金融監督管理委員會民國114年1月24日金管證券字第1140380404號

預告「證券商設置標準」第3條、第11條、「證券商管理規則」第45條之1、「證券商負責人與業務人員管理規則」第21條之1修正草案、「證券交易法第十五條第二款有關證券商得經營業務範圍」草案

FINANCIAL SUPERVISORY COMMISSION Notice is hereby given, to commence a period of public comments for the draft amendment on Article 3 and 11 of "Standards Governing the Establishment of Securities Firms", Article 45-1 of "Regulations Governing Securities Firms" and Article 21-1 of "Regulations Governing Responsible Persons and Associated Persons of Securities Firms"; for drafting "Rules on the Types of Business Specified in Subparagraph 2 of Article 15 of the Securities and Exchange Act That Securities Firms Are Authorized to Operate"