Stock Market

PRACTICE QUESTIONS CAPITAL MARKET (DEALERS) MODULE

Q:1

A trading member shall be deemed guilty of misconduct if he fails to _______ [ 1 Mark ] (a) submit its audited accounts to the Exchange (b) pay its subscription, fees, arbitration charges or any other money which may be due to the exchange (c) to submit or makes any false or misleading statement in its clearing forms (d) All of the above

Q:2

The Message Window in the NEAT system allows a user to view messages broadcast by the Exchange such as, __________ [1 Mark ] (a) (b) (c) (d) corporate actions market news auctions related information All of the above

Q:3

100 share of Reliance Ltd. are purchased on Monday. Provided there are no holidays in between, settlement should take place on ______ ? [ 2 Marks ] (a) Wednesday (T+2) (b) Tuesday (T+1) (c) Thursday (T+3) (d) Friday (T+4)

Q:4.

______ is a volume related order condition. (a) An order with a limit price condition only (b) An order with a stop loss only (c) An order with a Disclosed Quantity (DQ) (d) None of the above

[ 2 Marks ]

Q:5 The branch manager receives End of Day reports for _________. [ 2 Marks ] (a) (b) (c) (d) his own orders only all dealers under the trading member all the dealers under that branch any authorized user

Q:6 The following facility allows the user to have a drop down list of client codes at the account field: [ 2 Marks ] (a) Client List Master (b) Client Database Master

(c) Client Code Master (d) Client Master Maintenance

Q:7 When the user invokes the order entry screen, the field(s) that are (is) taken as default are (is) __________. [ 2 Marks ] (a) (b) (c) (d) Symbol Series Book Type All of the above

Q:8 In case the security has not been traded on a particular day, ________ at the NSE is to be considered as the closing price.? [ 2 Marks ] (a) (b) (c) (d) the average closing price for the last one week the theoretical closing price the latest available closing price none of the above

Q:9...