[{"data":1,"prerenderedAt":43},["ShallowReactive",2],{"q-sec_sr_law-115-1-042":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","c9",{"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-115-1-042","115-1",42,"申請股票上市之發行公司雖符合上市審查準則之上市條件，但有以下何種情況，經證交所認為不宜上市，得不同意其股票上市？",[13,14,15,16],"有足以影響公司財務業務正常營運之重大勞資糾紛或污染環境情事，但已經改善","有重大非常規交易，但已經改善","申請公司或其現任董事、總經理或實質負責人於最近十年前有違反誠信原則","有虛偽不實或違法情事，足以影響其上市後之證券價格，而及於市場秩序或損害公益之虞",3,"發行市場",1,"(D)對，申請公司若有虛偽不實或違法情事，足以影響上市後證券價格、危及市場秩序或損害公益之虞，證交所得認不宜上市而不同意。(A)勞資糾紛或污染、(B)非常規交易均已改善、(C)違反誠信是在最近十年「前」已逾期間，情節已消除，都不構成不宜上市的理由。","hard",[23,27,31,35,39],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-026","證券商辦理初次上市、上櫃承銷案件，受理詢價圈購之對象，如有下列何者參與詢價圈購，應拒絕之？",26,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-037","下列對海外存託憑證之敘述何者錯誤？",37,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-046","屬科技事業之發行公司，申請股票上櫃時，其持有已發行股份總數下列何項之比例者，應按規定辦理集中保管及屆期領回？",46,{"id":36,"question":37,"qno":38},"sec_sr_law-114-3-047","以下敘述何者錯誤？",47,{"id":40,"question":41,"qno":42},"sec_sr_law-115-1-033","下列何者不得參與競價拍賣之投標？",33,1783661233695]