Offer! Get 20% Discount on checkout!

Preparing

NCFM Capital Market (Dealers) Module

 Mock Test 01

NCFM Capital Market (Dealers) Module

Mock Test 01

NCFM Capital Market (Dealers) Module

 Mock Test 01
Time Left :
    Q 1. Index based market wide circuit breakers are applied at
    Report
    Q 2. Which account is used by the clearing members to interface with his client ?
    Report
    Q 3. In case the security has not been traded on a particular day,______at the NSE is to be considered as the closing price
    Report
    Q 4. On the Securities______________Delivering members are required to bring in securities to NSCCL.
    Report
    Q 5. Which of the following is not a condition with regard to quantity freeze parameters ( A) 0.5% of issue size of the security ( B) Value of the order is around 2.5 Crores ( C) A global alert quantity limit of more than 25000 irrespective of issue size of the security.
    Report
    Q 6. NSCCL becomes the legal counterparty to the net settlement obligation of every member. This principle is called _________________
    Report
    Q 7. If a client has sold 10000 shares of a scrip @ Rs. 50, what is the maximum brokerage that the client can be charged ?
    Report
    Q 8. In Auction market the Trading member can enter order for a security in which initiator order is entered against him
    Report
    Q 9. The facility to set Branch Order Value Limits and User Order Value Limits is available to_____________
    Report
    Q 10. Securities Name, Book Closure Date, Record Date, Tick Size, Rating and Remarks are displayed in_______
    Report
    Q 11. A dealer can________________
    Report
    Q 12. Dividend declared by a company shall be paid by it within __________ days from the date of declaration.
    Report
    Q 13. The purpose of previous trades window is to provide security-wise information to ______ for own trades.
    Report
    Q 14. If the amount entered is not sufficient to buy / sell a compete basket _________ Will be displayed
    Report
    Q 15. If the Current Ratio is 2:1 and Current Liabilities are Rs. 40000; Current Assets would be
    Report
    Q 16. The initial token payment is called margin
    Report
    Q 17. What happens if there is a 20% movement on the index ?
    Report
    Q 18. Bad deliveries are required to be reported to the clearing house within ______ days from the receipt of documents. The delivering member is required to rectify these within ???.....days.
    Report
    Q 19. Who regulates securities market in India?
    Report
    Q 20. Members can submit which of the following as additional base capital to NSCCL.
    Report
    Q 21. A depository participant________
    Report
    Q 22. In case of a 10% movement of Nifty there would be a one hour market halt if the movement takes place before_______
    Report
    Q 23. The Balance Sheet information pertaining to___________
    Report
    Q 24. Penalty points are charged to members for______
    Report
    Q 25. Who is a DP
    Report
    Q 26. India VIX is lunched by NSE in ________
    Report
    Q 27. Rahul is supposed to receive Rs 100000 from Chandra after 3 years If the interest rate is 8% What is the present value of the amount due from Chandra
    Report
    Q 28. The Index based market wide circuit breaker systems apply at 3 stages of the index movement, either way for example at _______________%.
    Report
    Q 29. Every CM is required to open a
    Report
    Q 30. allows the user to disclose only a portion of the order quantity to the market
    Report
    Q 31. Un-triggered Stop Loss order will be displayed on the MBP screen.
    Report
    Q 32. The period after market close during which the users have inquiry access only is
    Report
    Q 33. The one line market information displayed in the market watch screen is for current best price orders available in the ________
    Report
    Q 34. In T+2 rolling settlement at NSE, custodial confirmation takes place on______
    Report
    Q 35. Penalties are charged to members for ____________
    Report
    Q 36. In the auction market, auctions are initiated by the ________ on behalf of the trading members for settlement related reasons.
    Report
    Q 37. ISIN for all securities, expect government ones, is allotted by :
    Report
    Q 38. The Capital Market system has four types of market
    Report
    Q 39. Who provides for electronic transfer of securities in the stock market
    Report
    Q 40. The purpose of which window is to provide security-wise information to users for own trades ?
    Report
    Q 41. DPG should hold not 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
    Report
    Q 42. What is the name of the company set up by NSE in order to promote dematerialization of securities?
    Report
    Q 43. Which of the following statements are false ? (i) When any order enters the trading system. It is an active order, ( ii) If it does not find a match, the order becomes a passive order & goes & sits in the order book. (iii) An active order tries to find a match on the order side of the books. ( iv) If an active order finds a match a trade is generated.
    Report
    Q 44. On which day and at what time, trade details are available for verification ?
    Report
    Q 45. SEBI has prescribed the code of conduct for the sub-brokers in______
    Report
    Q 46. The________measures the activity, or liquidity of a firms inventory ?
    Report
    Q 47. Contract note is signed by the _______.
    Report
    Q 48. Bank Guarantees can be submitted as _________ to NSCCL by trading members
    Report
    Q 49. An order that has no special condition associated with it is a _______________
    Report
    Q 50. ______are orders for which price is specified as MKT at the time the order is entered
    Report
