[{"data":1,"prerenderedAt":212},["ShallowReactive",2],{"past-sec_law-114-3":3},{"examName":4,"questions":5},"證券商業務員資格測驗——證券交易相關法規與實務",[6,11,15,20,24,28,33,37,41,46,50,54,58,63,67,71,76,80,84,89,93,97,101,105,109,114,118,123,127,131,135,139,143,147,151,155,160,164,168,172,176,180,184,188,192,196,200,204,208],{"id":7,"qno":8,"question":9,"chapter":10},"sec_law-114-3-001",1,"股份有限公司之股東常會，每年至少應召集幾次？","公司法",{"id":12,"qno":13,"question":14,"chapter":10},"sec_law-114-3-002",2,"依現行法規定，股份有限公司不得發行下列何種特別股？",{"id":16,"qno":17,"question":18,"chapter":19},"sec_law-114-3-003",3,"下列何者不是「證券交易法」上所稱之「發行人」？","證券交易法(含施行細則)",{"id":21,"qno":22,"question":23,"chapter":10},"sec_law-114-3-004",4,"股份有限公司讓與全部營業或財產，依「公司法」第一百八十五條規定，應有代表已發行股份總數三分之二以上股東出席之股東會，以出席股東表決權超過多少比例之同意行之？",{"id":25,"qno":26,"question":27,"chapter":10},"sec_law-114-3-006",6,"股份有限公司發行新股時，除有特別規定者外，應保留原發行新股總額百分之多少股份由公司員工承購？",{"id":29,"qno":30,"question":31,"chapter":32},"sec_law-114-3-007",7,"公開發行公司募集、發行有價證券，應向政府何單位申報生效？","有價證券之募集與發行",{"id":34,"qno":35,"question":36,"chapter":10},"sec_law-114-3-008",8,"下列有關公司法第一百五十六條股份之規定，何者錯誤？",{"id":38,"qno":39,"question":40,"chapter":32},"sec_law-114-3-009",9,"依「發行人募集與發行有價證券處理準則」之規定，轉換公司債「發行及轉換辦法」所定發行屆滿一定期間得開始請求轉換，所稱一定期間指：",{"id":42,"qno":43,"question":44,"chapter":45},"sec_law-114-3-010",10,"已公開財務預測之公司，應隨時評估敏感度大之基本假設變動對財務預測結果之影響，並按___就營運結果分析其達成情形並評估有無更新財務預測之必要？","公開發行公司財務業務規範",{"id":47,"qno":48,"question":49,"chapter":19},"sec_law-114-3-011",11,"內線交易情節重大者，法院得提高賠償額之倍數為下列何者？",{"id":51,"qno":52,"question":53,"chapter":19},"sec_law-114-3-012",12,"Z 上市公司(下稱 Z 公司)董事甲得知該公司即將獲得國際大廠的重大訂單，在該消息明確後，未公開前，於市場上進行交易。下列何者不會構成內線交易之違反？",{"id":55,"qno":56,"question":57,"chapter":19},"sec_law-114-3-013",13,"依照證交法之規定，下列何者非為內線交易規範主體？",{"id":59,"qno":60,"question":61,"chapter":62},"sec_law-114-3-014",14,"證券商經營基金受益憑證買賣及互易之居間業務之內部控制制度，應依下列何項單位規定辦理？","證券商管理規則",{"id":64,"qno":65,"question":66,"chapter":62},"sec_law-114-3-015",15,"券商經營涉有外匯業務之衍生性金融商品交易業務時，應就涉及資金匯出入部分向何機關申請許可？",{"id":68,"qno":69,"question":70,"chapter":62},"sec_law-114-3-016",16,"證券商業同業公會之組織型態，為下列何者？",{"id":72,"qno":73,"question":74,"chapter":75},"sec_law-114-3-017",17,"證券經紀商接受客戶買賣變更交易方法股票應先辦理哪些事項？","交易市場",{"id":77,"qno":78,"question":79,"chapter":62},"sec_law-114-3-018",18,"證券商顧問業務部門所提供之研究報告經公開後於市場交易時間開始幾小時內，除金管會另有規定外，該部門以外之部門及人員不得進行研究報告所建議標的之買賣？",{"id":81,"qno":82,"question":83,"chapter":75},"sec_law-114-3-019",19,"證券交易所備供證券買賣一方不履行交付義務時之代為支付，而就其證券交易經手費提存之準備金稱之為：",{"id":85,"qno":86,"question":87,"chapter":88},"sec_law-114-3-020",20,"某證券商淨值為一億元，自辦融資融券對某一證券融資總金額不得超過多少？","有價證券買賣、集中保管與融資融券",{"id":90,"qno":91,"question":92,"chapter":88},"sec_law-114-3-021",21,"證券金融事業發行商業本票之總額，不得超過該事業淨值之幾倍？",{"id":94,"qno":95,"question":96,"chapter":45},"sec_law-114-3-022",22,"公司在預定買回期間，執行買回本公司股份所預定之最高及最低之買回價格，稱為：",{"id":98,"qno":99,"question":100,"chapter":88},"sec_law-114-3-023",23,"依「證券交易法」規定，下列何者得以帳簿劃撥方式為之？",{"id":102,"qno":103,"question":104,"chapter":19},"sec_law-114-3-024",24,"仲裁庭認定仲裁達於可為判斷之程度者，依當事人聲明之事項，應於幾日內作成判斷書？",{"id":106,"qno":107,"question":108,"chapter":10},"sec_law-114-3-025",25,"依「公司法」規定，公司虧損達實收資本額____時，董事會應於最近一次股東會報告？",{"id":110,"qno":111,"question":112,"chapter":113},"sec_law-114-3-026",26,"下列何種方式非有價證券之承銷價格決定方式？","發行市場",{"id":115,"qno":116,"question":117,"chapter":62},"sec_law-114-3-027",27,"證券商經取得委託人同意後，由委託人透過載有 