[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sec_law-115-1-024":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","c1",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sec_law-115-1-024","115-1",24,"經紀商未經核准從事有價證券之借貸，得併科新臺幣多少金額之罰金？",[13,14,15,16],"一百二十萬元","一百八十萬元","二百四十萬元","三百萬元",1,"證券交易法(含施行細則)","證券商（經紀商）未經主管機關核准而經營有價證券之借貸業務，依證券交易法的罰則規定，得處以刑罰並得併科新臺幣一百八十萬元以下之罰金，故 (B) 正確。有價證券借貸涉及信用與市場秩序，法律要求須先取得核准始得辦理，違反者不僅屬行政違規，更負刑事責任，以嚇阻未經許可的地下借貸行為。(A) 一百二十萬元、(C) 二百四十萬元、(D) 三百萬元均非本條所定的併科罰金上限，屬干擾數字。此題應記住「未經核准經營有價證券借貸、併科一百八十萬元罰金」的對應關係，並理解須先核准的前提要件。","hard",[22,26,30,34,38,41],{"id":23,"question":24,"qno":25},"sec_law-114-3-003","下列何者不是「證券交易法」上所稱之「發行人」？",3,{"id":27,"question":28,"qno":29},"sec_law-114-3-011","內線交易情節重大者，法院得提高賠償額之倍數為下列何者？",11,{"id":31,"question":32,"qno":33},"sec_law-114-3-012","Z 上市公司(下稱 Z 公司)董事甲得知該公司即將獲得國際大廠的重大訂單，在該消息明確後，未公開前，於市場上進行交易。下列何者不會構成內線交易之違反？",12,{"id":35,"question":36,"qno":37},"sec_law-114-3-013","依照證交法之規定，下列何者非為內線交易規範主體？",13,{"id":39,"question":40,"qno":10},"sec_law-114-3-024","仲裁庭認定仲裁達於可為判斷之程度者，依當事人聲明之事項，應於幾日內作成判斷書？",{"id":42,"question":43,"qno":44},"sec_law-114-3-030","公開收購如全部應賣有價證券之數量，超過所預定之收購數量時，公開收購人應依下列何種方式向應賣人購買？",30,1787293954260]