[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-futures_law-115-1-034":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-115-1-034","115-2",38,"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？",[13,14,15,16],"證券商同時兼營期貨經紀業務者","以其總公司有經營期貨交易輔助業務者為限","以其總公司有經營期貨自營業務者為限","選項(A)(B)(C)皆可",1,"證券商經營期貨交易輔助業務管理規則",2,"證券商申請其分支機構經營期貨交易輔助業務,採「總公司先行」原則,即分支不得超越總公司的業務範圍。(B)正確,以其總公司已有經營期貨交易輔助業務者為限,總公司具備該業務資格,分支機構方得申請延伸辦理。(A)證券商同時兼營期貨經紀業務、(C)總公司經營期貨自營業務,均非分支機構得辦理期貨交易輔助業務的正確前提,兩者屬不同業務類別,不能作為授權基礎;(D)既然(A)(C)皆非要件,自不成立。故正解為(B),判斷關鍵在於分支機構的業務以總公司已具備同類業務為限。","medium",[23,27,30,34,38,42],{"id":24,"question":25,"qno":26},"futures_law-114-3-037","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？",37,{"id":28,"question":29,"qno":10},"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？",{"id":31,"question":32,"qno":33},"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":35,"question":36,"qno":37},"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":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？",46,1787293964381]