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Introduction to Securities Broking Operations

by academic cordinator1

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  1. Question 1 of 25
    1. Question

    What is the purpose of SEBI’s requirement for brokers to maintain evidence of client order placement?

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  2. Question 2 of 25
    2. Question

    What is Direct Market Access (DMA)?

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  3. Question 3 of 25
    3. Question

    What advantages does DMA offer to clients?

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  4. Question 4 of 25
    4. Question

    What is Algorithmic Trading?

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  5. Question 5 of 25
    5. Question

    What minimum risk controls are required for algorithmic trading as per SEBI?

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  6. Question 6 of 25
    6. Question

    What characterizes High Frequency Trading (HFT)?

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  7. Question 7 of 25
    7. Question

    When does an order get time-stamped in the trading system of the Exchange?

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  8. Question 8 of 25
    8. Question

    What is the primary goal of a risk management system in a trading firm?

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  9. Question 9 of 25
    9. Question

    What is the purpose of establishing standards and reports in a broker firm?

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  10. Question 10 of 25
    10. Question

    How is order matching typically done in an Exchange?

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  11. Question 11 of 25
    11. Question

    What is the purpose of a contract note in stock trading?

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  12. Question 12 of 25
    12. Question

    What is Straight Through Processing (STP) in the context of institutional trades?

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  13. Question 13 of 25
    13. Question

    How often should contract notes be issued to clients?

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  14. Question 14 of 25
    14. Question

    What is the primary function of the front office in a brokerage firm?

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  15. Question 15 of 25
    15. Question

    In the Indian securities market, what is the settlement cycle for the cash/equity segment?

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  16. Question 16 of 25
    16. Question

    What is the role of the clearing corporation in the settlement process?

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  17. Question 17 of 25
    17. Question

    What is the primary responsibility of the sales force in a brokerage firm?

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  18. Question 18 of 25
    18. Question

    What is the purpose of account opening in a brokerage firm?

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  19. Question 19 of 25
    19. Question

    Which documents are included in the account opening kit for clients as per SEBI regulations?

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  20. Question 20 of 25
    20. Question

    What is the purpose of the ‘SARAL AOF’ for new individual investors in the Indian securities market?

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  21. Question 21 of 25
    21. Question

    What is the purpose of the Central Know Your Client (CKYC) system in India?

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  22. Question 22 of 25
    22. Question

    What is the primary difference between a market order and a limit order?

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  23. Question 23 of 25
    23. Question

    In a stop order, what is the trigger price?

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  24. Question 24 of 25
    24. Question

    What is the primary purpose of a Unique Client Code (UCC) in the trading process?

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  25. Question 25 of 25
    25. Question

    What does the term “placing orders through the internet/phone” refer to in the context of stock trading?

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