[{"data":1,"prerenderedAt":48},["ShallowReactive",2],{"q-sitca_sec_law-115-2-039":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-115-2-039","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,"證券商推介客戶買賣有價證券時，必須避免藉推介替自己的部位或承銷商品解套，因此規範明定：證券商包銷而尚未處理完竣的股票不得作為推介標的，(D)的說法與規定完全相反，即為錯誤的敘述。(A)兼營自營或承銷業務者必須維持推介業務的獨立性，避免研究、承銷與自營之間的資訊相互流用；(B)證券商應訂定防範利益衝突的內部控制制度，並落實部門間的資訊隔離；(C)正在進行安定操作的股票價格受人為支撐，同樣禁止列為推介標的。這三項都是現行規定的正確描述。","sec_sr_law-115-2-039","medium",[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：",31,1785904158243]