[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-futures_law-115-1-024":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","c4",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"futures_law-115-1-024","115-1",24,"本國證券商申請兼營期貨業務者，原則上至少須於最近多久之內，未曾受主管機關依證券交易法所為之警告處分？",[13,14,15,16],"二年","半年","一年","三個月",3,"期貨業與期貨商(設置標準\u002F管理規則)",1,"證券商跨業兼營期貨,須符合一定期間內未受特定處分的消極資格要件,以確保經營紀律。本題規定原則上最近「三個月」內未曾受主管機關依證券交易法所為之警告處分,期間相對較短,反映警告屬較輕微處分,故以近三個月為觀察窗口即可,(D)正確。(A)二年、(B)半年、(C)一年都把觀察期間拉得過長,與法定門檻不符。考生須將此警告處分的三個月要件,與停業、撤銷許可等較重處分所對應的較長期間或其他條件區分清楚,避免張冠李戴,故正解為(D)。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"futures_law-114-3-015","依我國期貨交易法之規定，下列敘述何者為不正確？",15,{"id":28,"question":29,"qno":30},"futures_law-114-3-017","下列何者不正確？",20,{"id":32,"question":33,"qno":34},"futures_law-114-3-019","關於客戶保證金專戶，期貨商在下列何種情況不得提取專戶內之款項？",19,{"id":36,"question":37,"qno":38},"futures_law-114-3-021","期貨商受理開立綜合帳戶從事期貨交易，應向主管機關申報之事項不包括下列何者？",21,{"id":40,"question":41,"qno":42},"futures_law-114-3-022","期貨商對不同客戶所為同種類期貨交易之委託，就交易結果，如何進行分配？",14,{"id":44,"question":45,"qno":46},"futures_law-114-3-023","期貨商從事期貨交易，以下何者不正確？",23,1787293964229]