[{"data":1,"prerenderedAt":216},["ShallowReactive",2],{"past-sec_law-115-1":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",[6,11,16,21,26,30,34,38,42,47,51,55,59,63,67,71,75,79,83,87,91,95,99,103,107,111,115,119,124,129,133,137,142,146,151,155,159,163,167,171,175,179,183,187,191,195,199,203,207,211],{"id":7,"qno":8,"question":9,"chapter":10},"sec_law-115-1-001",1,"下列何項之有價證券得為融資融券之標的？","有價證券買賣、集中保管與融資融券",{"id":12,"qno":13,"question":14,"chapter":15},"sec_law-115-1-002",2,"依「公司法」規定，公開發行股票公司之公司債發行總額，不得逾：","公司法",{"id":17,"qno":18,"question":19,"chapter":20},"sec_law-115-1-003",3,"上市公司有何項情事，得經董事會三分之二以上董事之出席及出席董事超過二分之一同意，於有價證券集中交易市場買回其股份？","證券交易法(含施行細則)",{"id":22,"qno":23,"question":24,"chapter":25},"sec_law-115-1-004",4,"下列何種證券商業務人員，不得辦理登記範圍以外之業務或由其他業務人員兼辦？","證券商管理規則",{"id":27,"qno":28,"question":29,"chapter":10},"sec_law-115-1-005",5,"受益憑證原則於上市(櫃)滿多久，由證券交易所或證券櫃檯買賣中心公告得為融資融券交易？",{"id":31,"qno":32,"question":33,"chapter":15},"sec_law-115-1-006",6,"公司董事會設有常務董事者，其名額至少三人，最多不得超過董事人數多少比例？",{"id":35,"qno":36,"question":37,"chapter":20},"sec_law-115-1-007",7,"依「證券交易法」規定，因命令停業之證券商，於其了結停業前所為有價證券之買賣或受託事務之範圍內，視為：",{"id":39,"qno":40,"question":41,"chapter":10},"sec_law-115-1-008",8,"第一次上市股票上市滿半年，每股淨值在票面以上，且無下列何種情形者，得核准其為融資融券交易股票？",{"id":43,"qno":44,"question":45,"chapter":46},"sec_law-115-1-009",9,"公開發行公司除情形特殊，經主管機關另予規定者外，於每月幾日以前，公告並申報上月份營運情形？","公開發行公司財務業務規範",{"id":48,"qno":49,"question":50,"chapter":20},"sec_law-115-1-010",10,"依照證券交易法之規定，下列何者非為內線交易規範主體？",{"id":52,"qno":53,"question":54,"chapter":25},"sec_law-115-1-011",11,"證券商辦理受託管理私募股權基金業務，以下敘述何者錯誤？",{"id":56,"qno":57,"question":58,"chapter":46},"sec_law-115-1-012",12,"哪些公司應於章程訂明以年度盈餘提撥一定比率為基層員工調整薪資或分派酬勞？",{"id":60,"qno":61,"question":62,"chapter":46},"sec_law-115-1-013",13,"公開發行公司公告申報之財務報告，其主要內容有虛偽或隱匿之情事，哪些人對於發行人所發行有價證券之善意取得人、出賣人或持有人因而所受之損害，應負賠償責任？",{"id":64,"qno":65,"question":66,"chapter":20},"sec_law-115-1-014",14,"發行股票公司董事、監察人、經理人或持有公司股份超過百分之十之股東，對公司之上市股票，於取得後六個月內再行賣出，或於賣出後六個月內再行買進，因而獲得利益者，公司應請求將其利益歸於公司。公司所得行使之該項請求權，自獲得利益之日起多少年間不行使而消滅？",{"id":68,"qno":69,"question":70,"chapter":15},"sec_law-115-1-015",15,"甲公司為公開發行股票之公司，並非以投資為專業，且甲公司章程對於轉投資並未另有規定投資限額，亦未經甲公司股東會決議投資限額。若甲公司實收股本為新臺幣(下同)10 億元，淨值為 15 億元，則甲公司為他公司有限責任股東時，其所有投資總額不得超過多少金額？",{"id":72,"qno":73,"question":74,"chapter":46},"sec_law-115-1-016",16,"下列何者為對股東權益或股票價格有重大影響之事項？",{"id":76,"qno":77,"question":78,"chapter":15},"sec_law-115-1-017",17,"公開發行公司董事缺額達章程所定席次三分之一時，公司應自事實發生之日起幾日內，召開股東臨時會補選之？",{"id":80,"qno":81,"question":82,"chapter":15},"sec_law-115-1-018",18,"股份有限公司董事發現公司有受重大損害之虞時，應即向誰提出報告？",{"id":84,"qno":85,"question":86,"chapter":46},"sec_law-115-1-019",19,"公開發行公司第二季財務報告，除情形特殊，經主管機關另予規定者外，應公告並向主管機關申報之時間，下列敘述何者正確？",{"id":88,"qno":89,"question":90,"chapter":25},"sec_law-115-1-020",20,"證券商經營期貨交易輔助業務者，於從事業務對客戶所生之損害，與委任期貨商負何責任？",{"id":92,"qno":93,"question":94,"chapter":15},"sec_law-115-1-021",21,"股份有限公司記名式公司債券如何轉讓？",{"id":96,"qno":97,"question":98,"chapter":46},"sec_law-115-1-022",22,"有關審計委員會議事程序，以下敘述何者正確？",{"id":100,"qno":101,"question":102,"chapter":25},"sec_law-115-1-023",23,"證券商簡易分支機構得辦理之營業項目，以下何者正確？",{"id":104,"qno":105,"question":106,"chapter":20},"sec_law-115