[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-2-029":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-115-2-029","115-2",29,"證券承銷商承銷現金增資發行新股，承銷商之售價與原股東認購價格：",[13,14,15,16],"不得差超過 2%","不得差超過 3%","不得差超過 5%","應相同",3,"發行市場",1,"現金增資發行新股時，公司會依規定保留一定比例由原股東按持股比例認購，其餘部分再由承銷商對外公開銷售。若承銷商的對外售價與原股東認購價不同，同一次增資就會出現兩種取得成本，價低的一方等於憑空取得利益、價高的一方權益受損，也會誘發套利與認購行為的扭曲，因此相關規定要求承銷商辦理現金增資發行新股的承銷價格，應與原股東認購價格相同，本題正解為(D)。選項(A)百分之二、選項(B)百分之三與選項(C)百分之五，都是把問題理解成允許一定價差，但規定並非設容忍區間，而是直接要求價格一致，以維持認購人之間的公平。","medium",[23,27,31,35,39,43],{"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,{"id":44,"question":45,"qno":46},"sec_sr_law-115-1-042","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？",40,1785904148181]