[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-114-3-016":3},{"exam":4,"examName":5,"chapterSlug":6,"question":7,"related":22},"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":19,"explanation":20,"difficulty":21},"sec_sr_law-114-3-016","114-3",16,"證券商應於何時加入證券商業同業公會？",[13,14,15,16],"開業前","開業後 10 日內","開業後 20 日內","開業後 1 個月內",0,"證券商管理規則",1,"依證券交易法規定，證券商非加入證券商業同業公會，不得開業，故應於開業前完成入會，(A)正確。此係先入會、後營業之先決要件，目的在使證券商於營業之初即受同業公會之自律規範與紀律約束，並便於主管機關透過公會進行事前管理。(B)十日內、(C)二十日內、(D)一個月內等敘述均以「開業後」始行入會為前提，與強制先行入會之規定牴觸，故皆錯誤。應與其他行業「開業後一定期間內申報或登記」之規定區別，證券商採事前強制入會制，此為其加入公會制度之核心特徵，亦與下一相關題目之強制入會精神一致。","easy",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-015","證券商轉投資總金額不得超過其淨值百分之多少？",15,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-017","下列何者為非？",17,{"id":32,"question":33,"qno":34},"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":36,"question":37,"qno":38},"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":40,"question":41,"qno":42},"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":44,"question":45,"qno":46},"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？",8,1787293961946]