Stock Brokers and Sub-brokers MCQs

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1. Who acts as an intermediary between investors and the stock exchange?





2. Who assists a stock broker in providing services to clients?





3. Which of the following must be registered with SEBI?





4. A stock broker executes trades on behalf of:





5. Who is authorized to buy and sell securities directly on the stock exchange?





6. Sub-brokers are mainly appointed by:





7. The primary function of a stock broker is to:





8. Brokerage is charged by:





9. Who usually shares a percentage of brokerage with sub-brokers?





10. Sub-brokers cannot directly trade on:





11. Stock brokers are members of:





12. Who ensures compliance with SEBI regulations?





13. Online discount brokers mainly provide:





14. Full-service brokers provide:





15. Which is a source of income for stock brokers?





16. Who acts as a link between investors and stock brokers?





17. Which authority regulates stock brokers and sub-brokers in India?





18. Which document is mandatory to open a trading account with a broker?





19. The unique registration number for brokers is issued by:





20. Sub-brokers operate under:





21. The main difference between broker and sub-broker is:





22. A brokerā€™s responsibility includes:





23. Who can charge lower fees but provide limited services?





24. A sub-broker is also called:





25. Stock brokers can provide:





26. Which of the following is a duty of sub-brokers?





27. Stock brokers are required to maintain:





28. Which of the following is an example of a discount broker in India?





29. Sub-brokers are accountable to:





30. Brokers must provide investors with:





31. Which of the following reduces the role of sub-brokers today?





32. Which of the following can open Demat accounts for clients?





33. Brokers who provide both equity and commodity trading are called:





34. The commission earned by a sub-broker is:





35. Which one is true for stock brokers?





36. Which of the following is an international stock brokerage firm?





37. Stock brokers ensure:





38. Which of the following is mandatory for a broker-sub-broker agreement?





39. Who maintains the client ledger?





40. Brokers may provide clients with leverage through:





41. Which of the following is a benefit of stock brokers?





42. Sub-brokers mostly operate in:





43. A stock brokerā€™s role is closest to that of a:





44. Sub-brokers are gradually being replaced by:





45. Brokers must segregate:





46. Brokers registered in multiple exchanges are called:





47. Who prepares periodic reports for SEBI?





48. Brokers help ensure:





49. The rise of sub-brokers was due to:





50. The biggest challenge to sub-brokers today is:





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