[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-114-3-015":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":21},"sec_sr_law","證券商高級業務員資格測驗——證券交易相關法規與實務","c5",{"id":8,"exam":4,"session":9,"qno":10,"question":11,"options":12,"answer":17,"chapter":18,"freq":17,"explanation":19,"difficulty":20},"sec_sr_law-114-3-015","114-3",15,"證券商轉投資總金額不得超過其淨值百分之多少？",[13,14,15,16],"百分之二十","百分之四十","百分之五十","百分之百",1,"證券商管理規則","依證券商管理規則，證券商轉投資之總金額不得超過其淨值百分之四十，故(B)正確。此上限之立法目的在控管證券商將自有資金投入其他事業所生之風險，避免因過度轉投資而稀釋本業資本、影響財務健全與清償能力，進而危及客戶權益與市場秩序。(A)百分之二十過低、(C)百分之五十、(D)百分之百則過度寬鬆，均非法定上限。作答時應留意證券商管理規則中對自有資本、轉投資、不動產取得等均設有以淨值為基準之比率限制，此類「以淨值某百分比為天花板」之題型常見，須逐項辨明對應之比率數字。","medium",[22,26,30,34,38,42],{"id":23,"question":24,"qno":25},"sec_sr_law-114-3-016","證券商應於何時加入證券商業同業公會？",16,{"id":27,"question":28,"qno":29},"sec_sr_law-114-3-017","下列何者為非？",17,{"id":31,"question":32,"qno":33},"sec_sr_law-114-3-018","證券商除由金融機構兼營者依有關法令規定外，其經營自行買賣有價證券業務者，持有任一本國公司股份之總額不得超過該公司已發行股份總額之___；持有任一本國公司所發行有價證券之成本總額，並不得超過該證券商淨值之___。",13,{"id":35,"question":36,"qno":37},"sec_sr_law-114-3-019","證券商之加入同業公會制度相關規定是：",19,{"id":39,"question":40,"qno":41},"sec_sr_law-115-1-007","證券商得為自行買賣特定外國債券之買賣斷交易，以下敘述何者錯誤？",7,{"id":43,"question":44,"qno":45},"sec_sr_law-115-1-008","證券金融事業必須以股份有限公司之組織方式成立，其實收資本額最低應達下列何項標準？",8,1787293961939]