Trade Life Cycle

Questionnaire
 Questionnaire
Question 1) - Who are the stakeholders in Trading in capital markets?
a) Buyer
b) Seller
c) Brokers
d) Dealers
e) All of Above
f) None of Above

Question 2) - What are the types of orders?

a) active orders
b) passive orders
c) All of Above
d) None of Above
 Questionnaire
Question 3) - What is trade settlement?
a) the day when actual transfer of money takes place from buyer to the seller and actual transfer of securities
takes place from seller of securities to buyer of securities.
b) the day when actual transfer of money takes place from buyer to the seller.
c) the day actual transfer of securities takes place from seller of securities to buyer of securities.
d) None of Above

Question 4) - What is settlement period?

a) Settlement period is the time between the transaction date and the settlement date between the buyer and
seller.
b) The buyer must make payment within the settlement period, while the seller must deliver the purchased
security within this period.
c) The settlement period is often quoted as T+1, T+2 or T+3; which means the transaction date plus one, two
or three days.
d) All of Above
e) None of Above
 Questionnaire
Question 5) - What are the different major agencies involved in the settlement
process?
a) Clearing banks which are responsible for covering bulk of trading and also provide stock lending facility
b) Depositories which are responsible for settlement of dematerialized security
c) Professional clearing members are responsible for clearing and settling trade for their own clients.
d) All of Above
e) None of Above
 Questionnaire
Question 6) - Arrange these statements in correct order.
1)trade start with (sell/ buy) a request to broker
5)broker will place the order in stock exchange.
2)in stock exchange first order match will happen.
4)Once the order is matched settlement will happen and the confirmation will be received from the
clearer/Custodian.
3) buyer or seller will be notified of their trade

a) 1,5,2,4,3
b) 1,2,3,4,5
c) 1,3,2,4,5
d) 1,2,3,5,4
e) 1,3,2,5,4
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