[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-114-3-046":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-114-3-046","114-3",46,"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？",[13,14,15,16],"1%以上之股東","3%以上之股東","5%以上之股東","10%以上之股東",2,"發行市場",1,"依櫃買中心證券商營業處所買賣有價證券審查準則對科技事業之規定,申請股票上櫃時,持股達已發行股份總數(C)5%以上之股東,其持股應辦理集中保管,並於上櫃後屆期分批領回,目的是鎖住大股東籌碼,避免掛牌初期大量出脫衝擊股價、損及投資人。(A)1%、(B)3%的門檻過低,將使過多小股東被鎖住;(D)10%則過高,漏掉應受規範者,均非規定的集保成數。","hard",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-026","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？",26,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-037","下列對海外存託憑證之敘述何者錯誤？",37,{"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？",23,1787293962246]