-1-024",24,"經紀商未經核准從事有價證券之借貸，得併科新臺幣多少金額之罰金？",{"id":108,"qno":109,"question":110,"chapter":46},"sec_law-115-1-025",25,"公開發行公司董事會已屆開會時間，如全體董事有半數未出席時，主席得宣布延後開會，以下敘述何者正確？",{"id":112,"qno":113,"question":114,"chapter":25},"sec_law-115-1-026",26,"依據證券商提供數位服務作業指引，「數位體驗專區」之定義為何？",{"id":116,"qno":117,"question":118,"chapter":25},"sec_law-115-1-027",27,"證券商為客戶線上開戶作業，經確定其身分為本人及留存相關證明文件外，且依規定確認身分後，尚須輔以何種方式強化驗證？",{"id":120,"qno":121,"question":122,"chapter":123},"sec_law-115-1-028",28,"洗錢在下列哪一個階段時會變得難以分辨金流來源？","防制洗錢與法令遵循",{"id":125,"qno":126,"question":127,"chapter":128},"sec_law-115-1-029",29,"轉換公司債及附認股權公司債之發行人應於辦理變更股票每股面額，向經濟部申請變更登記日之前___個營業日，將債券停止轉換(認購)期間等相關事項，在櫃買中心指定之網際網路資訊申報系統辦理公告？","有價證券之募集與發行",{"id":130,"qno":131,"question":132,"chapter":25},"sec_law-115-1-030",30,"新設置之證券商，開始營業屆滿多久方得申請設置簡易分支機構？",{"id":134,"qno":135,"question":136,"chapter":46},"sec_law-115-1-031",31,"上市上櫃公司獨立董事之主要現職、主要經歷及兼任其他公司董事、監察人之資訊，隔多久須申報？",{"id":138,"qno":139,"question":140,"chapter":141},"sec_law-115-1-032",32,"集中交易市場零股交易每日升降幅度為何？","交易市場",{"id":143,"qno":144,"question":145,"chapter":141},"sec_law-115-1-033",33,"集中交易市場採逐筆交易之時段為：",{"id":147,"qno":148,"question":149,"chapter":150},"sec_law-115-1-034",34,"初次申請股票上市之發行公司，其有價證券上市契約生效後，於證交所函知之日起多久以內未依規定上市，其上市案會被撤銷？","發行市場",{"id":152,"qno":153,"question":154,"chapter":141},"sec_law-115-1-035",35,"有價證券在證交所市場之買賣，除法令另有規定外，以下列何種交割方式為之？",{"id":156,"qno":157,"question":158,"chapter":25},"sec_law-115-1-036",36,"證券商經營以外國貨幣計價買賣之外國股票之經紀或自營買賣業務時，應先取得何者許可後，始得為之？",{"id":160,"qno":161,"question":162,"chapter":141},"sec_law-115-1-037",37,"在證券集中交易市場上市之外國股票，其交易時間為：",{"id":164,"qno":165,"question":166,"chapter":150},"sec_law-115-1-038",38,"某創業投資公司申請股票上市，以下何者非必要滿足條件？",{"id":168,"qno":169,"question":170,"chapter":150},"sec_law-115-1-039",39,"申請股票上市之發行公司雖符合上市審查準則之上市條件，但有以下何種情況，經證交所認為不宜上市，得不同意其股票上市？",{"id":172,"qno":173,"question":174,"chapter":46},"sec_law-115-1-040",40,"上市公司年度自結財務資訊應至少包含哪項報表？",{"id":176,"qno":177,"question":178,"chapter":141},"sec_law-115-1-041",41,"甲公司之股票雖在證券櫃買中心掛牌，但是嗣後公告並申報之最近期財務報告顯示淨值為負數，證券櫃買中心應如何處理？",{"id":180,"qno":181,"question":182,"chapter":141},"sec_law-115-1-042",42,"證券商與非專業機構投資人客戶簽訂開戶契約時，應向其說明櫃檯買賣之性質，並履行下列何種程序？",{"id":184,"qno":185,"question":186,"chapter":10},"sec_law-115-1-043",43,"現行櫃檯證券經紀商受託買賣股票，一般向委託人收付款券採下列何者方式？",{"id":188,"qno":189,"question":190,"chapter":25},"sec_law-115-1-044",44,"櫃檯買賣證券經紀商對於以 IC 卡、網際網路等電子式交易型態列印之買賣紀錄及電腦檔案委託紀錄，對無爭議者應至少保存多久之期限？",{"id":192,"qno":193,"question":194,"chapter":46},"sec_law-115-1-045",45,"證券櫃檯買賣股票之發行人應於股東常會後幾日內檢送股東會年報予證券櫃買中心？",{"id":196,"qno":197,"question":198,"chapter":141},"sec_law-115-1-046",46,"黃金現貨之報價單位、交易單位各分別為何？",{"id":200,"qno":201,"question":202,"chapter":10},"sec_law-115-1-047",47,"受益憑證通常須上市或上櫃滿一定期間，才能進行融資融券交易，但以下何者例外，上市或上櫃後即得進行融資融券交易？",{"id":204,"qno":205,"question":206,"chapter":10},"sec_law-115-1-048",48,"證券商應多久計算每一信用帳戶之整戶及各筆融資融券擔保維持率？",{"id":208,"qno":209,"question":210,"chapter":10},"sec_law-115-1-049",49,"委託人融資買進之股票，於發行公司停止過戶前幾個營業日，由證券金融公司編製過戶清冊及媒體資料送交證券集中保管事業，代辦過戶？",{"id":212,"qno":213,"question":214,"chapter":215},"sec_law-115-1-050",50,"目前證券商營業處所受託買賣有價證券的交易手續費上限為多少？","稅賦與必要費用",1783498252512]