[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-114-3-026":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","c9",{"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-114-3-026","114-3",26,"證券商辦理初次上市、上櫃承銷案件，受理詢價圈購之對象，如有下列何者參與詢價圈購，應拒絕之？",[13,14,15,16],"發行公司之員工","承銷商本身之董事、監察人","發行公司之董事長或總經理","選項(A)(B)(C)皆應拒絕",3,"發行市場",1,"證券商辦理初次上市、上櫃承銷案件受理詢價圈購時，對發行公司之員工、承銷商本身之董事與監察人、發行公司之董事長或總經理，均應拒絕其參與，故(D)正確。上述對象與發行公司或承銷商間具有利害關係或內部人身分，若允許參與詢價圈購，易生利益輸送、內線利用或哄抬價格之虞，故一律排除以維護承銷之公正與圈購價格之公平形成。(A)員工、(B)承銷商董監、(C)發行公司董事長或總經理各為應拒絕之情形之一，僅選其一均不周全。此類承銷利益迴避之規定，重點在辨明何種身分具利害關係而應被排除，答題時凡屬內部人或關係人多應選「皆應拒絕」。","easy",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-037","下列對海外存託憑證之敘述何者錯誤？",37,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-046","屬科技事業之發行公司，申請股票上櫃時，其持有已發行股份總數下列何項之比例者，應按規定辦理集中保管及屆期領回？",46,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-047","以下敘述何者錯誤？",47,{"id":36,"question":37,"qno":38},"sec_sr_law-115-1-033","下列何者不得參與競價拍賣之投標？",33,{"id":40,"question":41,"qno":42},"sec_sr_law-115-1-042","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？",40,{"id":44,"question":45,"qno":46},"sec_sr_law-115-2-023","創業投資公司申請上市實收資本額門檻為何？",23,1787293962038]