法律類國考
101年
[司法官第一試] 綜合法學(二)(公司法、保險法、票據法、證券交易法、強制執行
第 62 題
“A corporation offering and selling its securities to the public has to file a registration statement with the competent authority. The registration statement automatically becomes effective 20 days after it is filed with the competent authority, at which point the issuer is free to sell the registered securities to the public. However, the competent authority has certain powers to delay or suspend the effectiveness of the registration statement if it appears that the statement is on its face incomplete or inaccurate in any material respect.” Based on the above description, which of the following is not a part of the securities registration process?
- A Discuss the terms of the offering with the competent authority.
- B Prepare the registration statement by the issuer.
- C File the registration statement with the competent authority.
- D Wait for a certain period of time before the registration statement becomes effective.
思路引導 VIP
若法規賦予主管機關的權限是為了確保「資訊揭露的完整性與真實性」，請思考：主管機關的角色應定位於「資訊審查者」還是「商業合約的共同談判者」？哪一種行為超出了行政審查的權力範疇？
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