Question 1

Which of the below statements are incorrect with respect the Stock brokers-    1.The transaction entered cannot be cancelled or made invalid except in the case of fraud, misrepresentation or in case of a material mistake.   2. The stock broker needs to issue a contract note for every transaction, specifying whether he is acting as principal or agent.  3.While buying or selling securities as a principal for the clients the stock broker has to obtain the consent of SEBI.  4.The stock brokers to be registered with Companies act 2013 in order to function as brokers. 

Correct! Wrong!

Question 2

Correct! Wrong!

Question 3

Correct! Wrong!

Question 4

Correct! Wrong!

Question 5

Correct! Wrong!

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