[{"data":1,"prerenderedAt":46},["ShallowReactive",2],{"q-sec_sr_law-115-1-040":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","c10",{"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-115-1-040","115-1",40,"下列交易行為何者為證券商或其分支機構所禁止？",[13,14,15,16],"以全部或部分相同之上市證券之買入委託與賣出委託在場外私相抵算","與他證券商相互在場外為對敲之買賣","未經主管機關許可買賣未上市股票","選項(A)(B)(C)皆是",3,"交易市場",1,"依證券交易法及相關規範，證券商或其分支機構所禁止之交易行為包括：以全部或部分相同之上市證券之買入委託與賣出委託在場外私相抵算、與他證券商相互在場外為對敲之買賣，以及未經主管機關許可買賣未上市股票，故(D)正確。前二者係將本應集中於市場撮合之買賣移至場外私相抵算或對敲，破壞集中交易市場之價格形成機制並規避監理；後者則屬未經許可買賣未上市股票，逾越核准之營業範圍。(A)(B)(C)各為法所明文禁止之情形之一，僅選其一均不周全。作答時應把握「維護集中市場價格形成」與「不得逾越核准業務範圍」兩大精神，凡符合此類禁制情形者多應選「皆是」。","medium",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-025","為使保護機構得以順利進行訴訟，以爭取投資人、交易人之權利，投保法特別在裁判費與擔保費用方面給予優遇，如依「證券投資人及期貨交易人保護法」§35 規定，訴訟標的金額或價額超過新臺幣___元者，超過部分暫免繳裁判費？",25,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-031","證券商接受委託買賣外國虛擬資產 ETF，應建立適當之虛擬資產 ETF 商品適合度制度，其內容至少應包括：",31,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-034","證券商接受委託買賣外國虛擬資產 ETF，投資人以下列何種類型為限？",34,{"id":36,"question":37,"qno":38},"sec_sr_law-114-3-035","有價證券在證交所市場之買賣，除法令另有規定外，以下列何種交割方式為之？",35,{"id":40,"question":41,"qno":42},"sec_sr_law-114-3-036","下列何者敘述不符合興櫃股票交易制度？",36,{"id":44,"question":45,"qno":10},"sec_sr_law-114-3-040","下列有關指數投資證券(ETN)名稱規範，何者正確？",1787293962690]