Capital Market 2

1-The status of a security is indicated in the screen market by price. „P‟ indicates that the security is in the _____________ & „S‟ indicates that the security is_____________.
A. Pre-open phase, suspended.
B. Purchased, sold.
C. Profit, special.
D. Purchased, special term order

2-Who settles the trades executed at NSE?
A. NSDL
B. Clearing members
C. SEBI
D. NSCCL 

3-In the current scenario, which system is followed for settlement of cash market transaction?
A. T+1
B. T+5
C. T+2 
D. T day

4-.Who provides for electronic transfer of securities in the stock market?
A. RBI
B. Depositories 
C. Clearing Agencies
D. SEBI

5-Name the depository from the list given below.
A. NSE
B. NSCCL
C. NSDL 
D. RBI

6-Who moves the securities available in the account of the members to the NSCCL?
A. Clearing banks
B. Custodians
C. Clearing members
D. Depositories 

7-Which agency links Clearing Members & NSCCL for funds settlement?
A. Clearing Banks 
B. Depositories 
C.Clearing members
D.NSE

8-The Board shall take into account for considering the grant of a certificate for all matters relating /dealing in securities & in particular the following , namely, whether the stock broker:
A. Is eligible to be admitted as a member of a stock exchange
B. Has the necessary infrastructure like adequate office space, manpower etc.
C. Is subjected to disciplinary proceedings under the rules, regulations & bye-laws of a stock exchange with respect to his business as a stock-broker
D. All of the above 

9-An applicant, whose registration certificate has been refused by the Board, may reapply within a period of _________ from the date of receipt of such intimation, to the board for reconsideration of its decision.
A. 30 days 
B. one month
C. 15 days
D. 6 months

10-Name the special category of members admitted by NSCCL as clearing members.
A. Supporting clearing member
B. Custodians
C. Registered clearing member
D. Professional clearing member 

Capital Market 1

1-The first ticker window, by default, displays all the _____________ traded in the future & option segment. 

A. Derivatives contract. 

B. Nifty securities. 

C. Mid cap Securities. 

D. Nifty junior stocks. 

2-The ticker selection facility is confined to the securities of ______________ segment only. 

A. Derivative market. 

B. Capital market. 

C. Commodity market. 

D. Auction market. 

3-The message window enables the user to view messages broadcast by the__________ such as corporate actions, any market news etc. 

A. Exchange. 

B. RBI. 

C. GOVT. 

D. CRISIL 

4-The one line market information displayed in the market watch screen is for current best price orders available in the _______________ . 

A. Odd lot book. 

B. RETDEBT book. 

C. Regular lot book. 

D. Auction order book 

5-One of the best features of NEAT software is that the user has the facility to set up___ securities in the market watch. 

A. 100 

B. 150 

C. 500 

D. 400 

6-The purpose of market by price is to enable the user to view ________________ in the market aggregated at each price & is displayed in order of best prices. 

A. Outstanding orders. 

B. Outstanding auctions. 

C. Outstanding buyers. 

D. Outstanding sellers 

7-Bank Guarantee  can be submitted as .....to NSCCL by trading member

A.warrenty 

B.surety 

C.Additional base capital 

D.None of these

8-A depository is an entity where securities of the investors are held in   

A.Physical form 

B.Electronic and physical 

C.Electronic form 

D.None of the above 

9-Member wise margin  payment  status report is a 

A.weekly 

B.daily 

C.monthly

D.None of the above

10.If .....attempts are made by user to log on with an incorrect password then the user is automatically disabled 

A.5

B.4

C.3

D.2