Q 1. Index based market wide circuit breakers are applied at
Q 2. Which account is used by the clearing members to interface with his client ?
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
Q 4. On the Securities______________Delivering members are required to bring in securities to NSCCL.
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.
Q 6. NSCCL becomes the legal counterparty to the net settlement obligation of every member. This principle is called _________________
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 ?
Q 8. In Auction market the Trading member can enter order for a security in which initiator order is entered against him
Q 9. The facility to set Branch Order Value Limits and User Order Value Limits is available to_____________
Q 10. Securities Name, Book Closure Date, Record Date, Tick Size, Rating and Remarks are displayed in_______
Q 11. A dealer can________________
Q 12. Dividend declared by a company shall be paid by it within __________ days from the date of declaration.
Q 13. The purpose of previous trades window is to provide security-wise information to ______ for own trades.
Q 14. If the amount entered is not sufficient to buy / sell a compete basket _________ Will be displayed
Q 15. If the Current Ratio is 2:1 and Current Liabilities are Rs. 40000; Current Assets would be
Q 16. The initial token payment is called margin
Q 17. What happens if there is a 20% movement on the index ?
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.
Q 19. Who regulates securities market in India?
Q 20. Members can submit which of the following as additional base capital to NSCCL.
Q 21. A depository participant________
Q 22. In case of a 10% movement of Nifty there would be a one hour market halt if the movement takes place before_______
Q 23. The Balance Sheet information pertaining to___________
Q 24. Penalty points are charged to members for______
Q 26. India VIX is lunched by NSE in ________
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
Q 28. The Index based market wide circuit breaker systems apply at 3 stages of the index movement, either way for example at _______________%.
Q 29. Every CM is required to open a
Q 30. allows the user to disclose only a portion of the order quantity to the market
Q 31. Un-triggered Stop Loss order will be displayed on the MBP screen.
Q 32. The period after market close during which the users have inquiry access only is
Q 33. The one line market information displayed in the market watch screen is for current best price orders available in the ________
Q 34. In T+2 rolling settlement at NSE, custodial confirmation takes place on______
Q 35. Penalties are charged to members for ____________
Q 36. In the auction market, auctions are initiated by the ________ on behalf of the trading members for settlement related reasons.
Q 37. ISIN for all securities, expect government ones, is allotted by :
Q 38. The Capital Market system has four types of market
Q 39. Who provides for electronic transfer of securities in the stock market
Q 40. The purpose of which window is to provide security-wise information to users for own trades ?
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
Q 42. What is the name of the company set up by NSE in order to promote dematerialization of securities?
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.
Q 44. On which day and at what time, trade details are available for verification ?
Q 45. SEBI has prescribed the code of conduct for the sub-brokers in______
Q 46. The________measures the activity, or liquidity of a firms inventory ?
Q 47. Contract note is signed by the _______.
Q 48. Bank Guarantees can be submitted as _________ to NSCCL by trading members
Q 49. An order that has no special condition associated with it is a _______________
Q 50. ______are orders for which price is specified as MKT at the time the order is entered
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.
Q 52. If the Current Ratio is 1:1 and Current Assets are Rs. 20,000. Current Liabilities be :
Q 53. Which of the following orders can be viewed in the MBP ?
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_____________
Q 55. __________Is order cancellation and order modification allowed for orders entered in the retail debt market segment
Q 56. what is Book type of Odd Lot Book
Q 57. The trading member shall issue the contract notes and / or bills______
Q 58. Under Companies Act, 1956, an issue is referred as public if it results in allotment or securities to _______investors
Q 59. What does F indicate as a status in the Auction Inquiry screen in the NEAT system?
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.
Q 61. The position can be squared off only for normal market.
Q 62. Which is not correct in case of Order/ Trade slip?
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 ?
Q 64. ___________is a confirmation of trade(s) done on a particular day for and on behalf of a client
Q 65. Who decided if a security is to be held in dematerialized or physical form ?
Q 66. The ???...features allows a trading member to get instantaneous market information on any desired security.
Q 67. If the Current Ratio is 2:1 and Current Liabilities are Rs. 40000; Current Assets would be
Q 68. The book type for Negotiated Trade is
Q 69. What does CB stand for?
Q 70. The status of a security in indicated in the Market Inquiry Screen as P. This indicates that the security is in the____
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 ?
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
Q 73. A Broker shall not advertise his business publicity unless permitted by _____________________
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
Q 75. Who initiate the Auction?
Q 76. Bhavcopy files downloaded are ddmmxxxx.ms and ddmmxxxx.md. Where xxxx is the ____________________
Q 77. All auction orders are entered into the ______________?
Q 78. The equilibrium price is the price at which the ______ volume is executable.
Q 79. The user is______________to modify any auction orders.
Q 80. Penalties are charged to members for ______________
Q 81. Margin in T+2 rolling settlement is computed _____________________
Q 83. Who is the active participants in auction market?
Q 84. Bank Guarantees can be submitted as _________ to NSCCL by trading members
Q 85. What does S indicate as a status of security in Market by Price screen ?
Q 86. At whose workstation are the reports downloaded once the market closes ?
Q 87. NSCCL pays-out demat securities to the members in the ______ from where these are transferred to the _______ of the members.
Q 88. ________has details about each trade that take place in the exchange
Q 89. ____ is a party who enters on the opposite side as of the initiator
Q 90. SCRA gives the Central Government jurisdiction over
Q 91. The function of ascertaining pay-in or pay-in of brokers who have traded on the stock exchange is performed by
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.
Q 93. The purpose of auction inquiry is to enable the users to view the auction activities for the ______________.
Q 94. The password should contain minimum _____ characters and maximum _____ characters is length.
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.
Q 96. ______report gives detail of the auctioned delivers for which the valuation price exceeds the auction traded price.
Q 97. How many characters are there in ISIN ?
Q 98. Capital gain can be defined as __________
Q 99. The message window enables the user to view messages broadcast by the ______ such as corporate actions, any market news etc.
Q 100. The_______shows all the activities that have been performed on any order belonging to that user
