[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sec_sr_law-115-2-036":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","c10",{"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-115-2-036","115-2",36,"下列何種證券商應向證交所繳存交割結算基金？",[13,14,15,16],"承銷商、自營商","自營商、經紀商","經紀商、承銷商","承銷商、自營商、經紀商",1,"交易市場","交割結算基金的作用，是在證券商發生違約交割時，先由基金墊付以完成集中市場的款券交割，確保結算不中斷、其他參與者不被拖累，因此繳存義務只落在會在集中交易市場受託買賣或自行買賣、進而產生交割義務的證券商身上，也就是證券經紀商與證券自營商，故本題應選(B)。證券承銷商的業務是包銷或代銷有價證券、協助發行公司募集資金，屬發行市場的角色，本身並不在集中交易市場從事買賣，自然不會產生交割結算風險，也就沒有繳存必要。選項(A)、選項(C)與選項(D)都把承銷商列入，與交割結算基金的設計目的不符。","medium",[22,26,30,34,38,41],{"id":23,"question":24,"qno":25},"sec_sr_law-114-3-025","為使保護機構得以順利進行訴訟，以爭取投資人、交易人之權利，投保法特別在裁判費與擔保費用方面給予優遇，如依「證券投資人及期貨交易人保護法」§35 規定，訴訟標的金額或價額超過新臺幣___元者，超過部分暫免繳裁判費？",25,{"id":27,"question":28,"qno":29},"sec_sr_law-114-3-031","證券商接受委託買賣外國虛擬資產 ETF，應建立適當之虛擬資產 ETF 商品適合度制度，其內容至少應包括：",31,{"id":31,"question":32,"qno":33},"sec_sr_law-114-3-034","證券商接受委託買賣外國虛擬資產 ETF，投資人以下列何種類型為限？",34,{"id":35,"question":36,"qno":37},"sec_sr_law-114-3-035","有價證券在證交所市場之買賣，除法令另有規定外，以下列何種交割方式為之？",35,{"id":39,"question":40,"qno":10},"sec_sr_law-114-3-036","下列何者敘述不符合興櫃股票交易制度？",{"id":42,"question":43,"qno":44},"sec_sr_law-114-3-040","下列有關指數投資證券(ETN)名稱規範，何者正確？",40,1785904148260]