SEO/Onilne Marketing MCQ Quiz Hub

Capital Market Multiple Choice Questions

Choose a topic to test your knowledge and improve your SEO/Onilne Marketing skills

1. 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 _______.




2. Two sell orders enter into the system and are unmatched: 1) 200 shares @ Rs. 72.75 at time 10:30 a.m. 2) 300 shares @ Rs. 72.70 at time at 10:31 a.m. Which order will get a priority for getting executed.




3. If a client buys shares worth Rs. 5,25,000 and sells shares worth Rs. 4,75,000 through a broker, then the maximum brokerage payable to the broker is ___.




4. Mr. Shah has decided to deposit Rs. 300,000 in the bank annually. If the bank has a policy of continuous compounding and the prevailing interest rate is 12% how much would his deposit grow up to in 3 years?




5. What does ‘AUI’ indicate as a message code in ‘Full Message window’ in the NEAT system?




6. Institutional transactions are identified by the use of the ________ at the time of order entry.




7. What does ‘OM’ indicate as an activity in the ‘Activity Log’ screen in the NEAT system?




8. At the end of the trade cycle, the trades are _______ to determine the obligations of the trading members to deliver securities/funds as per the settlement schedule.




9. ______ is a volume related order condition.




10. 100 shares of Reliance Ltd. are purchased on Monday. Provided there are no holidays in between, the settlement should take place on _____ _?




11. A trading member on the NSE has a branch order value of Rs. 950 lakh for his Mumbai branch and Rs. 600 lakh for Delhi branch. Mumbai branch has two users ‘X’ and ‘Y’ with user order value limits of Rs. 300 lakh and Rs. 400 lakh respectively. Delhi branch has one user ‘Z’ with user order value limit of Rs. 550 lakh. The member applies for a new user at Mumbai. What is the maximum user order value that can be set for the new user?




12. A trading member on the NSE has set the branch order value unlimited for his Chennai branch and Rs. 800 lakh for Kolkata branch. Chennai branch has two users ‘X’ and ‘Y’ with user order limits of Rs. 550 lakh and Rs. 500 lakh respectively. Kolkata branch has one user ‘Z’ with the user order value limit of Rs. 550 lakh. The member applies for a new user at Kolkata. What is the maximum user order value that can be set for the new user?




13. In case the security has not been traded on a particular day, ________ at the NSE is to be considered as the closing price.?




14. Mr. Desai has decided to deposit Rs. 200,000 in the bank annually. If the bank has a policy of continuous compounding and the prevailing interest rate is 8% how much would his deposit grow up to in 2 years?




15. One of the Custodial Trade Reports is the ___________




16. No payment for transaction in which a Trading Member is taking a position as a principal will be allowed to be made from the client’s account?




17. Statement 1: An active buy order matches with the best passive sell order if the price of the passive sell order is less than or equal to the price of the active buy order. Statement 2 : An passive buy order matches with the best active sell order if the price of the passive buy order is less than or equal to the price of the active sell order. Which of the above statements is True?




18. NSCCL becomes the legal counterparty to the net settlement obligations of every member. This principle is called ______.




19. The Message Window in the NEAT system allows a user to view messages broadcast by the Exchange such as __________




20. ______ can be traded in the Limited Physical Market?




21. For liquid securities, the VaR margins are based on the ________ of the Security.




22. Upfront margin rates applicable for all securities in Trade for Trade – segment (TT) is ______.




23. In NSCCL, a _______ is a clearing member but not a trading member.




24. Securities and funds pay out takes place on ______ working days after the trade date




25. Security sigma means the _______ of the security computed as at the end of the previous trading day.




26. The branch manager receives End of Day reports for _________.




27. The pre-set Market price protection percentage is by default set to _____ of the LTP




28. Auction is held in PQR for 10,000 shares. The closing price of PQR on that day was Rs.259.00 The last traded price of PQR on that day was Rs.254.0 The close price of PQR last Friday was Rs.255.00 The previous day’s close price of PQR was Rs.264.00 What is the maximum allowable price at which the member can put a sell order in the auction for PQR? (Assume Price Band applicable for Auction market is +/ – 20% )




29. Securities Delivered Statement: This statement provides information on ______?




30. The orders with ______ attribute disclose only a part of the total order quantity to the market.




31. Surveillance and Control (SURCON) is that period after market close during which, the users have _______ only.




32. The stop loss orders are prioritized in the stop loss book with the __________________




33. What does ‘P’ indicate as a status in the ‘Auction Inquiry’ screen in the NEAT system?




34. ___________ assumes the counterparty risk of each member and guarantees financial settlement.




35. ___________ assumes the counterparty risk of each member and guarantees financial settlement.




36. Rahul is supposed to receive Rs. 1,00,000 from Chandra after 3 years. If the interest rate is 8%, what is the present value of the amount due from Chandra?




37. When the user invokes the order entry screen, the field(s) that are (is) taken as default are (is) __________.




38. Where a recognized stock exchange acting in pursuance of any power given to it by its bye-laws, refuses to list the securities of any company, the company shall be entitled to be furnished with reasons for such refusal and the company may appeal to the _________ against such refusal.




39. Fixed Deposit Receipts (FDRs) issued by approved banks can be submitted as a(n) ___________ to NSCCL by trading members.




40. NSE has implemented ______________ in compulsory rolling settlement with effect from July 02, 2001 .




41. Which of the following do not issue securities in the primary market?




42. A trading member shall be deemed guilty of un-businesslike conduct for any of the following or similar acts or omissions namely:




43. A trading member shall be deemed guilty of misconduct if he fails to _______




44. Penalties are charged to members for _____________




45. The trading members can participate in the Exchange initiated auctions by entering orders as a ______.




46. The following facility allows the user to have a drop-down list of client codes at the accounting field:




47. Two buy orders enter into the system and are unmatched: 1) 200 shares @ Rs. 72.75 at time 10:30 a.m. 2) 300 shares @ Rs. 72.80 at a time at 10:31 a.m. Which order will get a priority for getting executed.




48. Two buy orders enter into the system and are unmatched: 1) 200 shares @ Rs. 72.75 at time 10:30 a.m. 2) 300 shares @ Rs. 72.75 at a time at 10:31 a.m. Which order will get a priority for getting executed.




49. A preliminary prospectus is known as a




50. Letter stock is