51) A trading member shall be deemed guilty of un-businesslike conduct for any of the following or similar acts or omissions namely:
A. if it transacts its own business or the business of its constituent in fictitious names
B. If it makes a fictitious transaction
C. circulates or causes to be circulated, any rumors;
D. all of the above
Ans: D
52) A trading member shall be deemed guilty of misconduct if he fails to _______
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
Ans: D
53) Penalties are charged to members for _____________
A. failure to fulfil their funds obligations
B. failure to fulfil their securities deliverable obligations
C. Margin Shortages
D. all of the above
Ans: D
54) The trading members can participate in the Exchange initiated auctions by entering orders as a ______.
A. participant
B. initiator
C. solicitor
D. none of the above
Ans: C
55) The following facility allows the user to have a drop down list of client codes at the account field:
A. Client List Master
B. Client Database Master
C. Client Code Master
D. Client Master Maintenance
Ans: D
56) One of the requirements for admission to membership on the NSE is to pass an on-line examination under NSE’s Certification in Financial Markets (NCFM).
A. True
B. False
Ans: A
57) 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 time 10:31 a.m. Which order will get a priority for getting executed.
A. Order no. 1.
B. Order no. 2
C. both will have equal priority
D. None
Ans: B
58) 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 time 10:31 a.m. Which order will get a priority for getting executed.
A. Order no. 1.
B. Order no. 2
C. both will have equal priority
D. none
Ans: A
59) An advertisement released by a trading member can contain a recommendation regarding purchase or sale of any particular share or security of any company. True or False?
A. True
B. False
Ans: B
60) A preliminary prospectus is known as a
A. golden parachute.
B. red herring.
C. blue sky.
D. green shoe.
Ans: B
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A. if it transacts its own business or the business of its constituent in fictitious names
B. If it makes a fictitious transaction
C. circulates or causes to be circulated, any rumors;
D. all of the above
Ans: D
52) A trading member shall be deemed guilty of misconduct if he fails to _______
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
Ans: D
53) Penalties are charged to members for _____________
A. failure to fulfil their funds obligations
B. failure to fulfil their securities deliverable obligations
C. Margin Shortages
D. all of the above
Ans: D
54) The trading members can participate in the Exchange initiated auctions by entering orders as a ______.
A. participant
B. initiator
C. solicitor
D. none of the above
Ans: C
55) The following facility allows the user to have a drop down list of client codes at the account field:
A. Client List Master
B. Client Database Master
C. Client Code Master
D. Client Master Maintenance
Ans: D
56) One of the requirements for admission to membership on the NSE is to pass an on-line examination under NSE’s Certification in Financial Markets (NCFM).
A. True
B. False
Ans: A
57) 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 time 10:31 a.m. Which order will get a priority for getting executed.
A. Order no. 1.
B. Order no. 2
C. both will have equal priority
D. None
Ans: B
58) 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 time 10:31 a.m. Which order will get a priority for getting executed.
A. Order no. 1.
B. Order no. 2
C. both will have equal priority
D. none
Ans: A
59) An advertisement released by a trading member can contain a recommendation regarding purchase or sale of any particular share or security of any company. True or False?
A. True
B. False
Ans: B
60) A preliminary prospectus is known as a
A. golden parachute.
B. red herring.
C. blue sky.
D. green shoe.
Ans: B
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