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Other Services provided by Brokers

by academic cordinator1

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  1. Question 1 of 25
    1. Question

    What is the primary role of brokers in the IPO application process?

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  2. Question 2 of 25
    2. Question

    How is the IPO application process simplified for investors through broking firms?

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  3. Question 3 of 25
    3. Question

    What is the purpose of the Application Supported by Blocked Amount (ASBA) facility in the IPO process?

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  4. 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?

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  5. 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?

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  6. Question 6 of 25
    6. Question

    What is the primary payment mechanism introduced for making applications in public issues for investors?

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  7. 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?

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  8. Question 8 of 25
    8. Question

    What does ASBA stand for in the context of IPO applications?

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  9. 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?

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  10. 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)?

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  11. Question 11 of 25
    11. Question

    Who is permitted to participate in the trading of mutual fund units through the exchange trading platform?

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  12. 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?

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  13. Question 13 of 25
    13. Question

    What does ASBA stand for in the context of mutual fund applications?

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  14. Question 14 of 25
    14. Question

    Under which condition is it mandatory for a stockbroker to enter depository details while processing mutual fund subscriptions?

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  15. Question 15 of 25
    15. Question

    What is the purpose of Portfolio Management Services (PMS) offered by stock brokers?

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  16. Question 16 of 25
    16. Question

    What types of research reports are typically provided by stock brokers to help clients make informed investment decisions?

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  17. Question 17 of 25
    17. Question

    How often do stock brokers usually release newsletters to their clients?

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  18. Question 18 of 25
    18. Question

    What does SEBI stand for in the context of research-based advisory services provided by broking houses?

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  19. Question 19 of 25
    19. Question

    In the context of depository services, what is the role of a Depository Participant (DP)?

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  20. Question 20 of 25
    20. Question

    What is the main activity of a DP in the depository services sector?

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  21. Question 21 of 25
    21. Question

    What is margin trading in the context of securities trading?

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  22. Question 22 of 25
    22. Question

    What are “Collateral stocks” and “Funded stocks” in margin trading?

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  23. 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)?

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  24. Question 24 of 25
    24. Question

    What is the purpose of mutual authentication between the client and the broker server in IBT and STWT?

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  25. Question 25 of 25
    25. Question

    What is the recommended method for implementing two-factor authentication in IBT and STWT?

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    Incorrect

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