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- Question 1 of 25
1. Question
What is the purpose of SEBI’s requirement for brokers to maintain evidence of client order placement?
CorrectIncorrect - Question 2 of 25
2. Question
What is Direct Market Access (DMA)?
CorrectIncorrect - Question 3 of 25
3. Question
What advantages does DMA offer to clients?
CorrectIncorrect - Question 4 of 25
4. Question
What is Algorithmic Trading?
CorrectIncorrect - Question 5 of 25
5. Question
What minimum risk controls are required for algorithmic trading as per SEBI?
CorrectIncorrect - Question 6 of 25
6. Question
What characterizes High Frequency Trading (HFT)?
CorrectIncorrect - Question 7 of 25
7. Question
When does an order get time-stamped in the trading system of the Exchange?
CorrectIncorrect - Question 8 of 25
8. Question
What is the primary goal of a risk management system in a trading firm?
CorrectIncorrect - Question 9 of 25
9. Question
What is the purpose of establishing standards and reports in a broker firm?
CorrectIncorrect - Question 10 of 25
10. Question
How is order matching typically done in an Exchange?
CorrectIncorrect - Question 11 of 25
11. Question
What is the purpose of a contract note in stock trading?
CorrectIncorrect - Question 12 of 25
12. Question
What is Straight Through Processing (STP) in the context of institutional trades?
CorrectIncorrect - Question 13 of 25
13. Question
How often should contract notes be issued to clients?
CorrectIncorrect - Question 14 of 25
14. Question
What is the primary function of the front office in a brokerage firm?
CorrectIncorrect - Question 15 of 25
15. Question
In the Indian securities market, what is the settlement cycle for the cash/equity segment?
CorrectIncorrect - Question 16 of 25
16. Question
What is the role of the clearing corporation in the settlement process?
CorrectIncorrect - Question 17 of 25
17. Question
What is the primary responsibility of the sales force in a brokerage firm?
CorrectIncorrect - Question 18 of 25
18. Question
What is the purpose of account opening in a brokerage firm?
CorrectIncorrect - Question 19 of 25
19. Question
Which documents are included in the account opening kit for clients as per SEBI regulations?
CorrectIncorrect - Question 20 of 25
20. Question
What is the purpose of the ‘SARAL AOF’ for new individual investors in the Indian securities market?
CorrectIncorrect - Question 21 of 25
21. Question
What is the purpose of the Central Know Your Client (CKYC) system in India?
CorrectIncorrect - Question 22 of 25
22. Question
What is the primary difference between a market order and a limit order?
CorrectIncorrect - Question 23 of 25
23. Question
In a stop order, what is the trigger price?
CorrectIncorrect - Question 24 of 25
24. Question
What is the primary purpose of a Unique Client Code (UCC) in the trading process?
CorrectIncorrect - 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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