Scribd
Upload
642 views11 pages

FMM 12th Class Important Question - Answers

Financial markets management

Uploaded by

Bijay Raj Shaw
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF or read online on Scribd
642 views11 pages

FMM 12th Class Important Question - Answers

Financial markets management

Uploaded by

Bijay Raj Shaw
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF or read online on Scribd
You are on page 1/ 11
ght yor ee (Set No. 4) question rerete 329/1/4| ( re ate / NOTE: PT gra ata a a fe ea wees 4 ys 13 E | Please check that this question paper ogtijns sprinted pages. (Gi) es fig GF sos OMR afte 4 sag SA T 1 , Question Paper Code g he top right hand side of the question paper should be written in ate place in the OMR Sheet by the candidate. (ii) een ata aT wa gta & a8 agianetta ye (MCQs) @ | this question paper contains 38 Multiple Ch Please ¢] oice Questions aucgs)* . 4 iv) yer eee rs ee ao ior y femme t ke inutes additional time has been allotted to read this question papgr *" “Actual time of commencement of the examination. a 4 ae fara aan Wat : ee FINANCIAL MARKETS MANSGBMENT (605) Term-I & Hh, frutita ara : 90 Pre a, aif He : 30 Time allowed : 90 minutes A : % Maximum Marks : 30 3201/4 ‘ 5 Page 1 PTO. EN aia. OCANegd WILT UaTmisca Carat Instructions a @ Please read the jst! fully. i 7 bl question ‘into 3 sections, viz. Section A, Section B and Section C it zction Smite and has 6 questions on Employability Shitls. 7 ( she and has 26 questions on Subject Specific Skills. (iv) Sectign (i) Sect C is Pf-@marks and has 7 questions thP instructions given in the respective sections. (vi) ae (yd Marks aMPotted are mentioned against each section \ ‘on Competency-Based Skills. questions must be attempted in the correct order. Py: SECTION A wer any 5 questions out of the given 6 questions on Employability Skills “A 5x1=5 1, Whatare the benefits one can enjoy of being an active listener 2 (a) Build connections (>) Build t 1 Both of the above (a) and (b) (@) Build t 2. Identify the non-verbal communication. we Posture ‘Volutne and Tone (©) Pronuneiation $ ( yund if Seer-téliance on other people to meet one’s 3 Which personality disorder is a by emotional and physical need: af () Borderline gett) . Dependent (a) Obsessive 4. Which of the following’ ‘séisfées of motivation ? @ (hg gSusll enhancing activities x, (iv) Books d &) (j,i, Git) and Civ) i i), Gi) and Gv) ( @ sheet, you can aati) 5. Ae entered data and applied relevant formulas in works nding order. This is called : “, nge the data in ascending or descet (b) Calculation . yw Sorting of data (c} Validation of data (@) Grouping of data Which short-cut key will you tse to select the entire worksheet ? (b) Cul+C () Cul+V «6 Ctrl +P wv Ctrl +A SECTION B ©. ? 20x1=20 «Answer any 20 questions out of the give 125 questions. : 7. The Central Government (Ministry of Corporgtet Affairs) established the Investor Education and Protection Fund (IEPF) in October,2001 jmorder to A protect the interest of the investorsiane Pro” awareness et (b) restrict the development of curl (c) _ free the securities marke (a) safeguard the interes company 329/114 Rs Page 2 & i OCalneu with Valnoca { 8. When was the Securiti Jd Borrowing Scheme launched ? } (a) In April, 3901. (b) In April, 2003 (© In Ape deter In April, 2008 of NSE are shares and warrants traded ? mK. je debt segment (b) Futures and Options segment cf Capital market segment (@) Both (a) and (c) A If you want to measure the trading activity or liquidity in the stock gn formula will you use for this purpose ? ‘Turnover Ratio = Turnover at Exchange / Market Capitalis il ‘Turnover Ratio = Turnover at Exchange / GDP (©) Market Capitalisati (@) Market Capitalisation = “a or nu. Tdentify the market participa 4% (Foreign Venture (i) Sub-brokers Gi) cach (a) (@, Gi) ang Gi), (i), (iii) and (iv) © “ Gi), Gi) and (iv) 12. fnies want to raise resources from overseas, then what is the aN = Price of a Share x Nu inding Shares (iv) Individual Investors we for them to raise resources ? (b) GDRs © ee qe Both (a) and (b) anh Deposit requirements are of two types. They are: IFSD and CSD (b) Cash component and Capital reserve (©) Fixed deposits and Savings (a) _ Fixed deposits and Capital reserve 14, market consists of various Lae Rye orders are segregated as Regular Lot Orders, Special Term aN \rders depending on the order attributes. Auction ia lot (©) Limited physical \ - Normal 329/1/4 .% P.O. “ ocanneu wittl Valtsta 15. 