41) What does 'P' indicate as a status in the 'Auction Inquiry' screen in the NEAT system?
A. Auction is pending and yet to begin
B. Auction is deleted.
C. There is no such status indicator as 'P' in the Auction Inquiry screen.
D. Auction is over.
Ans: A
42) ___________ assumes the counter party risk of each member and guarantees financial settlement.
A. SEBI
B. Central Depository Services Ltd. (CDSL)
C. The National Depository Services Ltd. (NSDL)
D. The National Securities Clearing Corporation Ltd. (NSCCL)
Ans: D
43) No person shall be admitted as trading member of a recognized stock exchange if he has been adjudged bankrupt or a receiver order in bankruptcy has been made against him or he has been proved to be insolvent even though he has obtained his final discharge. True or False?
A. True
B. False
Ans: A
44) 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?
A. 71,686.34
B. 79,383.22
C. 81,232.25
D. 91,444.9
Ans: B
45) When the user invokes the order entry screen, the field(s) that are (is) taken as default are (is) __________.
A. Symbol
B. Series
C. Book Type
D. All of the above
Ans: D
46) A stock-broker shall not encourage sales or purchases of securities with the sole object of generating brokerage or commission. Is the above statement True or False, under the Code of Conduct Guidelines prescribed under SEBI (Stock Brokers & Sub-brokers) Regulations, 1992.
A. True
B. False
Ans: A
47) 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.
A. SEBI
B. recognized stock exchange
C. Securities Appellate Tribunal (SAT)
D. High Court
Ans: C
48) Fixed Deposit Receipts (FDRs) issued by approved banks can be submitted as a(n) ___________ to NSCCL by trading members.
A. surety.
B. indemnity
C. warranty
D. additional base capital
Ans: D
49) NSE has implemented ______________ in compulsory rolling settlement with effect from July 02, 2001.
A. securities-based market-wide circuit breakers
B. index-based market-wide circuit breakers
C. market-wide based securities-wise circuit breakers
D. none of the above
Ans: B
50) Which of the following do not issue securities in the primary market?
A. FIIs
B. State Governments
C. Companies
D. None of the above
Ans: A
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A. Auction is pending and yet to begin
B. Auction is deleted.
C. There is no such status indicator as 'P' in the Auction Inquiry screen.
D. Auction is over.
Ans: A
42) ___________ assumes the counter party risk of each member and guarantees financial settlement.
A. SEBI
B. Central Depository Services Ltd. (CDSL)
C. The National Depository Services Ltd. (NSDL)
D. The National Securities Clearing Corporation Ltd. (NSCCL)
Ans: D
43) No person shall be admitted as trading member of a recognized stock exchange if he has been adjudged bankrupt or a receiver order in bankruptcy has been made against him or he has been proved to be insolvent even though he has obtained his final discharge. True or False?
A. True
B. False
Ans: A
44) 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?
A. 71,686.34
B. 79,383.22
C. 81,232.25
D. 91,444.9
Ans: B
45) When the user invokes the order entry screen, the field(s) that are (is) taken as default are (is) __________.
A. Symbol
B. Series
C. Book Type
D. All of the above
Ans: D
46) A stock-broker shall not encourage sales or purchases of securities with the sole object of generating brokerage or commission. Is the above statement True or False, under the Code of Conduct Guidelines prescribed under SEBI (Stock Brokers & Sub-brokers) Regulations, 1992.
A. True
B. False
Ans: A
47) 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.
A. SEBI
B. recognized stock exchange
C. Securities Appellate Tribunal (SAT)
D. High Court
Ans: C
48) Fixed Deposit Receipts (FDRs) issued by approved banks can be submitted as a(n) ___________ to NSCCL by trading members.
A. surety.
B. indemnity
C. warranty
D. additional base capital
Ans: D
49) NSE has implemented ______________ in compulsory rolling settlement with effect from July 02, 2001.
A. securities-based market-wide circuit breakers
B. index-based market-wide circuit breakers
C. market-wide based securities-wise circuit breakers
D. none of the above
Ans: B
50) Which of the following do not issue securities in the primary market?
A. FIIs
B. State Governments
C. Companies
D. None of the above
Ans: A
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