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CM Mock Test 18 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

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10/21/2017 10:48:42 AM

Total Questions  60

Pass Marks is 55%

Time Left : 00:00:00 Hrs


Question 1 :In NSEIL, the minimum paid up capital required for a member a corporate in Capital Market segment is _______ [Mark 2]

Question 2 :Which of the following statements is true about arbitration [Mark 2]

Question 3 :SEBI made it mandatory for all brokers to use __________ for all clients [Mark 1]

Question 4 :As per the Code of Conduct prescribed in the SEBI Stock Brokers and Subbrokers Regulations, 1992, a stock broker or sub broker should seek permission from ______ for advertising business publicly [Mark 3]

Question 5 :A contract note shall be issued to a client within _________ hours of the execution of the contract duly signed by the trading member [Mark 1]

Question 6 :If a client has sold 10000 shares of a scrip at the rate Rs 50, what is the maximum brokerage that the client can be charged [Mark 1]

Question 7 :Every member of a recognized stock exchange shall maintain and preserve the Register of transactions Sauda book for a period of ____________years [Mark 1]

Question 8 :The intermediaries and persons associated with securities market shall be registered with________ [Mark 1]

Question 9 :As per the provisions of SEBI Prohibition of Insider Trading Regulations, any person who holds more than _______shares or voting rights in any listed company shall make such disclosure to the company [Mark 1]

Question 10 :The minimum paid up capital of private company is Rs _________ [Mark 1]

Question 11 :The minimum paid up capital of public company is Rs __________ [Mark 1]

Question 12 :The private company limits the number of its members to __________ [Mark 1]

Question 13 :The public company limits the number of its members to _________ [Mark 1]

Question 14 :The minimum number of persons required to form a private company is __________ [Mark 1]

Question 15 :The minimum number of persons required to form a public company is ________ [Mark 1]

Question 16 :Every public company, making initial public offer of any security for a sum of rupees of __________ or more, shall issue the same only in dematerialized form [Mark 1]

Question 17 :Over the counter market describes _________ [Mark 2]

Question 18 :What is the estimated investor population in India in year 2000 [Mark 2]

Question 19 :Which of the following is not true about issue of securities [Mark 3]

Question 20 :Which of the following statements is wrong [Mark 1]

Question 21 :What is the difference between listed and permitted shares [Mark 3]

Question 22 :A balance sheet of a firm provides information about [Mark 3]

Question 23 :Inventory Turnover Ratio is given by [Mark 2]

Question 24 :Snapshots database of NSEIL provides _____ [Mark 3]

Question 25 :Calculate the value 5 years hence of a deposit of Rs 1,000 made today if the interest rate is 8 percent compounded annually [Mark 2]

Question 26 :Suppose, you deposit Rs 2,000 annually in a bank for 5 years and your deposits earn a compound interest rate of 10 per cent, What will be value of this series of deposits an annuity at the end of 5 years, Assume that each deposit occurs at the end of the year [Mark 3]

Question 27 :What is the present value of Rs 1,000 payable 3 years hence, if the interest rate is 10 percent pa [Mark 3]

Question 28 :if the initiators order is a buy order then all the buy orders for that auction other than [Mark 1]

Question 29 :Auctions are initiated by the Exchange on behalf of trading members for settlement related reasons [Mark 1]

Question 30 :A trading member shall be deemed guilty of misconduct if he fails to [Mark 1]

Question 31 :The user is not allowed to modify any auction orders [Mark 1]

Question 32 :is a volume related order condition [Mark 2]

Question 33 :What can the corporate manager view in the Activity Log screen in the NEAT system [Mark 1]

Question 34 :If the selection is made on time priority which of the following orders is the best order [Mark 3]

Question 35 :When the user invokes the order entry screen the field or fields that are or is taken as default are or is [Mark 2]

Question 36 :NSE dot IT launched the Wireless Application Protocol WAP in [Mark 2]

Question 37 :A branch manager can modify orders of [Mark 2]

Question 38 :NSE has implemented __________ in compulsory rolling settlement with effect from July 02 2001 [Mark 1]

Question 39 :The stop loss orders are prioritized in the stop loss book with the [Mark 1]

Question 40 :x dot 25 address check is performed in the NEAT system when the user [Mark 2]

Question 41 :An user enters order for 10000 shares of PQR and he discloses only 3000 in the disclosure box and how many total disclosures will shown to the market for this trade [Mark 3]

Question 42 :The clients introduced by an authorized person to a trading member would be required to deliver securities and make payments directly in the trade name of the trading member True or False [Mark 1]

Question 43 :Auction is held in XYZ for 5000 shares and the closing price of XYZ on that day was Rs 155 and the last traded price of XYZ on that day was Rs 150 and the price of XYZ last Friday was Rs 151 and the previous days close price of XYZ was Rs 160 then what is the maximum allowable price at which the member can put a sell order in the auction for XYZ and The price band applicable for auction market is plus minus 20 percent [Mark 2]

Question 44 :What is the operating range for scrips which h has no price Band [Mark 2]

Question 45 :Securities Delivered Statement, This statement provides information on [Mark 1]

Question 46 :What is true about internet trades on NSEIL [Mark 2]

Question 47 :In case of a 15 percent movement of either index there shall be ___________ a if the movement takes place after 1 pm but before 2 pm before 1 pm and on or after 2 pm respectively [Mark 3]

Question 48 :No payment for transaction in which a Trading Member is taking position as a principal will be allowed to be made from the clients account [Mark 2]

Question 49 :The depositories which provide electronic transfer of securities in India are [Mark 1]

Question 50 :Who decides the order freeze limit for any particular share [Mark 2]

Question 51 :assumes the counter party risk of each member and guarantees financial settlement [Mark 2]

Question 52 :Who determines the funds or securities obligations of the trading members and ensures that trading members meet their obligations [Mark 1]

Question 53 :For buy SL orders the trigger price has to be [Mark 1]

Question 54 :Where a recognized stock exchange acting in pursuance of any power given to it by its bye laws refuses to list the securities of any company the company shall be entitled to be furnished with reasons for such refusal and the company may appeal to the _____________ against such refusal [Mark 1]

Question 55 :Security sigma means the ______ of the security computed as at the end of the previous trading day [Mark 2]

Question 56 :The two main entities which completes the settlement cycle in NSE are [Mark 1]

Question 57 :NEAT provides index basket trading facility in [Mark 2]

Question 58 :Penalties are charged to members for [Mark 2]

Question 59 :At the end of the trade cycle the trades are _________ to determine the obligations of the trading members to deliver securities or funds as per settlement schedule [Mark 1]

Question 60 :The stamp duty on transfer of demat securities has been waived [Mark 1]