Embark on a journey into the intricate world of capital markets with our NCFM Capital Market Dealer's Module Quiz. Tailored for financial professionals and enthusiasts, this quiz delves into the essential knowledge required for mastering the Capital Market Dealer's Module.
Test your understanding of market operations, risk management, and regulatory compliance. Whether you're a seasoned financial expert or someone exploring the nuances of capital markets, this quiz offers an opportunity to assess your expertise. Navigate through questions that cover trading mechanisms, settlement processes, and the regulatory framework governing capital markets.
Take the quiz, challenge your comprehension, and enhance your proficiency in dealing with the complexities of capital markets. Sharpen your skills, gain confidence, and elevate your expertise with this comprehensive quiz on the NCFM Capital Market Dealer's Module.
www. Insighthr. Co. In
kaushal@insighthr. Co. In
True
False
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True
False
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True
False
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True
False
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True
False
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True
False
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True
False
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Failure to fulfil their funds obligations
Failure to fulfil their securities deliverable obligations
Margin Shortages
All of the above
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If it transacts its own business or the business of its constituent in fictitious names
If it makes a fictitious transaction
Circulates or causes to be circulated, any rumours;
All of the above
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Corporate actions
Market news
Auctions related information
All of the above
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Not more than Rs. 950 lakh
Zero
Unlimited
Rs. 250 lakh
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True
False
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Rs. 4,000
Rs. 5,000
Rs. 2,000
Rs. 6,000
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Submit its audited accounts to the Exchange
Pay its subscription, fees, arbitration charges or any other money which may be due to the exchange
To submit or makes any false or misleading statement in its clearing forms
All of the above
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SEBI
Central Depository Services Ltd. (CDSL)
The National Depository Services Ltd. (NSDL)
The National Securities Clearing Corporation Ltd. (NSCCL)
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Immediate or Cancel (IOC)
Stop Loss (SL)
Disclosed Quantity (DQ)
None of the above
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His own orders only
All dealers under the trading member
All the dealers under that branch
Any authorized user
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Symbol
Series
Book Type
All of the above
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True
False
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An order with a limit price condition only
An order with a stop loss only
An order with a Disclosed Quantity (DQ)
None of the above
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Rs. 100 lakh
Any amount, as there is no restriction on User Order Value
Rs. 250 lakh
Rs. 150 lakh
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Auction is pending and yet to begin
Auction is deleted.
There is no such status indicator as 'P' in the Auction Inquiry screen.
Auction is over.
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Wednesday (T+2)
Tuesday (T+1)
Thursday (T+3)
Friday (T+4)
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Order Matched
Order Cancelled
Trade Modified
Order Modified
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True
False
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Delivering centre
Total number of shares to deliver for each security
Quantity delivered and quantity of shares delivered short
All of the above
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Rs. 25,000
Rs. 15,000
Rs. 10,500
Rs. 20,000
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Rs. 316.80
Rs. 390.65
Rs. 364
Rs. 394
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FIIs
State Goverments
Companies
None of the above
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SEBI
Recognized stock exchange
Securities Appellate Tribunal (SAT)
High Court
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The average closing price for the last one week
The theoretical closing price
The latest available closing price
None of the above
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Order entry access
Trade cancellation access
Trade modification access
Inquiry access
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Volatility
Returns
Liquidity
Exposure limit
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Mean
Volatility
Impact cost
None of the above
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Illiquid shares
Futures and Options
Odd lots
Government Securities
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10%
2%
3%
5%
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Grossed
Aggregated
Netted
Offset
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Order no. 1.
Order no. 2
Both will have equal priority
None
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50%
100%
200%
150%
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Self clearing member
Participant
Broker
Custodian
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Surety.
Indemnity
Warranty
Additional base capital
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Order no. 1.
Order no. 2
Both will have equal priority
None
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Securities-based market-wide circuit breakers
Index-based market-wide circuit breakers
Market-wide based securities-wise circuit breakers
None of the above
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True
False
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User code
User id
Participant code
Client id
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Order no. 1.
Order no. 2
Both will have equal priority
None
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Auction Initiation Messages
Auction User Interface messages
All messages related to user interface
All messages related to Auctions
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‘notation’
‘settlement fullfillment’
‘novation
‘obligation guarantee’
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