[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_law-115-1-042":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","c10",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":19,"explanation":20,"difficulty":21},"sec_law-115-1-042","115-1",42,"證券商與非專業機構投資人客戶簽訂開戶契約時，應向其說明櫃檯買賣之性質，並履行下列何種程序？",[13,14,15,16],"須要求該客戶簽署櫃檯買賣確認書","須瞭解客戶對有價證券之投資有相當之知識與經驗","客戶應另簽署第一上櫃有價證券風險預告書","選項(A)(B)(C)皆是",3,"交易市場",1,"依櫃買中心證券商營業處所買賣有價證券之相關規則,證券商與非專業機構投資人客戶簽訂開戶契約時,應向其說明櫃檯買賣之性質,並完整踐行三項程序:(A)要求該客戶簽署櫃檯買賣確認書、(B)瞭解客戶對有價證券之投資具有相當之知識與經驗、(C)就第一上櫃有價證券另簽署風險預告書。三者分屬契約確認、適合度評估與風險告知等不同保護目的,缺一不可,故(D)皆是。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_law-114-3-017","證券經紀商接受客戶買賣變更交易方法股票應先辦理哪些事項？",17,{"id":28,"question":29,"qno":30},"sec_law-114-3-019","證券交易所備供證券買賣一方不履行交付義務時之代為支付，而就其證券交易經手費提存之準備金稱之為：",19,{"id":32,"question":33,"qno":34},"sec_law-114-3-031","證券經紀商受託買賣，於成交後應於何時通知客戶？",31,{"id":36,"question":37,"qno":38},"sec_law-114-3-032","證交所提供之交易資訊有傳輸中斷情事時，證券商可否請求賠償？",32,{"id":40,"question":41,"qno":42},"sec_law-114-3-033","證券商接受委託人以定期定股及定期定額方式委託買賣外國有價證券，買賣標的以中長期投資為原則，且以下哪項不在投資範圍之內？",33,{"id":44,"question":45,"qno":46},"sec_law-114-3-034","發行公司申請有價證券上市，下列何者並非應申報之上市公告事項？",34,1787293954489]