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司法-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)題庫下載題庫

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62 “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.

答案：A
難度： 適中
1F
Wu Pei (2020/07/25)

公司公開販售有價證券應經登記，該登記20天後會自動生效，屆時公司可以公開販售。但主管機關在資料不正確、不完整時，有權延遲該販售之核准。基於上述，下列何者並非販售有價證券之步驟？

A與主管機關洽談販售的合約內容

2F
祝各位考生上岸 大一上 (2021/08/11)

“向公眾發行和出售其證券的公司必須向主管當局提交註冊聲明。 註冊聲明在向主管機關提交 20 天后自動生效，此時發行人可以自由向公眾出售註冊證券。 但是，如果註冊聲明表面上不完整或在任何重大方面不准確，主管當局有權延遲或暫停註冊聲明的有效性。”

根據以上描述，以下哪一項不屬於證券登記程序？

(A) 與主管當局討論發行條款。

(B) 準備發行人的註冊聲明。

(C) 向主管機關提交登記聲明。

(D) 在註冊聲明生效前等待一段時間。


62 “A corporation offering and selling i..-阿摩線上測驗