Practice Set - 1 | Practice Set | NISM Series VIII: Equity Derivatives Certification Examination

Question 1

Which action protects investors from fraud?

Question 2

Which practice improves investor awareness?

Question 3

Which document outlines rights and obligations of broker and client?

Question 4

Which practice is mandatory before opening trading account?

Question 5

KYC stands for:

Question 6

Which factor strengthens investor confidence?

Question 7

Which practice ensures transparency between broker and client?

Question 8

Which activity indicates mis-selling?

Question 9

Which behavior indicates ethical sales practice?

Question 10

Which entity handles investor grievances?

Question 11

Which practice ensures timely communication of trades?

Question 12

Which action helps avoid disputes?

Question 13

Which participant is responsible for accurate reporting to clients?

Question 14

Which action by broker violates client trust?

Question 15

Which mechanism resolves disputes between investor and broker?

Question 16

Which document shows margin requirements clearly?

Question 17

The primary objective of investor protection measures is to:

Question 18

Which concept ensures broker acts in client’s best interest?

Question 19

Which document records all trades executed by broker?

Question 20

Which action ensures client funds safety?

Question 21

Which concept ensures accountability of brokers?

Question 22

Which platform allows investors to lodge complaints online?

Question 23

Which principle ensures fair dealing in markets?

Question 24

Which document must a broker provide to clients before trading?

Question 25

Practice Set - 1