[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-1-045":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-115-1-045","115-1",45,"下列有關櫃檯買賣交易原則之敘述，何者有誤？",[13,14,15,16],"櫃檯買賣證券商以等殖成交系統為櫃檯買賣時，其申報買賣數量須一次成交，不得部分成交","櫃檯買賣之給付結算應以現款、現貨為之","證券商於客戶為櫃檯買賣時應慎重考量客戶之意向條件，投資經驗","等價成交系統得自市場交易時間開始前 30 分鐘輸入",0,"有價證券買賣、集中保管與櫃檯買賣",1,"(A) 敘述有誤：等殖成交系統（多用於債券）本就允許部分成交，並非「須一次成交、不得部分成交」，把等價系統的特性張冠李戴。(B) 櫃檯買賣結算以現款現貨為之、(C) 應了解客戶意向與投資經驗（KYC）、(D) 等價成交系統得於開盤前 30 分鐘開始輸入，三者均為正確原則。","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-115-1-043","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？",43,{"id":40,"question":41,"qno":42},"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":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？",46,1783661233716]