[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-1-018":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","c3",{"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-115-1-018","115-1",18,"公開發行股票之公司，得以股東會特別決議，排除原股東及員工優先認購權利，對下列何者進行有價證券之私募？",[13,14,15,16],"銀行業、票券業、信託業、保險業、證券業或其他經主管機關核准之法人或機構","符合主管機關所定條件之自然人、法人或基金","該公司或其關係企業之董事、監察人及經理人","選項(A)(B)(C)皆是",3,"有價證券之募集與發行",1,"(D)對，依證交法第43條之6，私募得對三類人為之：一是銀行、票券、信託、保險、證券等專業機構；二是符合主管機關條件的自然人、法人或基金；三是該公司或關係企業的董事、監察人及經理人。(A)(B)(C)各只列其一，唯有全選才涵蓋完整的私募應募人範圍。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-005","公開說明書主要內容有虛偽不實記載，對於善意投資人之損失，下列何者原則上不與公司負連帶賠償責任？",5,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-010","轉換公司債的面額及償還期限規定為：",10,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-030","發行人申報募集與發行以股票為擔保品之有擔保公司債案件，須符合以下何者規定？",30,{"id":36,"question":37,"qno":38},"sec_sr_law-114-3-033","發行人募集與發行有價證券案件，自主管機關停止申報生效通知到達日起，如屆滿幾個營業日未申請解除，主管機關將退回其案件？",33,{"id":40,"question":41,"qno":42},"sec_sr_law-114-3-041","某公司以總括申報發行新股，以下敘述何者不正確？",41,{"id":44,"question":45,"qno":46},"sec_sr_law-115-1-004","上市公司發行轉換公司債，其持有人得依發行人所定之轉換辦法隨時請求轉換，以下敘述何者正確？",4,1783661233218]