[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-115-2-017":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","c6",{"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-115-2-017","115-2",17,"對單一股票的融券與出借之總金額，不得超過證券商淨值的多少？",[13,14,15,16],"百分之三","百分之五","百分之七","百分之十",1,"有價證券買賣、集中保管與櫃檯買賣","依證券商辦理有價證券買賣融資融券管理辦法，證券商對單一證券的授信規模設有雙重上限：對每種證券的融資總金額不得超過其淨值百分之十，而每種證券的融券與出借總金額不得超過其淨值百分之五，故本題應選(B)。融券方向的上限訂得比融資嚴格，是因為放空的理論損失無上限，且回補時可能遇到軋空與券源短缺，證券商所承受的風險高於融資，因此必須把單一標的的集中度壓得更低。選項(A)百分之三與選項(C)百分之七在規定中沒有對應數字；選項(D)百分之十則是融資方向的上限，把兩個方向的門檻互相對調，正是本題設計的陷阱。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"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":27,"question":28,"qno":29},"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":31,"question":32,"qno":33},"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":35,"question":36,"qno":37},"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":39,"question":40,"qno":41},"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":43,"question":44,"qno":45},"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？",45,1785904148073]