4G 以上門號 SIM 卡之行動裝置，經第三方認證機構向委託人所屬之電信業者，以委託人之行動電話號碼、國民身分證統一編號及生日，與電信業者之行動門號租用人申辦資料進行比對，確認為一致後通知證券商，這種線上開戶的身分認證作業稱為：",{"id":119,"qno":120,"question":121,"chapter":122},"sec_law-114-3-028",28,"以追蹤、模擬或複製標的指數表現，並在證券交易市場交易，且申購、買回採實物或依據證券投資信託契約規定方式交付之基金，且基金之標的指數成分證券得同時包括股票及債券者，可能為：","證券投資信託基金管理",{"id":124,"qno":125,"question":126,"chapter":10},"sec_law-114-3-029",29,"某上市公司舉行股東會，股東可用以下何種方式行使表決權？",{"id":128,"qno":129,"question":130,"chapter":19},"sec_law-114-3-030",30,"公開收購如全部應賣有價證券之數量，超過所預定之收購數量時，公開收購人應依下列何種方式向應賣人購買？",{"id":132,"qno":133,"question":134,"chapter":75},"sec_law-114-3-031",31,"證券經紀商受託買賣，於成交後應於何時通知客戶？",{"id":136,"qno":137,"question":138,"chapter":75},"sec_law-114-3-032",32,"證交所提供之交易資訊有傳輸中斷情事時，證券商可否請求賠償？",{"id":140,"qno":141,"question":142,"chapter":75},"sec_law-114-3-033",33,"證券商接受委託人以定期定股及定期定額方式委託買賣外國有價證券，買賣標的以中長期投資為原則，且以下哪項不在投資範圍之內？",{"id":144,"qno":145,"question":146,"chapter":75},"sec_law-114-3-034",34,"發行公司申請有價證券上市，下列何者並非應申報之上市公告事項？",{"id":148,"qno":149,"question":150,"chapter":88},"sec_law-114-3-035",35,"有關證券金融事業辦理轉融通業務之規定，下列何者正確？",{"id":152,"qno":153,"question":154,"chapter":88},"sec_law-114-3-036",36,"有關借券，下列何者錯誤？",{"id":156,"qno":157,"question":158,"chapter":159},"sec_law-114-3-037",37,"股票交易之手續費是：","稅賦與必要費用",{"id":161,"qno":162,"question":163,"chapter":32},"sec_law-114-3-038",38,"發行人募集與發行有價證券處理準則所稱「營業日」係指：",{"id":165,"qno":166,"question":167,"chapter":45},"sec_law-114-3-039",39,"下列何者為年報編製內容應記載之事項？",{"id":169,"qno":170,"question":171,"chapter":45},"sec_law-114-3-040",40,"審計委員會應至少多久召開一次，並於審計委員會組織規程中明定之？",{"id":173,"qno":174,"question":175,"chapter":113},"sec_law-114-3-041",41,"外國發行人參與存託機構發行臺灣存託憑證時，應委託下列何機構辦理公開承銷及相關事宜，並應向認購人交付公開說明書？",{"id":177,"qno":178,"question":179,"chapter":75},"sec_law-114-3-042",42,"證券商接受委託買賣外國虛擬資產 ETF，投資人以何種類型為限？",{"id":181,"qno":182,"question":183,"chapter":19},"sec_law-114-3-043",43,"公開收購如延長收購期間，最多可以延期幾次？最長可延期多久？",{"id":185,"qno":186,"question":187,"chapter":10},"sec_law-114-3-044",44,"公開發行股票公司召開股東臨時會，應於開會前幾日內辦理停止股票過戶？",{"id":189,"qno":190,"question":191,"chapter":75},"sec_law-114-3-045",45,"申請以國家經濟建設重大事業上市之發行公司，其上市條件之一為該公司係由下列何者推動創設？",{"id":193,"qno":194,"question":195,"chapter":75},"sec_law-114-3-046",46,"市值、營收、現金流量及淨值符合一定條件之公司，申請上市時可免除以下哪方面條件？",{"id":197,"qno":198,"question":199,"chapter":75},"sec_law-114-3-047",47,"有價證券每日市價升降幅度，除主管機關另有核定者外，股票價格以漲至或跌至當市開盤競價基準之多少為限？",{"id":201,"qno":202,"question":203,"chapter":159},"sec_law-114-3-048",48,"證券商受託於證券集中交易市場買賣有價證券，其向委託人收取手續費之費率由下列何者向主管機關申報核定之？",{"id":205,"qno":206,"question":207,"chapter":75},"sec_law-114-3-049",49,"若參加證券櫃檯買賣中心債券等殖成交系統，應以下列哪種方式為之？",{"id":209,"qno":210,"question":211,"chapter":88},"sec_law-114-3-050",50,"證券商為自行辦理有價證券買賣融資融券業務，下列何者正確？",1783498252508]