[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-2-046":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","c6",{"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-115-2-046","115-2",46,"下列何者申請其股票為櫃檯買賣，需取得金管會同意函？",[13,14,15,16],"保險業","物流業","電子業","上市轉上櫃之證券業",0,"有價證券買賣、集中保管與櫃檯買賣",1,"(A)對。保險業屬特許事業，其設立、業務範圍、資本適足與財務健全都受金管會的專業監理，故申請股票為櫃檯買賣時，除須符合櫃買中心的財務業務標準外，還要先取得金管會的同意函，由目的事業主管機關確認其經營狀況適合公開交易，避免監理與掛牌兩套標準脫節。(B)物流業與(C)電子業屬一般行業，並無特許監理的問題，只要通過櫃買中心審查即可；(D)所述是原本已經上市、相關審查程序早已完備的公司改到櫃檯買賣，並非本題所指須另行取得同意函的情形。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"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":28,"question":29,"qno":30},"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":32,"question":33,"qno":34},"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":36,"question":37,"qno":38},"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":40,"question":41,"qno":42},"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":44,"question":45,"qno":46},"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？",45,1785904148331]