Monday, 31 August 2015

Top 100 Capital Marcket Objective Type Questions & Answers

1) If a client buys shares worth Rs. 1,00,000 and sells shares worth Rs. 1,00,000 through a stock-broker, then the maximum brokerage payable is _______.
  A. Rs. 4,000
  B. Rs. 5,000
  C. Rs. 2,000
  D. Rs. 6,000
Ans: B

2) Two sell orders enter into the system and are unmatched : 1) 200 shares @ Rs. 72.75 at time 10:30 a.m. 2) 300 shares @ Rs. 72.70 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

3) The Trading Members shall keep the dematerialized securities of Constituents in a separate beneficiary account distinct from the beneficiary account maintained for holding their own dematerialized securities. True or False?
  A. True
  B. False
Ans: A

4) If a client buys shares worth Rs. 5,25,000 and sells shares worth Rs. 4,75,000 through a broker, then the maximum brokerage payable to broker is ___.
  A. Rs. 25,000
  B. Rs. 15,000
  C. Rs. 10,000
  D. Rs. 20,000
Ans: A

5) On Line Backup is a facility that the user can invoke to take a backup of all order and trade related information for the user. True or False.
  A. True
  B. False
Ans: A

6) Mr. Shah has decided to deposit Rs. 300,000 in the bank annually. If the bank has a policy of continuous compounding and the prevailing interest rate is 12% how much would his deposit grow upto in 3 years?
  A. 1,234,146.15
  B. 1,113,502.54
  C. 1,085,123.70
  D. 1,083,467.63
Ans: D

7) What does ‘AUI’ indicate as a message code in 'Full Message window' in the NEAT system?
  A. Auction Initiation Messages
  B. Auction User Interface messages
  C. All messages related to user interface
  D. All messages related to Auctions
Ans: A

8) Institutional transactions are identified by the use of the ________ at the time of order entry.
  A. user code
  B. user id
  C. participant code
  D. client id
Ans: C

9) The NSCCL interposes itself as a central counterparty between the counterparties to trades and nets the positions so that a member has security wise net obligation to receive or deliver a security and has to either pay or receive funds. True or False?
  A. True
  B. False
Ans: A

10) A user can simultaneously view a regular inquiry (e.g. MBP) and the Snap Quote display on the trading screen. True or False?
  A. True
  B. False
Ans: A

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