[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-futures_law-115-1-048":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"futures_law","期貨商業務員資格測驗——期貨交易法規","c11",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"futures_law-115-1-048","115-1",48,"在美國，若期貨交易所人員從事操縱或詐欺行為，其最高罰則為何？",[13,14,15,16],"10 年以下有期徒刑併科 300 萬美元罰金","10 年以下有期徒刑併科 100 萬美元罰金","7 年以下有期徒刑併科 100 萬美元罰金","5 年以下有期徒刑併科 50 萬美元罰金",1,"外國期貨交易法(美國\u002F日本)","美國對期貨市場之操縱或詐欺行為採重刑主義,尤其針對交易所人員等內部主體。依規定,期貨交易所人員從事操縱或詐欺行為者,最高罰則為十年以下有期徒刑併科一百萬美元罰金,兼採自由刑與高額罰金雙重嚇阻,故(B)正確。(A)罰金三百萬美元過高、(C)刑度僅七年偏低、(D)五年以下併科五十萬美元則刑度與罰金皆過輕,均與法定上限不符。判斷要領在於同時記住十年徒刑與一百萬美元罰金這組數字,避免與其他較輕罰則混淆,故本題正解為(B)。","hard",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"futures_law-114-3-041","在美國，期貨交易所擬上市的期貨交易契約，其標的為國庫券或政府公債，商品期貨交易委員會在該期貨交易契約上市前，應將期貨交易所之申請書副知下列何機構？",45,{"id":27,"question":28,"qno":29},"futures_law-114-3-043","日本商品交易所的法令為下列何者？",43,{"id":31,"question":32,"qno":33},"futures_law-115-1-037","美國商品期貨交易委員會(CFTC)組織中，由下列何者負責履行市場監控以及市場與產品檢討等業務？",37,{"id":35,"question":36,"qno":37},"futures_law-115-1-047","為防止 2008 年金融風暴之發生，美國於 2010 年制定何法律，特別將衍生性金融商品中交換契約納入規範，並使 CFTC 隨之進行大規模修正其規則與命令？",47,{"id":39,"question":40,"qno":41},"futures_law-115-1-049","下列何者是由東京紡織品交易所、東京橡膠交易所及東京黃金交易所合併設立的？",49,{"id":43,"question":44,"qno":41},"futures_law-115-1-050","下列何者是現行日本電力期貨的主管機關？",1787293964576]