    Q 51. (A) No Price Bands are applicable on scrips on which derivatives products are available or scrips included in indices on which derivatives products are available ( B) in order to prevent members from entering orders at non genuine prices in such securities, the exchange has fixed operating range of 20% for such securities.
    Report
    Q 52. If the Current Ratio is 1:1 and Current Assets are Rs. 20,000. Current Liabilities be :
    Report
    Q 53. Which of the following orders can be viewed in the MBP ?
    Report
    Q 54. If a client buys shares worth Rs. 1,00,000 and sells shares worth Rs. 1,00,000 through a stock broker, then the maximum brokerage payable is_____________
    Report
    Q 55. __________Is order cancellation and order modification allowed for orders entered in the retail debt market segment
    Report
    Q 56. what is Book type of Odd Lot Book
    Report
    Q 57. The trading member shall issue the contract notes and / or bills______
    Report
    Q 58. Under Companies Act, 1956, an issue is referred as public if it results in allotment or securities to _______investors
    Report
    Q 59. What does F indicate as a status in the Auction Inquiry screen in the NEAT system?
    Report
    Q 60. A is Previous Trade Window Trades are displayed in a Chronological Order. B the Activity Log gives details of all activities on chronological order.
    Report
    Q 61. The position can be squared off only for normal market.
    Report
    Q 62. Which is not correct in case of Order/ Trade slip?
    Report
    Q 63. Which screen allows continuous monitoring of the securities that are of specific interest to the user and display trading information for the selecting securities ?
    Report
    Q 64. ___________is a confirmation of trade(s) done on a particular day for and on behalf of a client
    Report
    Q 65. Who decided if a security is to be held in dematerialized or physical form ?
    Report
    Q 66. The ???...features allows a trading member to get instantaneous market information on any desired security.
    Report
    Q 67. If the Current Ratio is 2:1 and Current Liabilities are Rs. 40000; Current Assets would be
    Report
    Q 68. The book type for Negotiated Trade is
    Report
    Q 69. What does CB stand for?
    Report
    Q 70. The status of a security in indicated in the Market Inquiry Screen as P. This indicates that the security is in the____
    Report
    Q 71. On Line Backup is a facility that the user can invoke to take a backup of all order and trade related information for the user. True or False ?
    Report
    Q 72. Which of the following is true regarding the norm and procedure pertaining to surrender of membership ? (A) A trading member desirous of surrendering membership has to give its request in writing in a prescribed form (B) The original SEBI registration certificates for all trading segments have to he submitted by the trading member. (C) Sub-broker registration certificates have to be submitted (D) All leased lines and VSATs will not be dismantled for the surrendering trading member
    Report
    Q 73. A Broker shall not advertise his business publicity unless permitted by _____________________
    Report
    Q 74. ______is a facility, where the user can generate order file in a specific format outside the trading system and upload the file into NEAT system
    Report
    Q 75. Who initiate the Auction?
    Report
    Q 76. Bhavcopy files downloaded are ddmmxxxx.ms and ddmmxxxx.md. Where xxxx is the ____________________
    Report
    Q 77. All auction orders are entered into the ______________?
    Report
    Q 78. The equilibrium price is the price at which the ______ volume is executable.
    Report
    Q 79. The user is______________to modify any auction orders.
    Report
    Q 80. Penalties are charged to members for ______________
    Report
    Q 81. Margin in T+2 rolling settlement is computed _____________________
    Report
    Q 82. Who is insider ?
    Report
    Q 83. Who is the active participants in auction market?
    Report
    Q 84. Bank Guarantees can be submitted as _________ to NSCCL by trading members
    Report
    Q 85. What does S indicate as a status of security in Market by Price screen ?
    Report
    Q 86. At whose workstation are the reports downloaded once the market closes ?
    Report
    Q 87. NSCCL pays-out demat securities to the members in the ______ from where these are transferred to the _______ of the members.
    Report
    Q 88. ________has details about each trade that take place in the exchange
    Report
    Q 89. ____ is a party who enters on the opposite side as of the initiator
    Report
    Q 90. SCRA gives the Central Government jurisdiction over
    Report
    Q 91. The function of ascertaining pay-in or pay-in of brokers who have traded on the stock exchange is performed by
    Report
    Q 92. ___________consist of various books types wherein orders are segregated as Regular Lot Orders, Special Term Orders, Negotiated Trade Orders and Stop Loss Orders depending on their attributes.
    Report
    Q 93. The purpose of auction inquiry is to enable the users to view the auction activities for the ______________.
    Report
    Q 94. The password should contain minimum _____ characters and maximum _____ characters is length.
    Report
    Q 95. Which of the following Sell Order will get priority. (1) 1000 shares @ Rs. 87.52 at time 11:36 a.m. (2) 800 shares @ Rs. 87.50 at time 11:27 a.m. (3) 1800 shares @ Rs. 87.50 at time 11:28 a.m. (4) 1250 shares @ Rs. 87.52 at time 11:28 a.m.
    Report
    Q 96. ______report gives detail of the auctioned delivers for which the valuation price exceeds the auction traded price.
    Report
    Q 97. How many characters are there in ISIN ?
    Report
    Q 98. Capital gain can be defined as __________
    Report
    Q 99. The message window enables the user to view messages broadcast by the ______ such as corporate actions, any market news etc.
    Report
    Q 100. The_______shows all the activities that have been performed on any order belonging to that user
    Report
×

