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Q2. ……………. obligation the depositories to maintain ownership records of securities and effect changes in such
records electronically at the behest of the owner of the securities.
Q3. If a client has sold 10000 shares of a scrip @ Rs.50, what is the maximum brokerage that the client can be
charged?
a) The agent is not responsible to the principal for the acts of the sub-agent.
b) The sub-agent is not responsible for his acts to the principle except in case of fraud of willful wrong
c) All of the above
d) Only 2 is true.
Q5. When the issuer makes an issue of securities select group of persons not exceeding 49 then it is called as
Q6. NSCCL has put in place an online exposure surveillance alerts, which has been built in ,so that both the
member & NSCCL are alerted as per preset levels………..
a) Reaching 70%, 85%, 90%, 95%, 100% c) Reaching 50%, 55%, 65%, 75%, 85%
b) Reaching 60%, 75%, 80%, 85%, 90% d) Reaching 45%, 55%, 65%, 75%
Q7. Rs.100 lakh is the ………… for a corporate member in capital market and F&O segment of NSEIL?
Q8. Two buy orders enter into the system and are unmatched: 1) 200 shares @ Rs.72.75 at time 10:30 a.m. 2)
300 shares @ Rs.72.75 at time 10:31 a.m. Which order will get a priority for getting executed?
a) Order no.1 b) Order no.2 c) Both will have equal priority d) None
Q9. The depository transfers the securities from the pool account of members/custodians to the…………
Q11. When the user invokes the order entry screen, the field (s) that are (is) taken as default are (is)
a) A b) B c) C d) RD
Q13. An advertisement released by a reading member can contain a recommendation regarding purchase or sale
of any particular share or security of any company True or False?
a) TRUE b) FALSE
Q15. Promisory notes are identified the security code……..in ISIN number.
a) 4 b) 5 c) 6 d) 9
a) In ‘T+X’ rolling settlement, ‘T’ is the trade date and ‘X’ is the number of business days after trade date on
which settlement takes place.
b) NSE does not provide an option to settle trades in demat securities on rolling basis
c) For arriving at the settlement day, all intervening holidays such as bank holidays are included.
Q17. Is order cancellation and order modification allowed for orders entered in the retail debt market segment.
a) False b) True
Q18. The authorized person is not allowed to have trading relationship with the clients they introduced.
a) True b) False
Q20. Clearing and settlement of trades and risk management are central functions of NSCCL.
a) False b) True
Q21. What is the present value of Rs.100 payable 3 years hence, if the interest rate is 10% p.a?
Q22. A snap quote window of the NEAT screen displays only those securities which are already set up on the
market watch window?
a) True b) False
Q23. A registered sub-broker, holding registration granted by SEBI on the recommendation of a trading set up
on the market watch window?
Q24. The orders with…….attribute disclose only a part of the total order quantity to the market.
Q25. If a client buys shares worth rs.525000 and sells worth rs.475000 through a broker, then the maximum
brokerage payable to broker is……..
Q28. The current market price of a share is Rs.100. Its face value is Rs.10. A 100% dividend would mean a
dividend yield of……..
a) 0.07% per day b) 0.007% per day c) 0.17% per day d) 7% per day
Q31. The owner of securities intending to avail of depository services opens an account with a depository
through a………….
Q32. Find the value of Rs.50000 deposited for a period of 3 years at the end of the period when the interest is
10% and continuous compounding is done
Q33. The status of security in indicated in the market inquiry screen as ‘P’. This indicates that the security is in
the………..
Q35. No person shall be admitted as trading member of a recognized stock exchange if he has been adjusted
bankrupt or a receiver order in bankruptcy has been made against him or he has been proved to be insolvent
even though he has obtained his final discharge. True or false?
a) True b) False
Q36. Surveillance and control (SURCON) is that period after market close during which, the users have……….
Only.
Q37. Market movement screen cannot produce any movement chart for
Q39. DGP should hold less than ………….% of shares (in case it is not listed) in the trading member corporate at
the time of admission as well as subsequently at all points of time.
a) 41 b) 51 c) 50 d) 40
Q40. Which agency links clearing members & NSCCL for funds settlement?
Q41. A stock-broker shall not create false market either singly or in concert with others or indulge in any act
detrimental to the investor’s interest or which leads to interference with the fair and smooth functioning of the
market. True or False?
Q42. Which one the following is true about Block Trading session?
Q43. The…….. shows ll the activities that have been performed on any order belonging to that user.
Q44. Nifty index drops by 15% at 3:00 p.m. market will be halted……
a) By half an hour b) For remainder of the day c) For ten minutes d) For fifteen minutes
Q45. Which of the following is Not true about corporate securities market reforms?
a) The secondary market overcome the geographical barriers by moving to screen based trading
b) Counter-party risk is borne by investors
c) The trading cycle in the stock exchange follow rolling settlement
d) The practice of allocation of resources among different competing entities as well as its terms by a central
authority was discontinued
Q46. …………………..price is the price for orders after the orders get triggered from the stop loss book
a) Limit b) Trigger
Q48. The trading members can participant in the exchange initiated auctions by entering orders as a………
Q49. In case of a 10% movement of nifty there would be a one hour market half if the movement takes place
before………..
Q50. An Indian company or any other company which, in respect of its income liable to tax, has made prescribed
arrangements for declaration & payment of dividends within India is called as……………..
Q51. ABC Bank Ltd. Has a policy of continuous compounding of fixed assets. Abhishek has deposited Rs.60000 at
the interest rate of 12% for 3 years. How much would his deposit his grow up to at the end of the term?
Q53. On which day and at what time, trade details are available for verification?
Q54. No price bands are applicable on scrip’s on which derivatives products are available or scrip’s included on
which derivatives products are available.
a) The statement is correct b) The statement is false c) Price band is applicable for all securities
a) 0.5% issue size b) 25000 shares c) Rs.2.5 crores d) All of the above
Q56. The reference for arbitration should be field within ………months from the date when the dispute arose
between the paries.
a) 12 b) 6 c) 3 d) 1
Q57. In limited physical market, orders get matched when……….in the buy and sell order
Q59. What does “X” indicate as a status in the ‘Auction Inquiry’ in the NEAT system?
1. C 49. A
2. A 50. A
3. B 51. D
4. D 52. A
5. B 53. A
6. A 54. A
7. D 55. D
8. A 56. B
9. D 57. B
10. A 58. B
11. C 59. C
12. D 60. C
13. B
14. A
15. D
16. A
17. B
18. A
19. A
20. B
21. D
22. B
23. C
24. C
25. A
26. D
27. C
28. B
29. A
30. D
31. A
32. A
33. A
34. B
35. A
36. D
37. C
38. D
39. B
40. A
41. C
42. D
43. B
44. B
45. B
46. A
47. D
48. C