[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_sec_law-115-2-046":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","c9",{"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-115-2-046","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,"發行市場",1,"保險業屬於特許行業，申請股票為櫃檯買賣時，除了要符合櫃買中心的財務、設立年限等一般標準外，還必須先取得目的事業主管機關金管會的同意函，櫃買中心才會受理，故(A)正確；原因在於金融保險業涉及大眾資金與清償能力，須由主管機關先確認其經營狀況適合公開市場交易。(B)物流業與(C)電子業都是一般行業，只要符合上櫃標準即可逕行申請；(D)由上市轉上櫃者，其股票原本就已在集中市場交易、公司資格早經核准，屬於市場之間的轉換，並非首次取得掛牌資格的情形。","sec_sr_law-115-2-046","medium",[24,28,32,36,39,43],{"id":25,"question":26,"qno":27},"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":29,"question":30,"qno":31},"sitca_sec_law-114-3-037","下列對海外存託憑證之敘述何者錯誤？",37,{"id":33,"question":34,"qno":35},"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":37,"question":38,"qno":10},"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？",{"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？",33,1785904158323]