Guest User

Jump to Ques.
  • 1
  • 2
  • 3
  • 4
  • 5
  • 6
  • 7
  • 8
  • 9
  • 10
  • 11
  • 12
  • 13
  • 14
  • 15
  • 16
  • 17
  • 18
  • 19
  • 20
  • 21
  • 22
  • 23
  • 24
  • 25
  • 26
  • 27
  • 28
  • 29
  • 30
  • 31
  • 32
  • 33
  • 34
  • 35
  • 36
  • 37
  • 38
  • 39
  • 40
  • 41
  • 42
  • 43
  • 44
  • 45
  • 46
  • 47
  • 48
  • 49
  • 50
  • 51
  • 52
  • 53
  • 54
  • 55
  • 56
  • 57
  • 58
  • 59
  • 60
  • 61
  • 62
  • 63
  • 64
  • 65
  • 66
  • 67
  • 68
  • 69
  • 70
  • 71
  • 72
  • 73
  • 74
  • 75
  • 76
  • 77
  • 78
  • 79
  • 80
  • 81
  • 82
  • 83
  • 84
  • 85
  • 86
  • 87
  • 88
  • 89
  • 90
  • 91
  • 92
  • 93
  • 94
  • 95
  • 96
  • 97
  • 98
  • 99
  • 100
  • 100 Un-Attempted
  • 0 Attempted