Sample Questions on Capital Market and Depository Module
(CAPITAL MARKET DEALER’S MODULE) Section 1 Marks 1 × 22 = 22 Choose the right answer from the alternatives given: 1. Which are the exclusive centers for trading of securities? a) Broker Houses b) Capital markets c) Stock markets d) All of the above 2. Which slip is generated in case a trade is executed after modification? a) Buy/sell order modification along with trade b) Sell order modification c) Buy trade d) Buy order and buy modification along with trade 3. In Capital Market System’ of NSE special term attributes are available in a) Limited Physical Market b) ALBM ( Automated Lending and Borrowing Mechanism) c) Normal Market d) Auction Market 4. NSCCL determines the obligation of a) Counter parties b) Custodians c) Solicitators d) All 5. In Auction market what does ‘F’ indicates? a) Auction is finished b) System is matching the orders c) Auction is over d) Auction is deleted 6. What will be the permitted lot size in the RETDEBT market? a) 10 b) 1 c) 100 d) 1000
7. What will be the net worth of corporate in CM and F&O segments? a) 30 lakh b) 100 lakh c) 125 lakh d) 200 lakh
Page 1 of 5
P.T.O
8. With how many clients sub broker can work? a) 500 b) 1000 c) 5000 d) unlimited
9. SEBI head office is located at a) Mumbai b) Delhi c) Kolkatta d) Bangalore
10. User wants to change the colour of a particular screen. He has to select any one of the _________ colour buttons. a) 10 b) 15 c) 16 d) 20
11. Who does the auction of Government Securities in India? a) RBI b) SEBI c) NSCCL d) Depository 12. During open phase following activities are allowed? a) Trading b) Modification c) Cancellation d) All of the above 13. In Limited Physical Market segment how many maximum no. of shares in a scrip allowed for trading a) 500 b) 1000 c) 200 d) No limitation 14. If you are not using the NEAT for the first time then by default what indicates on the screen. a) User ID, Password b) Trading member ID, password c) Password, user ID, trading member ID d) user ID, trading member ID 15. What does X* indicate in the market watch window? a) One or more benefit b) Ex interest c) Ex right d) Ex bonus
Page 2 of 5
P.T.O
16. Which of them is not true for Regular Lot Book? a) Order comes in the market and if it does not find match, it will cancel immediately. b) This type of order has no special condition associated with it. c) If it does not find a match at the time it enters, the order is stacked as a passive order. d) By default regular lot book appears in the order entry screen in the normal market.
17. Mr. Desai has decided to deposit Rs. 100,000 in the bank annually. If the bank has a policy of continuous compounding and the prevailing interest rate is 11.5% how much would his deposit grow upto in 2 years? a) 166,141.11 b) 171,507.54 c) 185,570.7 d) 224,871.26 18. What is the present value of Rs. 3000 receivable after two years at a discount rate of 5% under continuous discounting? a) Rs. 3150 b) Rs. 2714.51 c) Rs. 2850 d) Rs. 2970 19. ___________ means a member of a clearing corporation or clearing house of the derivatives exchange or derivatives segment of a stock exchange who may clear & settle transactions on its own account or on account of its clients only. a) sole member. b) Self clearing member. c) Trading member. d) Self trading member. State the following questions: True or False: 20. NEAT supports an order driven market. 21. NSCCL becomes the legal counterparty to the net settlement obligations of every member. 22. MTM losses for settlements are computed at client’s level.
Section 2 Marks 4 × 3 = 12 Attempt any three. Each question carries four marks.
23. Explain the daily margins payable by investors. 24. What is an Investor Grievance Cell? Explain the arbitration procedure. 25. Explain the powers of SEBI. Give its constitution and functions. 26. Explain Index‐based market‐wide circuit breakers applied by SEBI on SENSEX and NIFTY. 27. What are the two market segments in the securities market? Explain them.
