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- Question 1 of 25
1. Question
What is the primary role of brokers in the IPO application process?
CorrectIncorrect - Question 2 of 25
2. Question
How is the IPO application process simplified for investors through broking firms?
CorrectIncorrect - Question 3 of 25
3. Question
What is the purpose of the Application Supported by Blocked Amount (ASBA) facility in the IPO process?
CorrectIncorrect - Question 4 of 25
4. Question
As per SEBI’s circular, what is the mandatory requirement for investors applying in public issues opening from January 01, 2016, onwards?
CorrectIncorrect - Question 5 of 25
5. Question
In which phase of the UPI payment mechanism introduction did the UPI mechanism for retail individual investors through intermediaries become effective?
CorrectIncorrect - Question 6 of 25
6. Question
What is the primary payment mechanism introduced for making applications in public issues for investors?
CorrectIncorrect - Question 7 of 25
7. Question
Which channel allows Retail Individual Investors (RIIs) to submit the bid-cum-application form with Application Supported by Blocked Amount (ASBA) for making payments?
CorrectIncorrect - Question 8 of 25
8. Question
What does ASBA stand for in the context of IPO applications?
CorrectIncorrect - Question 9 of 25
9. Question
In Phase I of the UPI payment mechanism introduction, which channel(s) are available for Retail Individual Investors (RIIs) to use for making applications in a public issue?
CorrectIncorrect - Question 10 of 25
10. Question
What is the primary purpose of Channels I and II for making applications in a public issue for Retail Individual Investors (RIIs)?
CorrectIncorrect - Question 11 of 25
11. Question
Who is permitted to participate in the trading of mutual fund units through the exchange trading platform?
CorrectIncorrect - Question 12 of 25
12. Question
Which organization handles the settlement of funds and mutual fund units in the case of subscription and redemption orders for mutual funds traded on stock exchanges?
CorrectIncorrect - Question 13 of 25
13. Question
What does ASBA stand for in the context of mutual fund applications?
CorrectIncorrect - Question 14 of 25
14. Question
Under which condition is it mandatory for a stockbroker to enter depository details while processing mutual fund subscriptions?
CorrectIncorrect - Question 15 of 25
15. Question
What is the purpose of Portfolio Management Services (PMS) offered by stock brokers?
CorrectIncorrect - Question 16 of 25
16. Question
What types of research reports are typically provided by stock brokers to help clients make informed investment decisions?
CorrectIncorrect - Question 17 of 25
17. Question
How often do stock brokers usually release newsletters to their clients?
CorrectIncorrect - Question 18 of 25
18. Question
What does SEBI stand for in the context of research-based advisory services provided by broking houses?
CorrectIncorrect - Question 19 of 25
19. Question
In the context of depository services, what is the role of a Depository Participant (DP)?
CorrectIncorrect - Question 20 of 25
20. Question
What is the main activity of a DP in the depository services sector?
CorrectIncorrect - Question 21 of 25
21. Question
What is margin trading in the context of securities trading?
CorrectIncorrect - Question 22 of 25
22. Question
What are “Collateral stocks” and “Funded stocks” in margin trading?
CorrectIncorrect - Question 23 of 25
23. Question
What is the primary objective of ensuring system security and encryption in Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)?
CorrectIncorrect - Question 24 of 25
24. Question
What is the purpose of mutual authentication between the client and the broker server in IBT and STWT?
CorrectIncorrect - Question 25 of 25
25. Question
What is the recommended method for implementing two-factor authentication in IBT and STWT?
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