[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_law-115-2-028":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","c10",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_law-115-2-028","115-2",28,"有價證券依「證交所實施股市監視制度辦法」採處置措施者，經紀商受託買賣時應如何因應？",[13,14,15,16],"向委託人預先收取款券或融資自備價款或融券保證金","無須有特別作為","限制買賣金額","停止此一證券之下單買賣",0,"交易市場",1,"有價證券依證交所實施股市監視制度辦法被採取處置措施時，證券經紀商受託買賣應向委託人預先收取款券，屬信用交易者則預收融資自備價款或融券保證金，故 (A) 正確。預收的作用是抑制當日沖銷與人頭戶的短線衝量，同時把違約交割的風險先行鎖住，這是處置措施中最核心的手段。(B) 無須特別作為與制度目的完全相反；(C) 限制買賣金額與 (D) 停止該證券下單買賣都逾越經紀商的權限，處置措施由證交所依規定實施，經紀商該做的是配合預收款券，而非自行拒絕或封鎖客戶委託。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_law-114-3-017","證券經紀商接受客戶買賣變更交易方法股票應先辦理哪些事項？",17,{"id":28,"question":29,"qno":30},"sec_law-114-3-019","證券交易所備供證券買賣一方不履行交付義務時之代為支付，而就其證券交易經手費提存之準備金稱之為：",19,{"id":32,"question":33,"qno":34},"sec_law-114-3-031","證券經紀商受託買賣，於成交後應於何時通知客戶？",31,{"id":36,"question":37,"qno":38},"sec_law-114-3-032","證交所提供之交易資訊有傳輸中斷情事時，證券商可否請求賠償？",32,{"id":40,"question":41,"qno":42},"sec_law-114-3-033","證券商接受委託人以定期定股及定期定額方式委託買賣外國有價證券，買賣標的以中長期投資為原則，且以下哪項不在投資範圍之內？",33,{"id":44,"question":45,"qno":46},"sec_law-114-3-034","發行公司申請有價證券上市，下列何者並非應申報之上市公告事項？",34,1785904140413]