[{"data":1,"prerenderedAt":42},["ShallowReactive",2],{"q-sec_law-114-3-007":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"sec_law","證券商業務員資格測驗——證券交易相關法規與實務","c3",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sec_law-114-3-007","114-3",7,"公開發行公司募集、發行有價證券，應向政府何單位申報生效？",[13,14,15,16],"國家發展委員會","金融監督管理委員會","財政部","經濟部",1,"有價證券之募集與發行","依證券交易法第二十二條規定，公開發行公司募集與發行有價證券，除政府債券或經主管機關核定豁免者外，非向主管機關申報生效不得為之，而現行證券主管機關為金融監督管理委員會，故正解為 (B)。金管會下設證券期貨局，實際負責證券市場之監理與發行審查。(A) 國家發展委員會主管國家整體發展規劃、(C) 財政部主管國庫與賦稅、(D) 經濟部主管產業與商業登記，三者均非證券之目的事業主管機關，就募集發行之申報生效並無權限，故皆不選。","easy",[22,26,30,34,38],{"id":23,"question":24,"qno":25},"sec_law-114-3-009","依「發行人募集與發行有價證券處理準則」之規定，轉換公司債「發行及轉換辦法」所定發行屆滿一定期間得開始請求轉換，所稱一定期間指：",9,{"id":27,"question":28,"qno":29},"sec_law-114-3-038","發行人募集與發行有價證券處理準則所稱「營業日」係指：",38,{"id":31,"question":32,"qno":33},"sec_law-115-1-029","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？",29,{"id":35,"question":36,"qno":37},"sec_law-115-2-020","對於有價證券募集之核准，藉此作為證實申請事項或保證證券價值之宣傳者，可為哪一懲罰？",20,{"id":39,"question":40,"qno":41},"sec_law-115-2-047","發行人為募集設立，其募集與發行有價證券案應採下列哪一種方式？",47,1787293953420]