[{"data":1,"prerenderedAt":48},["ShallowReactive",2],{"q-sitca_sec_law-115-2-021":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":23},"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","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"canonicalId":21,"difficulty":22},"sitca_sec_law-115-2-021","115-2",21,"初任及離職滿三年再任之證券商業務人員應於到職後多久之內參加職前訓練？",[13,14,15,16],"1 個月","3 個月","半年","1 年",2,"證券商管理規則",1,"依證券商負責人與業務人員管理規則，業務人員初任，以及離職滿三年後再任者，應於到職後半年內參加職前訓練；若離職未滿三年即再任，因所受訓練與實務認知尚未過時，不必重新受訓，故(C)正確。此外業務人員在職期間仍應依規定期間參加在職訓練，訓練不合格者須於一定期間內補訓，未參加或補訓仍不合格者不得繼續執行業務。(A)一個月與(B)三個月短於法定期限，(D)一年則過長，將使新進人員長時間在未受訓的狀態下直接接觸客戶，與制度目的不合。","sec_sr_law-115-2-021","easy",[24,28,32,36,40,44],{"id":25,"question":26,"qno":27},"sitca_sec_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":29,"question":30,"qno":31},"sitca_sec_law-114-3-016","證券商應於何時加入證券商業同業公會？",16,{"id":33,"question":34,"qno":35},"sitca_sec_law-114-3-017","下列何者為非？",17,{"id":37,"question":38,"qno":39},"sitca_sec_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":41,"question":42,"qno":43},"sitca_sec_law-114-3-019","證券商之加入同業公會制度相關規定是：",19,{"id":45,"question":46,"qno":47},"sitca_sec_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：",31,1785904158053]