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- 1. Multiple Choice
Stock exchanges provide an opportunity to the investors to disinvest and invest. Identify the related function of the stock exchange.
Providing scope for speculation.
Providing liquidity and marketability to existing securities.
Pricing of security.
Pricing of security.
- 2. Multiple Choice
The process of holding shares in electronic form is known as
Demutualisation
Dematerialisation
Speculation
None of the above
- 3. Multiple Choice
One of the common irregularities noted by the Securities and Exchange Board of India during the inspection of a stock exchange was that it was dealing with unregistered sub-brokers. Identify the related function of Securities and Exchange Board of India
Regulatory function
Protective function
Developmental function
None of the above
- 4. Multiple Choice
It acts like a bank and keeps securities in electronic form on behalf of the investor,
Depository Participant
Depository
Stock exchange
Stock exchange
- 5. Multiple Choice
It is a number assigned to each transaction by the stock exchange and is printed on the contract note.
PAN number
Unique Order Code
Contract Note
None of the above
- 6. Multiple Choice
Identify the correct sequence of steps to be followed in the trading procedure at Stock Exchange
Opening a trading account and Demat account, Placing an order, Settlement of order, Execution of order
Settlement of order, Opening a trading account and Demat account, Placing an order, Execution of order
Opening a trading account and Demat account, Placing an order, Execution of order, Settlement of order
Placing an order, Opening a trading account and Demat account, Execution of order, Settlement of order
- 7. Multiple Choice
The mandatory detail that an investor has to provide to the broker at the time of opening a demat account is
The mandatory detail that an investor has to provide to the broker at the time of opening a demat account is
PAN number
Residential status (Indian/NRI)
Bank account details.
- 8. Multiple Choice
On this day, the exchange will deliver the share or make payment to the other broker,
Pay-in day
Pay-out day
Transaction day
None of the above
- 9. Multiple Choice
It is a legally enforceable document which is issued by a stock broker within 24 hours of the execution of a trade order.
PAN number
Unique Order Code
Contract Note
None of the above
- 10. Multiple Choice
When is a trade confirmation slip issued to the investor?
On placing an order
On execution of the order
On settlement of the order
None of the above
- 11. Multiple Choice
After the trade has been executed, the broker issues a Contract Note to the investor within
52 hours
24 hours
48 hours
12 hours
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