QUIZ START
#1. For the clients having outstanding obligations on the settlements date , the stock broker may retain the securities/meet obligations for next ________ trading days.
#2. Which of the following is true?
#3. Clearing members to take membership with the _________
#4. The settlement of derivative trades is done either on T+0 or on T+1 working day basis except final settlement in the currency derivatives segment which takes place on a T+2 basis.
#5. _________ is a process whereby a stock broker and custodian bring in money and/or securities to the clearing House
#6. What is the action taken when there is a failure on part of the broker to deliver the se-curities?
#7. Who are the non-members of the exchange present in the panel of arbitrators?
#8. Initial Margin is the margin levied by the exchange in the equity segment.
#9. Instruments used for raising in international markets are ________
#10. An Investor who has short-term financial need may choose to invest primarily in:
#11. Self auction, for internal shortages of securities, is the process followed by_______
#12. Proof of insurance cover has to be submitted by a broker to the exchange by ________
#13. Novation is carried out by ________
#14. Closing price for a futures contract shall be calculated on the basis of _______
#15. In Normal Settlement, Bad delivery reporting happens on_________
#16. Foreign Company can raise capital in India through _________
#17. If the claim is above Rs.25 Lakhs in an arbitration, then the deposit that the has to be paid if the claim is made within 6 months is __________
#18. The total exposure of the broker towards the margin trading facility should not exceed the borrowed funds and 25 percent of his net worth.
#19. The clearing members confirm their trades by _______ to the clearing corporation.
#20. The stock exchange has to ensure that the process of appointment of arbitrator(s) is completed within 30 days from the date of the receipts of application from the applicant
#21. The purchased securities will be credits in ________
#22. Units of a mutual fund can be purchased by investing a pre- determined amount periodically. This is called:
#23. Receipt accounts are used to transfer securities from pool accounts to clearing agency’s account
#24. The document that confirms a trade executed on the stock exchange is called
#25. Trade Enrichment can happen only after order matching.
#26. What should the clients do if he does not want to issue or get cheques for daily settlement of his contracts?
#27. If a public is heavily overly subscribed
#28. The Clearing bank credits the settlements accounts of the members maintained with the Bank after _______
#29. Which company was the first to raise equity through IDR ?
#30. Register of transaction the (Sauda book) of a stock broker has to be maintained for a period of_______ years as required by SC(R)R
Finish
Results
“Cheers to you for a job well done!”
Better Luck Next Time…
