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

Question 1

Which situation reflects mis-selling?

Question 2

Which action violates ethical sales practices?

Question 3

A broker suggests frequent trades despite no market opportunity. This is:

Question 4

Which factor increases investor complaints?

Question 5

Which action improves investor grievance resolution?

Question 6

If client funds are mixed with broker’s own funds, it leads to:

Question 7

Which action builds long-term client relationship?

Question 8

If a broker manipulates account statements, it results in:

Question 9

Which scenario indicates proper investor protection?

Question 10

Which scenario reflects weak investor protection?

Question 11

If a broker overstates returns, it is:

Question 12

A broker executes trades without client consent during volatile markets. This is:

Question 13

A broker delays issuing contract notes intentionally. This affects:

Question 14

Which behavior indicates responsible sales practice?

Question 15

Which situation increases regulatory intervention?

Question 16

Which action minimizes investor disputes?

Question 17

If broker ignores risk profiling, consequence is:

Question 18

If broker charges undisclosed fees, it leads to:

Question 19

Which factor ensures accountability in sales practices?

Question 20

Which behavior indicates conflict of interest?

Question 21

Which principle ensures fair treatment of all investors?

Question 22

A broker delays grievance resolution intentionally. This results in:

Question 23

Which scenario ensures proper grievance redressal?

Question 24

Which scenario reflects strong investor protection framework?

Question 25

If a broker frequently trades in a client’s account to earn commission, it is known as:

Question 26

A broker executes trades based on rumors. This reflects:

Question 27

If investor complaints are repeatedly ignored, it leads to:

Question 28

Which practice strengthens ethical sales?

Question 29

If a broker fails to update client about margin calls, the risk is:

Question 30

If a client is not informed about product risks, responsibility lies with:

Question 31

If broker prioritizes commission over client benefit, it results in:

Question 32

A broker provides biased advice to earn higher commission. This is:

Question 33

If broker fails to segregate funds, risk arises in:

Question 34

If a broker executes trades after market hours without consent, it is:

Question 35

Practice Set - 2