[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-futures_law-114-3-037":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"futures_law","期貨商業務員資格測驗——期貨交易法規","c6",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"futures_law-114-3-037","114-3",37,"主管機關得退回證券商申請經營期貨交易輔助業務之情形，不包括下列何者？",[13,14,15,16],"總公司及分支機構同時申請","申請書件應記載事項不充分，逾期未能完成補正者","申請書件不完備，逾期未能完成補正者","申請書件有虛偽不實之記載者",0,"證券商經營期貨交易輔助業務管理規則",1,"本題考證券商申請經營期貨交易輔助業務時主管機關的退回事由。得退回的情形都圍繞在申請書件本身的形式瑕疵或誠信瑕疵：(B)應記載事項不充分而逾期未補正、(C)書件不完備而逾期未補正、(D)有虛偽不實之記載，這三者反映申請案未達受理門檻或有不實。相對地，(A)總公司及分支機構同時提出申請，僅屬申請作業安排上的時序問題，並非法定退回事由，主管機關不會因此逕行退回，故本題選(A)。作答關鍵在於區分「書件品質與誠信問題」與「單純同時申請」兩類，前者才構成退回理由。","medium",[23,27,31,35,38,42],{"id":24,"question":25,"qno":26},"futures_law-114-3-038","期貨交易輔助人應於每月幾日之前，向主管機關、期貨交易所或指定機構申報上月份業務量月報表？",38,{"id":28,"question":29,"qno":30},"futures_law-114-3-042","期貨交易輔助人代理期貨商接受期貨交易人開戶，以下何者錯誤？",42,{"id":32,"question":33,"qno":34},"futures_law-115-1-029","期貨交易輔助人與委任期貨商簽訂委任契約，其中應載明事項以下何者正確？",29,{"id":36,"question":37,"qno":26},"futures_law-115-1-034","證券商申請其分支機構經營期貨交易輔助業務，以下列何者為限？",{"id":39,"question":40,"qno":41},"futures_law-115-1-035","期貨交易輔助人接受客戶開戶後，應送交何處確認並簽名或蓋章？",35,{"id":43,"question":44,"qno":45},"futures_law-115-1-045","有關期貨交易輔助人於知悉或事實發生之日起五個營業日內，應依一定程序向主管機關申報之事項，不包括下列何者？",46,1787293963850]