[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_sec_law-115-1-042":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sitca_sec_law","投信投顧業務員資格測驗——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":19,"explanation":20,"difficulty":21},"sitca_sec_law-115-1-042","115-1",42,"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？",[13,14,15,16],"有足以影響公司財務業務正常營運之重大勞資糾紛或污染環境情事，但已經改善","有重大非常規交易，但已經改善","申請公司或其現任董事、總經理或實質負責人於最近十年前有違反誠信原則","有虛偽不實或違法情事，足以影響其上市後之證券價格，而及於市場秩序或損害公益之虞",3,"發行市場",1,"依證交所有價證券上市審查準則第9條,申請公司有虛偽不實或違法情事,足以影響上市後證券價格而及於市場秩序或損害公益之虞者,證交所得不同意其上市,故(D)正確。(A)(B)情事已改善者即不構成不宜上市事由;(C)違反誠信原則以最近一定年限內為限,十年前之行為不在此列。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sitca_sec_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":28,"question":29,"qno":30},"sitca_sec_law-114-3-037","下列對海外存託憑證之敘述何者錯誤？",37,{"id":32,"question":33,"qno":34},"sitca_sec_law-114-3-040","下列有關指數投資證券(ETN)名稱規範，何者正確？",40,{"id":36,"question":37,"qno":38},"sitca_sec_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":40,"question":41,"qno":42},"sitca_sec_law-114-3-047","以下敘述何者錯誤？",47,{"id":44,"question":45,"qno":46},"sitca_sec_law-115-1-033","下列何者不得參與競價拍賣之投標？",33,1784190279930]