capital_market22__7

May 19th, 2015
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PRACTICE QUESTIONS CAPITAL MARKET (DEALERS) MODULE

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PRACTICE QUESTIONSCAPITAL MARKET (DEALERS) MODULEQ:1A trading member shall be deemed guilty of misconduct if he fails to _______[ 1 Mark ](a) submit its audited accounts to the Exchange(b) pay its subscription, fees, arbitration charges or any other money whichmay be due to the exchange(c) to submit or makes any false or misleading statement in its clearing forms(d) All of the aboveQ:2The Message Window in the NEAT system allows a user to view messagesbroadcast by the Exchange such as, __________[1 Mark ](a)(b)(c)(d)Q:3Q:4.corporate actionsmarket newsauctions related informationAll of the above100 share of Reliance Ltd. are purchased on Monday. Provided there are noholidays in between, settlement should take place on ______ ?[ 2 Marks ](a) Wednesday (T+2)(b) Tuesday (T+1)(c) Thursday (T+3)(d) Friday (T+4)______ is a volume related order condition.[ 2 Marks ](a) An order with a limit price condition only(b) An order with a stop loss only(c) An order with a Disclosed Quantity (DQ)(d) None of the aboveQ:5 The branch manager receives End of Day reports for _________. [ 2 Marks ](a)(b)(c)(d)his own orders onlyall dealers under the trading memberall the dealers under that branchany authorized userQ:6 The following facility allows the user to have a drop down list of client codes atthe account field:[ 2 Marks ](a) Client List Master(b) Client Database Master(c) Client Code Master(d) Client Master MaintenanceQ:7 Whe

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