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| Section | Objectives |
|---|---|
| Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
| Indian Securities Market | - Overview of the Indian securities market
|
| Risk Management | - Risk management in a securities broking firm
|
| Investor Grievance Redressal | - Process of investor grievances redressal
|
| Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
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NEW QUESTION # 121
For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?
Answer: C
Explanation:
To decide whether the dividend is 'extra-ordinary', the market price would mean the closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the meeting of the Board of Directors. However, if the announcement is made after market hours, the same day's closing price is taken.
NEW QUESTION # 122
SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)
Answer: A,B,D
Explanation:
The parameters considered for designating a stock broker as a QSB include: (a) the total number of active clients; (b) the available total assets of clients; (c) trading volumes (excluding proprietary); (d) end of day margin obligations; (e) proprietary trading volumes; (f) compliance score; and (g) grievance redressal score. Promoter net worth and number of sub-broker offices are not listed parameters.
NEW QUESTION # 123
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?
Answer: B
Explanation:
For clients having a credit balance who have not done any transaction in 30 calendar days, 'the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges'.
NEW QUESTION # 124
According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?
Answer: A
Explanation:
No institutional investor shall be allowed to do day trading, i.e., square off their transaction intra-day. All transactions would be grossed for institutional investors at the custodian level, and they are required to fulfill their obligation on a gross basis. Naked short selling is also prohibited.
NEW QUESTION # 125
In the context of the settlement of running accounts for funds, specific rules apply to clients who have been inactive. If a client has a credit balance but has **not executed any transaction in the last 30 calendar days**, how must the Trading Member (TM) handle the settlement?
Answer: E
Explanation:
For clients having a credit balance who have not done any transaction in the 30 calendar days since the last transaction, the entire credit balance shall be returned to the client by the TM on the upcoming settlement dates of the monthly running account settlement cycle (irrespective of the settlement cycle preferred by the client).
NEW QUESTION # 126
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