Q 1. ___________ occurs when the rules governing the securities industry are changed, giving rise to a potential loss.
Q 2. ______________ are bonds issued by Indian companies and subscribed to be a non-resident in foreign currency.
Q 3. _____________witness an abnormal price rise not commensurate with financial health and fundamentals like Earnings, Book value, Fixed assets, Net Worth, P/E multiple etc.
Q 4. __________is the process by which a company offers its shares to the public for sale for the first time.
Q 5. A regional stock exchange can also have nationwide terminals. State True or False.
Q 6. All Index futures contracts are cash settled. State whether True or False?
Q 7. At what periodic difference a broker has to settle the accounts of his clients at least once in a year?
Q 8. Both the parties can also seek to settle the matter outside the purview of which of the following?
(i) The Exchange
(ii) SEBI
(iii) The Investor Grievance forum
Q 9. Collateral limits once set are applicable to the trading members/custodial participants for that day, unless otherwise modified by clearing member.- State True or False ?
Q 10. Delivery of the underlying instrument or __________ occurs after Premature exercise and expiration.
Q 11. Full form of OFCs is ______________.
Q 12. If the trader purchases or sells at the best price available then that order is called ______________.
(i) Market Order
(ii) Limit Order
(iii) Stop Order
Q 13. In an IPO application, when an application is made in ASBA mode, the application money remains in the investor's account till finalization of basis of allotment in the issue. State True or False.
Q 14. In case of sale of securities, ______________ should be given to the DP, upon receipt of intimation of execution of trade from broker with whom he maintains the demat account.
Q 15. In the case a complaint is filed by an investor, the matter should be resolved at the branch level or the firm level depending upon the nature of the complaint. State True or False
Q 16. Investors can place order using an internet trading terminal or mobile phones. State True or False.
Q 17. MCX-SX Clearing Corporation Ltd.handles the Settlement on MSXI (formerly MCX) - State True or False ?
Q 18. On the basis of delivery out instructions, Securities are transferred from broker''s account to whom?
Q 19. Professional Clearing Members have the right only to clear trades. They do not have any kind of trading rights.- State True or False?
Q 20. SPAN evaluates the risk of a clients derivative portfolio and assesses a margin requirement. State True or False.
Q 21. STT rate for sale of a futures in securities is _____________.
Q 22. The Arbitration fee will be utilized to meet the fee payable to the arbitrators. State True or False.
Q 23. The ''Client wise funding report'' (monthly) is to be submitted to the National stock exchange_____________.
Q 24. The goal of a risk management system is to measure and manage a firm''s exposure to various risks identified as central to its operations.- State True or False ?
Q 25. The parties to arbitration must deposit an amount as prescribed by which of the following at the time of making arbitration reference?
(i) Stock Exchanges
(ii) RBI
(iii) Brokers
