Practice Set - 3 | Practice Set | NISM Series VIII: Equity Derivatives Certification Examination

Question 1

If insider trading becomes widespread, which outcome is most likely?

Question 2

Which factor strengthens regulatory effectiveness?

Question 3

Which scenario reflects failure of disclosure norms?

Question 4

A trader uses algorithmic trades to artificially influence prices. This is:

Question 5

Which principle ensures equal opportunity for all investors?

Question 6

Which practice gives unfair advantage without breaking explicit rules?

Question 7

A broker executes a large personal trade just before executing a client’s similar order. This practice is known as:

Question 8

A company hides negative financial results. This impacts:

Question 9

Which action ensures long-term market integrity?

Question 10

A trader intentionally spreads misleading news to create panic selling. This is:

Question 11

If a company selectively discloses information to a few investors, it violates:

Question 12

If SEBI weakens enforcement, the most immediate effect is:

Question 13

If a broker ignores client instructions and trades differently, it violates:

Question 14

Which scenario represents ethical conflict in trading?

Question 15

If investors lose trust in regulation, market outcome is:

Question 16

A trader manipulates volume to mislead others. This primarily affects:

Question 17

Which regulatory concept prevents misuse of power by brokers?

Question 18

Which situation indicates abuse of regulatory framework?

Question 19

Which regulatory action directly restricts illegal trading activities?

Question 20

Practice Set - 3