[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_law-115-2-033":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","c6",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_law-115-2-033","115-2",33,"股票有下列何種情形，得不核准其為融資融券股票？",[13,14,15,16],"股價波動過於劇烈者","股權過度集中者","成交量過度異常者","選項(A)(B)(C)皆是",3,"有價證券買賣、集中保管與融資融券",1,"依「有價證券得為融資融券標準」，股票要成為信用交易標的，除須符合該標準所定的掛牌期間與財務體質等基本條件外，主管機關與證交所還保留實質裁量：該股票若有股價波動過度劇烈、股權過度集中或成交量過度異常等情形，得不核准其為融資融券股票，已核准者亦得停止。這三項都是信用交易的風險控管指標——波動劇烈會使擔保維持率快速崩壞、股權集中易遭少數人操控軋空、成交量異常代表籌碼流動不正常。(A)(B)(C) 各自只講到其中一項，彼此並非互斥的替代選項，三者同為法定的不核准事由，故 (D) 三者皆是才完整。","easy",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_law-114-3-020","某證券商淨值為一億元，自辦融資融券對某一證券融資總金額不得超過多少？",20,{"id":28,"question":29,"qno":30},"sec_law-114-3-021","證券金融事業發行商業本票之總額，不得超過該事業淨值之幾倍？",21,{"id":32,"question":33,"qno":34},"sec_law-114-3-023","依「證券交易法」規定，下列何者得以帳簿劃撥方式為之？",23,{"id":36,"question":37,"qno":38},"sec_law-114-3-035","有關證券金融事業辦理轉融通業務之規定，下列何者正確？",35,{"id":40,"question":41,"qno":42},"sec_law-114-3-036","有關借券，下列何者錯誤？",36,{"id":44,"question":45,"qno":46},"sec_law-114-3-050","證券商為自行辦理有價證券買賣融資融券業務，下列何者正確？",50,1785904140464]