[{"data":1,"prerenderedAt":47},["ShallowReactive",2],{"q-sec_sr_law-115-1-046":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","c6",{"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-115-1-046","115-1",46,"已於國內上櫃之金融控股公司，其持股逾多少比率之子公司，國內申請股票上櫃前，需先降低持股？",[13,14,15,16],"25%","50%","70%","90%",2,"有價證券買賣、集中保管與櫃檯買賣",1,"(C)正確。已在國內上櫃之金融控股公司，其持股比率超過70%的子公司，在該子公司於國內申請股票上櫃之前，母公司須先行降低對其持股，以避免母子公司股權過度集中、掛牌後籌碼與經營權高度重疊，進而影響股票流通性與市場交易的公平。(A)25%、(B)50%屬較低門檻，並非本題規定的界線；(D)90%則過高，同樣不符。此題須牢記的關鍵數字是70%——逾此比率的金控子公司在申請上櫃前須先降低持股，故選(C)。實務上此規範意在確保子公司上櫃後仍有足夠的流通在外股數，維持次級市場的正常運作。","hard",[23,27,31,35,39,43],{"id":24,"question":25,"qno":26},"sec_sr_law-114-3-020","在證券交易所上市或證券商營業處所買賣之有價證券之給付或交割應以下列何者為之？甲、現貨；乙、現款；丙、帳簿劃撥；丁、支票",20,{"id":28,"question":29,"qno":30},"sec_sr_law-114-3-029","證券商受託買進外國有價證券，除另有規定者外，一般應如何進行保管？",29,{"id":32,"question":33,"qno":34},"sec_sr_law-114-3-049","櫃檯買賣股票之報價單位與成交單位分別為幾股？",49,{"id":36,"question":37,"qno":38},"sec_sr_law-115-1-043","公開發行公司與推薦證券商若有下列何種情事，證券櫃檯買賣中心可拒絕接受該推薦證券商所出具之評估報告，且不同意其有價證券上櫃？",43,{"id":40,"question":41,"qno":42},"sec_sr_law-115-1-044","櫃檯買賣證券經紀商接受客戶以電話委託者，應同步錄音，對無爭議之電話錄音應至少保存多久期限？",44,{"id":44,"question":45,"qno":46},"sec_sr_law-115-1-045","下列有關櫃檯買賣交易原則之敘述，何者有誤？",45,1787293962753]