Attempt any ten questions.
1. How is Application Supported by Blocked Amount (ASBA) a major Primary Market Reform ?
2. How does ‘Direct Market Access’ facilitate the client ?
3. Give any two different rates at which securities can be issued in ‘Primary Market’.
4. Give the meaning of turnover ratios in case of stock exchange.
5. List the two Deposit Requirements for the members of NSE and NSCCL.
6. State the role of an Authorized Person in the Capital Market.
7. What is meant by KYC document ?
8. Give the meaning of the term ‘Open Book’ in NEAT system.
9. State the role of a Corporate Manager in Corporate Hierarchy.
10. What is meant by a ‘Clearing Member’ ?
11. Define the term ‘Fraud’ under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003.
12. Define a ‘Registered Owner’ according to the Depositories Act, 1996.
13. State the objectives of establishing Securities and Exchange Board of India under the SEBI Act, 1992.
14. Briefly explain ‘India Volatility Index’.
15. Describe ‘Misconduct’ as the basis of suspension of membership.
16. Briefly describe ‘Pre-Open Matching Priority’.
17. State any two features of ‘Market Inquiry Window’.
18. How is Mark-to-Market Margin calculated on a daily basis ?
19. Calculate Current Ratio from the following information :
Total Assets ₹ 1,10,000
Fixed Assets ₹ 50,000
Capital Employed ₹ 80,000
Attempt any five questions.
20. Explain any three indicators of securities market.
21. Describe briefly, client-broker relationship.
22. Explain any three advantages of SBTS.
23. State any three purposes and features of Activity Log.
24. State any three types of frauds that are included in the SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003.
25. With the help of an example, briefly explain comparative financial statements as a tool to understand financial statements.
26. Briefly explain ‘Sub-agent’ as per the provisions of the Indian Contract Act, 1872.
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