sec_law-114-3-038","發行人募集與發行有價證券處理準則所稱「營業日」係指：",38,{"id":36,"question":37,"qno":38},"sec_law-115-1-029","轉換公司債及附認股權公司債之發行人應於辦理變更股票每股面額，向經濟部申請變更登記日之前___個營業日，將債券停止轉換(認購)期間等相關事項，在櫃買中心指定之網際網路資訊申報系統辦理公告？",29,{"id":40,"question":41,"qno":42},"sec_law-115-2-047","發行人為募集設立，其募集與發行有價證券案應採下列哪一種方式？",47,1785904140335]