[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-1-020":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","c1",{"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-115-1-020","115-1",20,"公開發行公司下列何者於股票轉讓前無須向主管機關進行事前申報作業？",[13,14,15,16],"董事、監察人及經理人","經理人之配偶及未成年子女","持有股份超過股份總額百分之十之股東","一般職員",3,"證券交易法(含施行細則)",1,"(D)對。依證交法第22條之2,股票轉讓前應向主管機關事前申報之義務人,限於已依本法發行股票公司之內部人,即董事、監察人、經理人及持有股份超過股份總額10%之股東,並依同條規定包括其配偶、未成年子女及利用他人名義持有者。一般職員既非內部人亦非其關係人,轉讓前無須事前申報。(A)董監及經理人、(B)經理人之配偶及未成年子女、(C)持股逾一成之大股東,均屬應申報之對象。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-007","設置獨立董事之公司，董事會設有常務董事者，常務董事中獨立董事人數：",7,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-009","公司依「證券交易法」第十四條之二第一項規定，設置獨立董事其人數不得少於多少？",9,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-011","關於審計委員會之獨立董事成員職權，下列敘述何者正確？",11,{"id":36,"question":37,"qno":38},"sec_sr_law-114-3-012","甲為 Z 上市公司之獨立董事，持有 Z 公司已發行股份 20 萬股。若甲於民國 113 年 11 月 1日將所持有之股票 10 萬股向 X 商業銀行質押借款，下列敘述，何者正確？",12,{"id":40,"question":41,"qno":42},"sec_sr_law-114-3-013","違反內線交易規定，損害賠償額度之計算標準，就消息未公開前或公開後多少小時內，其買入或賣出該股票之價格與消息公開後十個營業日收盤平均價格的差額？",13,{"id":44,"question":45,"qno":46},"sec_sr_law-114-3-043","證交法明定下列哪類公司應於其章程訂明，以年度盈餘提撥一定比率為基層員工調整薪資或分派酬勞？",43,1787293962504]