Top 350+ Solved Financial Markets and Institutions MCQ Questions Answer
Q. One of the common irregularities noted by the Securities and Exchange Board of India during the inspection of a stock exchange was that it was dealing with unregistered subbrokers. Identify the related function of Securities and Exchange Board of India
a. Regulatory function
b. Protective function
c. Developmental function
d. None of the above
Q. It acts like a bank and keeps securities in electronic form on behalf of the investor,
a. Depository Participant
b. Depository
c. Stock exchange
d. None of the above
Q. It serves as an intermediary between the investor and the depository who is authorised tomaintain the accounts of dematerialised shares.
a. Depository Participant
b. Depository
c. Stock exchange
d. None of the above
Q. It is a number assigned to each transaction by the stock exchange and is printed on thecontract note.
a. PAN number
b. Unique Order Code
c. Contract Note
d. None of the above
Q. Identify the correct sequence of steps to be followed in the trading procedure at Stock Exchange
a. Opening a trading account and Demat account, Placing an order, Settlement of order, Execution of order
b. Settlement of order, Opening a trading account and Demat account, Placing an order, Execution of order
c. Opening a trading account and Demat account, Placing an order, Execution of order, Settlement of order
d. Placing an order, Opening a trading account and Demat account, Execution of order, Settlement of order
Q. The mandatory detail that an investor has to provide to the broker at the time of opening ademat account is
a. Date of birth and address
b. PAN number
c. Residential status (Indian/NRI)
d. Bank account details.
Q. It is a legally enforceable document which is issued by a stock broker within 24 hours ofthe execution of a trade order.
a. PAN number
b. Unique Order Code
c. Contract Note
d. None of the above
Q. On this day, the exchange will deliver the share or make payment to the other broker,
a. Pay-in day
b. Pay-out day
c. Transaction day
d. None of the above
Q. When is a trade confirmation slip issued to the investor?
a. On placing an order
b. On execution of the order
c. On settlement of the order
d. None of the above
Q. After the trade has been executed, the broker issues a Contract Note to the investor within
a. 52 hours
b. 24 hours
c. 48 hours
d. 12 hours
Q. SEBI has constituted a committee under TK Viswanathan for ________.
a. Fair market conduct
b. Manufacturing market conduct
c. Partial market conduct
d. Both a and c
Q. SEBI has launched an online registration system for?
a. REITs
b. InvITs
c. P-notes
d. Only a and b
Q. Which trading individuals has SEBI decided to grant a unified license to operate in commodity derivative and equity markets?
a. Clearing Members
b. Brokers
c. NBFCs
d. Only a and b
Q. What is the latest amendment to the FPI regulations by capital and commodities market regulator SEBI?
a. Barring Indians, NRIs and entities beneficially owned by NRIs from trading
b. Barring Indians, NRIs, and entities beneficially owned by NRIs from being owners of participatory notes
c. Barring Indians and NRIs from FDI in India
d. None of the above
Q. SEBI has allowed celebs to endorse which products?
a. Stocks and shares
b. Mutual funds
c. Dividends
d. Insurance