53 下列主體，何者不是證券交易法所稱之發行人？
(A)對非特定人公開招募以出售有價證券之證券持有人
(B)募集設立之公司發起人
(C)公開發行新股之公司
(D)向不特定人招募公司債之發行公司

54 某甲手中持有 A 上市公司之股票 5 張，A 公司業績最近表現亮眼，甲之好友乙見甲已經有相當獲利，便遊說甲將其手中之 A 公司股票賣一張給乙，請問甲乙間之交易行為是否違反證券交易法？ (A)是。理由：上市公司之股票買賣應於臺灣證券交易所為之 (B)是。理由：上市公司之股票買賣應透過證券商進行 (C)否。理由：甲乙私人間之直接讓受一張上市公司股票為合法 (D)否。理由：甲乙間就上市公司股票買賣之數量、價格等條件屬契約自由，證券交易法並無限制

複選題55 在公司治理方面，相較於公司法，證券交易法中有許多更嚴謹的規範。下列何者不是證券交易法在此方面的特別規定？ (A)已依本法發行股票之公司應訂定股東會議事規則 (B)已依本法發行股票之公司應訂定董事會議事規範 (C)已依本法發行股票之公司，其法人股東之代表人不得同時當選董事及監察人 (D)已依本法發行股票之公司得依章程規定設置獨立董事

56 Andy, Ben and Charlie planned to organize a new corporation, ABC, Inc., to manufacture hand-tool in Taiwan. For about four months, Ben has worked on preparations for ABC, Inc., although he had no agreement with Andy and Charlie as to compensation for such work. Last month, Ben entered into a contract, on behalf of ABC, Inc., with China Steel Corporation (CSC), to purchase material. Yesterday, the certificate of incorporation for ABC, Inc., was filed with the Commerce Industrial Service Portal. Which of the following statements is correct? (A) Ben is entitled to the reasonable value of his service as a promoter of ABC, Inc., and the contract he signed with CSC is binding on ABC, Inc. (B) Ben is entitled to the reasonable value of his service as a promoter of ABC, Inc., but the contract he signed with CSC is not binding on ABC, Inc. (C) Ben is not entitled to the reasonable value of his service as a promoter of ABC, Inc., but the contract he signed with CSC is binding on ABC, Inc. (D) Ben is not entitled to the reasonable value of his service as a promoter of ABC, Inc., and the contract he signed with CSC is not binding on ABC, Inc.

57 “Securities Law entitles the purchaser to sue the issuer, underwriter, certified public accountant and lawyer with respect to any material misstatements or omissions in the prospectus. However, except to the issuer, which has absolute liability for any material misstatements or omissions, Securities Law provides an affirmative defense for any other defendant who can demonstrate that he/she met a prescribed standard of diligence with respect to the information contained in the prospectus.” Based on the above description, what kind of liability the issuer has? (A) Strict liability (B) Negligent liability (C) No liability (D) Presumption of negligence

58 “Scienter” means a mental state consisting in an intent to deceive, manipulate, or defraud. In this sense, the term is used most often in the context of securities fraud. The court has held that to establish a claim for damages under securities fraud, a plaintiff must prove that the defendant acted with scienter. Based on the above, the word “scienter” can be BEST replaced by the word of______ .  (A) knowledge (B) causation (C) innocence (D) action

59 The regulations governing the relationship between the shareholders and directors of a company and required for the establishment of a company are: (A) Articles of Incorporation. (B) Regulations of Incorporation. (C) Laws of Incorporation. (D) Files of Incorporation.

60 Since intent is subjective and, without the cooperation of the accused, cannot be directly and objectively proven, the existence of the required intent may be inferred from surrounding circumstances such as the accused’s acts, conduct and words. An intent to kill may be proved by______ . Therefore, under the proper circumstances, an intent to kill may be inferred from the use of a deadly weapon directed at a vital part of the human body. (A) presumptive evidence (B) circumstantial evidence (C) corroborating evidence (D) testimonial evidence

61 Principal offenders were present at the commission of the criminal act.______ were not present at the commission of the offense but provided assistance to the principal offender either before or after a criminal offense had been committed. (A) Young offenders (B) Habitual offenders (C) Accessory offenders (D) Sexual offenders

62 Which of the following is not the duty of the people as stated in the R.O.C. Constitution? (A) The duty of paying taxes. (B) The duty of performing military services. (C) The duty of receiving citizen’s education. (D) The duty of reporting crimes.

63 Regarding the settlement proceeding under R.O.C. Code of Civil Procedure, which one of the following is incorrect? (A) When both parties are close to agreeing on a settlement, they may ask the court to provide a settlement proposal within the scope specified by the parties. (B) Where settlement is reached, a settlement transcript shall be made in writing. (C) The court may seek settlement at any time irrespective of the phase of the proceeding reached. (D) A final settlement shall not have the same effect as a final judgment, which means the settlement has no binding effect.

114年 - 114-1 司法官特種考試_三等_司法官及律師、專技高考_律師_各類科：綜合法學(二)（公司法、保險法、票據法、證券交易法、強制執行法）#129331

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113年 - 113 司法官特種考試_三等_司法官及律師、專技高考_律師_各類科：綜合法學(二)（公司法、保險法、票據法、證券交易法、強制執行法、法學英文）#121841

112年 - 112-1 司法官特種考試_三等_司法官及律師、專技高考_律師_各類科：綜合法學(二)（公司法、保險法、票據法、證券交易法、強制執行法、法學英文）#116029

111年 - 111-1 司法官特種考試_三等_司法官及律師、專技高考_律師_各類科：綜合法學(二)（公司法、保險法、票據法、證券交易法、強制執行法、法學英文）#110077

110年 - 110 司法官特種考試_三等_司法官及律師、專技高考_律師_各類科：綜合法學(二)（公司法、保險法、票據法、證券交易法、強制執行法、法學英文）#102880

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108年 - 108-1 司法官、專技高考特種考試_三等_各類科、律師：綜合法學（二）（公司法、保險法、票據法、證券交易法、強制執行法、法學英文）#78420

107年 - 107-1 司法官、專技高考特種考試_三等_各類科、律師：綜合法學（二）（公司法、保險法、票據法、證券交易法、強制執行法、法學英文）#74738

106年 - 106-1 司法官、專技高考特種考試_三等_各類科、律師：綜合法學（二）（公司法、保險法、票據法、證券交易法、強制執行法、法學英文）#64047