[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-114-3-006":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sec_sr_law","證券商高級業務員資格測驗——證券交易相關法規與實務","c4",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_sr_law-114-3-006","114-3",6,"依現行證券交易法規定，會計師辦理證交法第 36 條財務報告之查核簽證，發生錯誤或疏漏時，主管機關得為之處分，試問下列何者為錯誤？",[13,14,15,16],"警告","停止其二年以內辦理證交法所定之簽證","撤銷簽證之核准","申誡",3,"公開發行公司財務業務規範",1,"證交法第37條，會計師查核簽證有錯誤或疏漏時，主管機關得處警告、停止二年以內簽證、撤銷簽證核准三種。(D)申誡並非本條所列處分，故為錯誤選項。(A)(B)(C)皆為條文明定之處分。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-008","依「股票上市或於證券商營業處所買賣公司薪資報酬委員會設置及行使職權辦法」規定，薪資報酬委員會成員由____決議委任之，其人數不得少於__人，其中一人為召集人。",8,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-014","依「證券交易法」及「公開發行公司董事監察人股權成數及查核實施規則」規定，公開募集及發行有價證券之公司，公司實收資本額在新臺幣三億元以下者(無選任獨立董事)，全體董事所持有記名股票之股份總額不得少於公司已發行股份總額___，全體監察人不得少於___？",14,{"id":32,"question":33,"qno":34},"sec_sr_law-115-1-015","哪些公司應設置薪資報酬委員會？",15,{"id":36,"question":37,"qno":38},"sec_sr_law-115-1-016","公開發行公司資金貸與他人前，非經下列何者同意不得為之？",16,{"id":40,"question":41,"qno":42},"sec_sr_law-115-1-029","發行人申報募集與發行有價證券，至申報生效前，發生證券交易法§36 第 3 項第 2 款規定對股東權益或證券價格有重大影響之事項，應依規定於事實發生日起幾日內公告並申報？",29,{"id":44,"question":45,"qno":46},"sec_sr_law-115-1-031","採曆年制之上市(櫃)公司年度財務報告應於何時前公告？",31,1783661232347]