[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-2-039":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","c5",{"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-115-2-039","115-2",39,"下列關於推介股票何者錯誤？",[13,14,15,16],"證券商兼營自營或承銷業務者，應維持推介業務之獨立性","證券商應訂定防範利益衝突之內部控制制度","券商進行安定操作之股票不得為推介之標的","券商可以推介其未處理完竣之包銷的股票",3,"證券商管理規則",1,"(D)錯，故為本題答案。證券商推介客戶買賣有價證券，最忌把自家存貨倒給客戶：包銷而尚未處理完竣的股票仍留在券商手上，推介等於利用客戶去消化自身部位，屬典型利益衝突，依規定不得作為推介標的。(A)對，兼營自營或承銷業務者，推介必須與自營、承銷部門維持獨立，避免資訊互通與搭便車；(B)對，券商本應以內部控制制度建立防火牆與利益衝突防範機制；(C)對，正在進行安定操作的股票價格受人為支撐，推介將誤導投資人判斷，同樣列為禁止推介的標的。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-015","證券商轉投資總金額不得超過其淨值百分之多少？",15,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-016","證券商應於何時加入證券商業同業公會？",16,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-017","下列何者為非？",17,{"id":36,"question":37,"qno":38},"sec_sr_law-114-3-018","證券商除由金融機構兼營者依有關法令規定外，其經營自行買賣有價證券業務者，持有任一本國公司股份之總額不得超過該公司已發行股份總額之___；持有任一本國公司所發行有價證券之成本總額，並不得超過該證券商淨值之___。",13,{"id":40,"question":41,"qno":42},"sec_sr_law-114-3-019","證券商之加入同業公會制度相關規定是：",19,{"id":44,"question":45,"qno":46},"sec_sr_law-115-1-007","證券商得為自行買賣特定外國債券之買賣斷交易，以下敘述何者錯誤？",7,1785904148283]