Page 3 of 5
P.T.O
PART III (DEPOSITORY) Section 3 Marks 1 × 14 = 14 28. Can an Investor dematerialise odd lot shares? a) Yes if DP agrees b) Yes, always c) No d) Yes if issuer and its R and T agents agrees. 29. To dematerialize Govt. Securities , NSDL has to take prior approval of a) SEBI and RBI both b) SEBI c) RBI d) Issuing Govt. authority 30. In the ISIN the first two letters stands for which of the following? a) The term of security b) Name of the company c) The country code d) The type of the security 31. Who declares the corporate actions? a) companies b) Registrars of the company c) Merchant bankers d) Sebi 32. Can an investor open more than one Demat A/c with the same DP? a) Yes b) No c) Depends upon the rules of the DP 33. Is it compulsory to keep minimum balance in the Demat A/c? a) No b) Yes c) Depends upon the value of the equities d) Some money should be deposited in that account 34. Do the pledgee gets all the Corporate Benefits within the agreement term? a) Yes if the pledgor agrees b) No c) Yes he has all the rights to get them directly into his account d) Yes it depends upon which corporate action it is. 35. In the Trade for Trade segment can an investor do the intra day transaction? a) Yes always b) The investor should have shares earlier in his A/c or with the broker on his behalf c) Intraday transactions are banned in India Page 4 of 5
P.T.O
36. Transfer Deed is used for getting the physical shares transferred on other persons name as physical certificates only. a) Yes b) no c) That is used for getting the shares demat only 37. Which one of the following is cash corporate action? a) Right issue b) Dividends c) Bonus d) Split 38. In the case of death of any one of the joint holders, all the holdings will be transferred in the nominees account a) Yes b) If all other holders permit c) No holdings will be given to other joint holders 39. Brokers and DP both are the agents of Stock exchanges an investor can open trading and demat account with any one of them a) No they both provides different services b) Yes investor can open both accounts with any one of them c) Broker provides demat services and DP provides trading 40. Does DP charge any brokerage from its clients a) Yes as per transaction b) No c) DP charge only for demat services 41. As per SEBI requirements, a broker has to deliver shares to the buying investor a) within 5 working days of pay‐out b) within 36 hours of pay‐out c) within 48 hours of pay‐out d) within 24 hours of pay‐out Section 4 Marks 3 × 2 = 6 Attempt any two questions. Each question carries 3 marks. 42. Write a short note on corporate actions. 43. What happens when an investor sells the stock without having it in his a/c or without purchasing & what does it called? 44. Make a note on difference & similarities between banks & depository participants. 45. Distinguish between primary market and secondary market.
Sample Questions on Capital Market and Depository Module - ICoFP
immediately. b) This type of order has no special condition associated with it. c) If it does not find a match at the time it enters, the order is stacked as a passive.
1. Which are the exclusive centers for trading of securities? a) Broker Houses b) Capital markets c) Stock markets d) All of the above. 2. Which slip is generated ...
Page 1 of 2. Interview Tips. Prior to the Interview Day: Research the company, their mission, and the job. If you are able to quote the mission or use their 'lingo', ...
What are deterministic and non-deterministic computers/Turing Machines? What is the type of our traditional computersâdeterministic or non-deterministic? 2.
May 10, 2014 - crisis of 2008 than firms with access to public debt market. Keywords: ..... firms, but the interpretation is hard to be made. .... 14On the other hand, in the study of the factors that drive the credit cycle, Mian and Sfui (2010) show
Select the best out of the five answer. choices given to make the passage complete and coherent. 1). With the taxman putting out a request for private sector ...
Sample Questions-2014. SUB: Digital Electronics & Logic Design Sub Code: EC402 Sem: 4 th. STREAM: ECE. Group A. 1. (Answer any ten). (i) Decimal equivalent of binary number1111.01 is. (a) 14.25 (b) 15.25 (c)15.01 (d) 7.25. (ii) Which of the following
Nov 8, 2008 - The Fortran code solving the benchmark model is available from the ..... (2006), âApproximate Aggregation,â manuscript, University of Virginia.
2. J.H. Pyun, J. An / Journal of International Money and Finance â¡â¡ (2016) â¡â¡ââ¡â¡ ..... Trend of real GDP growth rates and business cycle synchronization.
A call center agent has a list of 305 phone numbers of people in alphabetic order of names (but she does not have any of the names). She needs to quickly ...
A call center agent has a list of 305 phone numbers of people in alphabetic order of names (but ... Farooq, and Govind all sit at seats at these picnic tables.
Page 3 of 10. Verbal Sample Questions [questionpaperz.in].pdf. Verbal Sample Questions [questionpaperz.in].pdf. Open. Extract. Open with. Sign In. Main menu.
1 In fact, these authors find a larger premium for vocational-education ... 2 Even the specific impact of exporting on establishment human capital is not well .... market. Mean years of schooling. Fraction of employ ees with college degree.
Human Values and Professional Ethichs Sample Questions (Telugu).pdf. Human Values and Professional Ethichs Sample Questions (Telugu).pdf. Open. Extract.
Page 1 of 1. File: Capital market pdf file. Download now. Click here if your download doesn't start automatically. Page 1 of 1. capital market pdf file.
There was a problem previewing this document. Retrying... Download. Connect more apps... Try one of the apps below to open or edit this item. capital market ...
... as LexisNexis and Dialog? Tell us about your philosophy of collection development? How do you approach the subject of Wikipedia when giving bibliographic ...
... loading more pages. Retrying... Whoops! There was a problem previewing this document. Retrying... Download. Connect more apps... Try one of the apps below to open or edit this item. Main menu. Whoops! There was a problem previewing TSI Elementary
Circle with a radius of 6 inches. 8. 9. Square with a diagonal of 5. â¬. 6 . 9. 10. White area inside the triangle. 10. 11. Shaded area inside the circle. 11. 12. Volume ...
Page 2 of 4. Name Date. page 1 of 2. TSI Assessment. Geometry and Measurement Sample Questions. Answer the following without the use of a calculator. 1.
1 Effect of Capital Controls on Firms' Dollar Liabilities. ⢠Context. ⢠Mechanism & Theoretical Predictions. ⢠Empirical Strategy. ⢠Results at Bank Level and Validity. 2 Total effect on currency composition of firm borrowing. 3 Effect on Emp