[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-1-043":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","c6",{"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-115-1-043","115-1",43,"公開發行公司與推薦證券商若有下列何種情事，證券櫃檯買賣中心可拒絕接受該推薦證券商所出具之評估報告，且不同意其有價證券上櫃？",[13,14,15,16],"雙方互為有價證券初次上櫃或上市評估報告之評估","有證券商管理規則不得為主辦承銷商之情事","屬同一集團企業","選項(A)(B)(C)皆是",3,"有價證券買賣、集中保管與櫃檯買賣",1,"(D) 對，因為三種情形都會使推薦證券商的評估喪失獨立性或適格性：(A) 雙方互為初次上櫃、上市評估報告的評估對象，形同球員兼裁判；(B) 依證券商管理規則已不得擔任主辦承銷商；(C) 與發行公司屬同一集團企業，難期公正。任一情形櫃買中心即可拒絕接受評估報告並不同意上櫃。(A)(B)(C) 各自單獨都成立，故只選其中之一都不完整。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-020","在證券交易所上市或證券商營業處所買賣之有價證券之給付或交割應以下列何者為之？甲、現貨；乙、現款；丙、帳簿劃撥；丁、支票",20,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-029","證券商受託買進外國有價證券，除另有規定者外，一般應如何進行保管？",29,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-049","櫃檯買賣股票之報價單位與成交單位分別為幾股？",49,{"id":36,"question":37,"qno":38},"sec_sr_law-115-1-044","櫃檯買賣證券經紀商接受客戶以電話委託者，應同步錄音，對無爭議之電話錄音應至少保存多久期限？",44,{"id":40,"question":41,"qno":42},"sec_sr_law-115-1-045","下列有關櫃檯買賣交易原則之敘述，何者有誤？",45,{"id":44,"question":45,"qno":46},"sec_sr_law-115-1-046","已於國內上櫃之金融控股公司，其持股逾多少比率之子公司，國內申請股票上櫃前，需先降低持股？",46,1783661233702]