[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-115-1-017":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"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","c1",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sec_sr_law-115-1-017","115-1",17,"法人違反「證券交易法」之規定者，依該法規定之罰則，應如何處罰？",[13,14,15,16],"處罰該法人","處罰其行為之負責人","一律處罰其董事","處罰其股東",1,"證券交易法(含施行細則)","(B)對，證交法採「兩罰」以外的負責人處罰精神，法人違反規定時，罰則處罰實際為行為的負責人，因為刑罰針對有故意過失的自然人。(A)只罰法人不合刑罰個人責任；(C)一律罰董事、(D)罰股東都可能罰到未參與違法之人，不符處罰行為人的原則。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"sec_sr_law-114-3-007","設置獨立董事之公司，董事會設有常務董事者，常務董事中獨立董事人數：",7,{"id":27,"question":28,"qno":29},"sec_sr_law-114-3-009","公司依「證券交易法」第十四條之二第一項規定，設置獨立董事其人數不得少於多少？",9,{"id":31,"question":32,"qno":33},"sec_sr_law-114-3-011","關於審計委員會之獨立董事成員職權，下列敘述何者正確？",11,{"id":35,"question":36,"qno":37},"sec_sr_law-114-3-012","甲為 Z 上市公司之獨立董事，持有 Z 公司已發行股份 20 萬股。若甲於民國 113 年 11 月 1日將所持有之股票 10 萬股向 X 商業銀行質押借款，下列敘述，何者正確？",12,{"id":39,"question":40,"qno":41},"sec_sr_law-114-3-013","違反內線交易規定，損害賠償額度之計算標準，就消息未公開前或公開後多少小時內，其買入或賣出該股票之價格與消息公開後十個營業日收盤平均價格的差額？",13,{"id":43,"question":44,"qno":45},"sec_sr_law-114-3-043","證交法明定下列哪類公司應於其章程訂明，以年度盈餘提撥一定比率為基層員工調整薪資或分派酬勞？",43,1783661233173]