[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sitca_sec_law-115-2-049":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","c7",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"canonicalId":20,"difficulty":21},"sitca_sec_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","開放式基金的受益憑證並未掛牌，投資人是直接向投信公司或其代銷機構，按每日計算的淨資產價值申購與買回，基金規模隨申購買回而增減，不需要、也沒有次級市場的撮合交易，故(B)並不在集中市場或證券商營業處所流通。(A)封閉式基金發行後規模固定，必須在集中交易市場掛牌買賣，投資人才有變現的管道；(C)認購權證由證券商發行並在集中市場掛牌交易；(D)轉換公司債則在集中市場或證券商營業處所交易。這三者都有次級市場，只有開放式基金是靠申購買回機制提供流動性。","sec_sr_law-115-2-049","easy",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sitca_sec_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":28,"question":29,"qno":30},"sitca_sec_law-114-3-023","信託業可申請兼營下列哪些業務？",23,{"id":32,"question":33,"qno":34},"sitca_sec_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":36,"question":37,"qno":38},"sitca_sec_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":40,"question":41,"qno":42},"sitca_sec_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":44,"question":45,"qno":46},"sitca_sec_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？",9,1785904158352]