Practice Set - 2 | Practice Set | NISM Series VIII: Equity Derivatives Certification Examination

Question 1

If a company delays disclosure of material information, it violates:

Question 2

Which scenario indicates failure of regulatory system?

Question 3

If a broker fails to comply with SEBI regulations, the most immediate consequence can be:

Question 4

If SEBI increases compliance requirements, the primary objective is to:

Question 5

If regulatory oversight weakens, the immediate effect is:

Question 6

Which situation reflects a violation of ethical trading practices?

Question 7

Which participant is primarily responsible for ensuring fair trading at transaction level?

Question 8

Which principle ensures accountability of all market participants?

Question 9

Which practice creates unfair advantage in trading?

Question 10

A trader executes multiple trades to create artificial volume. This is:

Question 11

A trader manipulates closing price to influence settlement. This is:

Question 12

Which regulatory principle ensures all investors get equal information?

Question 13

A broker shares client trading data without consent. This violates:

Question 14

A trader uses unpublished financial results to trade derivatives. This activity is classified as:

Question 15

Which action by SEBI directly improves transparency?

Question 16

Which participant is legally obligated to act in client's best interest?

Question 17

Which situation best represents regulatory arbitrage?

Question 18

If insider trading is not controlled, market impact would be:

Question 19

Which body has the power to ban securities from trading?

Question 20

Practice Set - 2