[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-115-2-049":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","c8",{"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-115-2-049","115-2",49,"下列何種有價證券並不在證券集中市場或證券商營業處所買賣流通交易？",[13,14,15,16],"封閉式基金之受益憑證","開放式基金","認購權證","轉換公司債",1,"證券投資信託基金管理","(B)對。開放式基金的受益憑證是向投信公司或代銷機構直接申購、並向基金申請買回，成交價格依基金淨值計算，發行單位數隨申購與買回而增減，本質上就不在次級市場掛牌流通。(A)封閉式基金發行單位數固定，受益憑證在集中市場掛牌交易，價格由市場供需決定並常與淨值出現折溢價；(C)認購權證由證券商發行後在集中市場掛牌買賣；(D)轉換公司債則在集中市場或證券商營業處所交易。三者都有次級市場可供轉手，只有開放式基金必須回到基金本身買回。","easy",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"sec_sr_law-114-3-021","受益憑證之買回價格，以請求買回書面到達證券投資信託事業或其代理機構之何時之基金淨資產核算？",21,{"id":27,"question":28,"qno":29},"sec_sr_law-114-3-023","信託業可申請兼營下列哪些業務？",23,{"id":31,"question":32,"qno":33},"sec_sr_law-114-3-024","依「證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法」規定，證券投資信託事業或證券投資顧問事業以委任方式經營全權委託投資業務，有關資產保管之方式下列何者正確？",24,{"id":35,"question":36,"qno":37},"sec_sr_law-114-3-027","境外基金需經下列何種程序後，始得募集及銷售？",27,{"id":39,"question":40,"qno":41},"sec_sr_law-114-3-032","境外基金募集及銷售案件，主管機關得委託以下何單位受理申請案件？",32,{"id":43,"question":44,"qno":45},"sec_sr_law-115-1-009","證券投資信託事業之董事、監察人、經理人、業務人員及其他受僱人員，不得為下列何種行為？",9,1785904148391]