[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-114-3-019":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-114-3-019","114-3",19,"證券商之加入同業公會制度相關規定是：",[13,14,15,16],"任意入會","選擇入會","強制入會","可以隨時退出",2,"證券商管理規則",1,"證券商之加入同業公會採強制入會制，須先加入證券商業同業公會始得營業，且不得任意退會，故(C)正確。強制入會之立法目的，在使全體證券商均納入公會自律體系，透過統一之業務規範、道德準則與違規懲處，維護市場秩序並強化事前與事中管理。(A)任意入會、(B)選擇入會均否定其強制性，與制度不符；(D)可隨時退出更違反不得任意退會之要求，蓋若允許自由退出，將使自律規範形同虛設。本題與前題「開業前入會」相互呼應，可一併記憶為「強制、先入會、不得任意退會」三大要點，是證券商公會制度的常考觀念。","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-114-3-016","證券商應於何時加入證券商業同業公會？",16,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-017","下列何者為非？",17,{"id":36,"question":37,"qno":38},"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":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？",8,1787293961987]