[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-115-2-030":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","c9",{"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-115-2-030","115-2",30,"未經登錄興櫃交易之初次上市、櫃案件，承銷商辦理對外公開銷售時應先保留普通股一千股由以下何機構認購？",[13,14,15,16],"證券暨期貨市場發展基金會","證券投資人及期貨交易人保護中心","證券商業同業公會","金融法制暨犯罪防制中心",1,"發行市場","初次上市或上櫃案件若未先登錄興櫃交易，市場缺少一段公開議價形成的參考價格，投資人保護的需求相對更高，因此承銷商辦理對外公開銷售時，應先保留普通股一千股由證券投資人及期貨交易人保護中心認購，本題正解為(B)。保護中心取得股份後即具備股東身分，日後該公司若有損害投資人權益的情事，才有立場行使股東權、提起團體訴訟或對董事、監察人訴追，形同事先為投資人保留一個監督的入口。選項(A)證券暨期貨市場發展基金會以研究、訓練與推廣為主，選項(C)證券商業同業公會屬同業自律組織，選項(D)則非承銷相關機構，都不承擔這項功能。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"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":27,"question":28,"qno":29},"sec_sr_law-114-3-037","下列對海外存託憑證之敘述何者錯誤？",37,{"id":31,"question":32,"qno":33},"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":35,"question":36,"qno":37},"sec_sr_law-114-3-047","以下敘述何者錯誤？",47,{"id":39,"question":40,"qno":41},"sec_sr_law-115-1-033","下列何者不得參與競價拍賣之投標？",33,{"id":43,"question":44,"qno":45},"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？",40,1785904148186]