證券交易法制

📝 歷屆考古題

• 114年 法律類國考 第61題
  When a corporate issuer wishes to raise money and to offer the securities only to professional inves…
  查看 AI 詳解 →
• 113年 法律類國考 第63題
  The term _____ as used in Taiwan’s Securities and Exchange Act means an explanatory written statemen…
  查看 AI 詳解 →
• 112年 法律類國考 第68題
  In the event that any director, supervisor, managerial officer or shareholder holding more than 10\%…
  查看 AI 詳解 →
• 111年 法律類國考 第62題
  Securities law intervenes in corporate governance in several ways. From the example of Taiwan’s secu…
  查看 AI 詳解 →
• 111年 法律類國考 第63題
  ____ is a public offer to stockholders of a listed company to exchange their shares for cash or secu…
  查看 AI 詳解 →
• 110年 法律類國考 第60題
  ABC Co. plans to arrange for an initial public offering (“IPO”) of its shares, and it understands th…
  查看 AI 詳解 →
• 107年 法律類國考 第62題
  Which of the following statements best describes the function or purpose of securities law?
  查看 AI 詳解 →
• 106年 法律類國考 第60題
  Under Securities Exchange Act, transactions involving securities are subject to registration, mandat…
  查看 AI 詳解 →
• 106年 法律類國考 第61題
  Under Securities Exchange Act, transactions involving securities are subject to registration, mandat…
  查看 AI 詳解 →
• 106年 法律類國考 第63題
  A ______ is a pretended sale made openly in the trading place for the purpose of deceiving other tra…
  查看 AI 詳解 →
• 105年 法律類國考 第68題
  Under the firm commitment agreement with the issuer, ______ may subscribe to securities before placi…
  查看 AI 詳解 →
• 104年 法律類國考 第61題
  A market manipulation claim can be based on ______ that are entered with the knowledge that sales of…
  查看 AI 詳解 →
• 103年 法律類國考 第62題
  “Scalping” is a practice in which an investment advisor publicly recommends the purchase of securiti…
  查看 AI 詳解 →
• 103年 法律類國考 第63題
  ____ means stock which has been issued as fully paid to stockholders and subsequently reacquired by…
  查看 AI 詳解 →
• 103年 法律類國考 第70題
  Liability for insider trading can be imposed on persons who owe fiduciary duties to those with whom…
  查看 AI 詳解 →
• 102年 法律類國考 第63題
  A director of a listed company learns material non-public information regarding the possible huge lo…
  查看 AI 詳解 →
• 102年 法律類國考 第64題
  “During 1990, the New York Stock Exchange (NYSE) traded 39.7 billion shares, while the National Asso…
  查看 AI 詳解 →
• 102年 法律類國考 第64題
  “Short selling is a device whereby the speculator sells stock which he does not own, anticipating th…
  查看 AI 詳解 →
• 101年 法律類國考 第53題
  有關證券詐欺的民事責任中，下列有關「詐欺市場理論」（或稱「欺騙市場理論」；the fraud-on-the-market theory）之敘述，何者錯誤？
  查看 AI 詳解 →
• 101年 法律類國考 第54題
  Y 證券商接受其客戶張三委託，以 Y 的名義，為張三於集中市場買進 A 上市公司股票 3,000 股，並向其收取手續費，此商業交易模式稱之為？
  查看 AI 詳解 →
• 101年 法律類國考 第62題
  “A corporation offering and selling its securities to the public has to file a registration statemen…
  查看 AI 詳解 →
• 101年 法律類國考 第63題
  During the public offering, issuing, private placement, or trading of securities, there shall be no…
  查看 AI 詳解 →
• 101年 法律類國考 第63題
  “The laws and rules that govern the securities industry derive from a simple and straightforward con…
  查看 AI 詳解 →
• 100年 法律類國考 第57題
  “A tender offer is an offer to stockholders of a publicly-held corporation to exchange their shares…
  查看 AI 詳解 →
• 100年 法律類國考 第57題
  “Securities Law entitles the purchaser to sue the issuer, underwriter, certified public accountant a…
  查看 AI 詳解 →
• 100年 法律類國考 第58題
  “Scienter” means a mental state consisting in an intent to deceive, manipulate, or defraud. In this…
  查看 AI 詳解 →
• 100年 法律類國考 第60題
  Debt security is issued by a company and sold to investors, usually to raise money in order to expan…
  查看 AI 詳解 →
• 100年 法律類國考 第61題
  The term “capital market” is generally used to refer to those markets that deal in long-term financi…
  查看 AI 詳解 →