Business Studies

Financial Markets

Easy

The investor has to sign which document with a registered broker or sub broker before placing an order to buy or sell securities under screen based trading system ?

Non disclosure agreement

Broker registration form

Agreement to Sell

Broker client agreement

✅ Correct Option: 4

Under the screen based trading system, before placing any buy or sell order the investor must sign a broker client agreement (along with the client registration form/KYC) with the registered broker or sub broker. This agreement governs the broker-client relationship, so option 4 is correct.

2026: 11 May Shift 2

Match the LIST-I with LIST-II

LIST-I (Terms related to Financial Markets)		LIST-II (Key words)
A.	Primary Market	I. Short Term Fund Market
B.	SEBI	II. Securities Market Regulator
C.	Money Market	III. New Issue market
D.	NSE	IV. Nationwide Trading Facility Establishment

Choose the correct answer from the options given below:

2026: 11 May Shift 2

Arrange the following steps in trading and settlement procedure in correct order:

A. Broker matches the share and best price available online.

B. Investor places an order with the broker to buy or sell shares.

C. Broker issues a contract note

D. Broker issues trade confirmation slip

Choose the correct answer from the options given below:

2022: 16 July Shift 2

Which of the following statement is/are false about Financial market?

A. Investment in capital market requires huge financial outlay.

B. Money market has no physical location.

C. The primary market is known as new issue market.

D. Money market instruments are riskier both with respect to returns and principal repayments.

E. Financial market consists of capital market and secondary market only.

Choose the correct answer from the options given below:

2026: 31 May Shift 1

________________ helps to link the savers and the investors by mobilizing funds between them.

2026: 24 May Shift 1

Match List-I with List-II

List-I (Functions/objectives of SEBI)	List-II (Explanation)
(A) Training of intermediaries	(I) Objective of SEBI
(B) Controlling insider trading	(II) Regulatory function
(C) Guide and educate individual investors	(III) Development function
(D) Levying fee for carrying out the purposes of the act	(IV) Protective function

Choose the correct answer from the options given below:

2026: 23 May Shift 1

Which of the followings is not an objective of SEBI?

The investor has to sign which document with a registered broker or sub broker before placing an order to buy or sell securities under screen based trading system ?

Solution

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