[{"data":1,"prerenderedAt":45},["ShallowReactive",2],{"q-sec_law-115-1-039":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"sec_law","證券商業務員資格測驗——證券交易相關法規與實務","c9",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_law-115-1-039","115-1",39,"申請股票上市之發行公司雖符合上市審查準則之上市條件，但有以下何種情況，經證交所認為不宜上市，得不同意其股票上市？",[13,14,15,16],"財務或業務未能與他人獨立劃分","所營事業嚴重衰退","申請公司或其現任董事、總經理或實質負責人於最近三年內有違反誠信原則","選項(A)(B)(C)皆是",3,"發行市場",1,"依證交所有價證券上市審查準則第9條的「不宜上市」條款,申請公司縱已符合形式上的上市條件,如有(A)財務或業務未能與他人獨立劃分、(B)所營事業嚴重衰退、(C)申請公司或其現任董事、總經理或實質負責人於最近三年內有違反誠信原則之行為等情事,證交所仍得認為不宜上市而不同意其股票上市,故(D)皆是。此為實質審查的裁量條款,單選(A)(B)(C)均僅列其一。","medium",[23,27,31,35,39,42],{"id":24,"question":25,"qno":26},"sec_law-114-3-026","下列何種方式非有價證券之承銷價格決定方式？",26,{"id":28,"question":29,"qno":30},"sec_law-114-3-041","外國發行人參與存託機構發行臺灣存託憑證時，應委託下列何機構辦理公開承銷及相關事宜，並應向認購人交付公開說明書？",41,{"id":32,"question":33,"qno":34},"sec_law-115-1-034","初次申請股票上市之發行公司，其有價證券上市契約生效後，於證交所函知之日起多久以內未依規定上市，其上市案會被撤銷？",34,{"id":36,"question":37,"qno":38},"sec_law-115-1-038","某創業投資公司申請股票上市，以下何者非必要滿足條件？",38,{"id":40,"question":11,"qno":41},"sec_law-115-2-029",29,{"id":43,"question":44,"qno":10},"sec_law-115-2-039","公開發行公司申請股票上櫃時，當申請時之總經理於最近幾年內有違反誠信原則之行為者，證券櫃買中心得不同意其股票上櫃？",1787293954453]