ncfm capital market (dealers) module demo questions

Top 10 NCFM Capital Market (Dealers) Module Demo

Questions

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Q.1. A registered stock broker can have a maximum of ______ clients.

A. As many as he wishesB. 500C. 1000D. 5000

Q.2. A trading member on the NSE, has a branch order value of Rs.950 lakh for his Mumbai Branch and Rs.600 lakh for his 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 limits of Rs.550. The member applies for a new user at Mumbai. What is the maximum user order value that can be set the new user?

A. Rs.150 lakhB. Rs.250 lakhC. Rs.100 lakhD. Any amount, as there is no restriction on User Order Value

Q.3. At 3.00 pm, the nifty index drops by 10% , the market will halt for _______ .

A. Half hourB. Fifteen MinutesC. Just 5 minutesD. The trading won't be halted

Q.4. How many depositories are there in India?

A. 1B. 2C. 5D. More than 100

Q.5. Members of NSE enjoy which of the following benefits?

A. Dealing with an professional body which follows strict standards for trading and settlement

B. Ability to provide a fair and transparent securities market to investors.

C. Access to a nationwide trading facility for equities, derivative etc.

D. All of the above

Q.6. Mr. Krishna buys shares worth Rs. 175000 and sells share worth Rs 125000, what is the maximum brokerage which can be charged to him?

A. 7500B. 5500C. 6500D. 4500

Q.7. The 8th and 9th character of ISIN is mentioned as 15, what does it stand for?

A. Certificate of DepositB. Unsecured DebenturesC. Deep Discount BondD. Pass through Certificate

Q.8. The defination of Turnover ratio is –

A. Market Capitalisation divided by turnoverB. Turnover divided by Nifty Market CapitalisationC. Turnover divided by GDPD. Turnover divided by Market Capitalisation

Q.9. The NEAT system of the National Stock Exchange does not offer _________.

A. Auction MarketB. Carry Forward MarketC. Limited Physical MarketD. Normal Market

Q.10. The public listed companies making IPO of any security for ______ more have to make the IPO only in dematerialised form.

A. Rs 10 croresB. Rs 50 croresC. Rs 100 croresD. Rs 250 crores

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