[{"data":1,"prerenderedAt":43},["ShallowReactive",2],{"q-sec_law-115-2-047":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-115-2-047","115-2",47,"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？",[13,14,15,16],"申報生效制","申請核准制","申報核准制","兼採申報生效制及申請核准制",0,"有價證券之募集與發行",1,"我國有價證券的募集與發行早已由核准制全面改為申報生效制：發行人依「發行人募集與發行有價證券處理準則」備齊書件向主管機關申報，除經退回或通知補正外，屆滿一定營業日即自動生效；主管機關不對投資價值作實質判斷，而由發行人自負資訊揭露責任、投資人自負投資判斷責任。募集設立即公司設立時對外公開招募股份，同樣適用此制度，故 (A) 正確。(B) 申請核准制是早期舊制；(C)「申報核准制」並非現行法上的制度名稱；(D) 兩制並行的敘述亦與現制不符。","medium",[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-115-2-020","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？",20,1785904140595]