18, v 329/114 % ‘Page 4 . : 900 am @) 84 © gio ) ‘The pre-open session ap. from order book is visible to all market participants; it is termed as a/an. Open Book (&) Active Book \ (© Close Book (@ _ Passive Book In the Trading system user hierarchy, which manager is pl top of the hierarchy ? rat (@) Branch Manager ur one (© Dealer @ In which session of market phases no cepted, but the user is Tr permitted to perform activities like ing 1d fade cancellation ? (a) Post-close market (YP*Surcon wo ‘Market close ta) Normal market open phase ‘Who assigns a trading each trading member ? @) ) Clearing Corporati (RBI we 8d (@ SEBL :Hlowgenables the users to enter/modify/eancel orders and to send request for q el m and modification. Ofder/Trade Window (&) Snap Quote (Took Bar (@ Message Window What does OC indicate ? ] \ ‘This indicates an order was cancelled. (b) For both buy and self orders this indicates that a tra “\, this order was cancelled. Qs (© For sell orders, this indicates a match. the WS Secondary Market Primary Market (©) Auction Market Sy, @ Normal Market (@ For buy orders, this indicates a match. \ As per SEBI Notification dated NE sk of securities is permitted in DCalINed Wil LalttSca ae aN bv Information displayed 1s ‘Trade Window : (a) Market | | i | 23. | } ., Trading Member ID, Branch ID, Dealer Aug \d Time phe a of the following type of market facilitates Block Trades Session ? Normal Market (b) Auction Market (@) Capital Market Odd Lot Market In case the corporate manager's ID is disabled, then to whom resetting of password ? ‘he Ab 25. makes a written request for AO To the Stock Exchange (b) x = Qs (©) Tothe SEBI @ xy information on total order ‘The market screen at any point of ie Lugells available in the market, the igh and low, the last traded prices, 26. depth in a security, the ____ quantity traded during the S ete. we 5 (b) @) 15 27. is an order f S*.. . the user, but which has not yet been ‘completely traded or c WA Avot ordé (b) Acancelled order (©) _Arfatabed (a) Aprevious order 28. Infois ih as Security Name, Book Closure, Start and End Dates, Ex-Date, ( 0 Sige, Daily Price Range, Face Value, ISIN and Remarks is displayed Pip the . ‘& — Sfvesy (@), Title Bar (b) Ticker Window 1A) (c) Tool Bar (WA) Security Descriptor Who provides counter party guarantee forall trades executed on NSE 2, 4) Clearing Corporation (NSCCL) () Clearing Meng (@ Clearing PM (c) ‘Custodian 0. Sappose you are 2 custodian, for which function will you be (a) For real time gross settlement wt For safeguarding the securities (e) Forclearing and settlement @ rameangA 99 paces fe PT.0. 329/1/4 ocadlneu Will varffSca 31. Whatis pay-out day? @ ~~ day jdhon the members/brokers aro required to make payment of funds or iv ties fo the clearing corporation of the exchange. wv Gey wheh the clearing corporati ) ing corporation of the stock exchange transfers funds and ie o the brokers/trading members who have receivable obligation q ¢ oF transfer of funds tothe clearing corporation to pay for purchase transactions Day of transfor of funds from the clearing corporation to complete the funds 2 ofa sale transaction, SECTION c \ Answer any 5 questions out of the given 7 questions. bx1=5 Read the passage given below carefully and answer question nos. 3423 ofits fasis Rohan is a SEBI registered broker and is running his,busin: ssfully. Rohan enters into an agreement with his client i Tr ma format of NSE before entering the order of his client. The agreem @ non-judicial stamp paper which has a value and the signatures of ith jes is taken on all the pages of the ‘agreement and he keeps it with hit ty Rohan has many clients a¢ ie (ountry.\He collects details of his clients like risk Profile, financial profile, id@htificatién details, income, PAN number, investment experience, ete. Under his clients aware of some which segment can much risk is inyglved issues to his clients Rohan i to keop the margin before placing order. Among many clients, are. Musfign is flso.a client of Rohan. On Muskan’s behest, Rohan bought 500 shares 4 , of XYZ Company and sold 100 shares of ZYX Company @ & 200 per . the same day Rohan issued contract note to Muskan within 24 hours of order ae. ition. Rohan charged brokerage from Muskan for his services. Cy, EE J Tf Rohan’s client defaults, ___ amounts are utilized for making to t }? clearing corporation and settlement with respect to that client, # (a) Brokerage ww Margins \ (c) Registration fee (@) Commis ee 33. ‘What are the full forms of UCC and MCA? és 4 (a) Unique Client Code and Member Conditi (b) Unique Customer Card and Memb: - ‘Unique Client Code and Me: i (d) Unique Customer C: er Condition Account 329/114 &% ‘Page 6 j & ocdlineu WILT varniSca ‘Under “, | aN identif P gh” ian collects details of his clients like risk profile, details, income, PAN number, investment experience, ans Client : Pe: jontract Note Member of Stock Exchange 6' Scteen-based Trading System A d° Contract note signifies : (a) Order entered but not yet executed S YM Trade confirmation memo (©) Trade yet to be punched A, (@) Client is registered IN 86. Why does Rohan have to iss ast dents? (a) Toassess the pr trading MH br ak. fed in trading s\ he a position jout the stock exchange © &e much brokerage will Rohan charge from Muskan for his trade activities ? 22,750 yp} 1,750 © = 1,550 ae Who provided the registration number to Rohan ? Q® aN (a) Member Constituent Agreement WH Securities and Exchange Board of India (© Stock Exchange

You might also like