LIST OF ATTEMPTED QUESTIONS AND ANSWERS
1 .Question – In case of an IPO of any security of issue size of _________ or more security shall be issued only in demat form..
Correct Answer - 10 corers
2 .Question – The system of rolling settlement prevalent in the USA is
Correct Answer - Transaction + 3
3 .Question – The eligibility norm for an unlisted company for making a public issue as regards to its net worth is
Correct Answer - Net worth of the company should not be less than 1 crore
4 .Question – Employee stock option scheme granted to the employee is transferable. Correct Answer - FALSE
5 .Question – The time frame stipulated by SEBI for members intending to avil of the buyback offer.
Correct Answer - Minimum 15 days and not exceeding 30 days
6 .Question – SEBI has a prescribed format of application for various reports or documents. Correct Answer - TRUE
7 .Question – Correct Answer
A ) MS Verma committee Dual Flotation
B ) Hero Honda FY 203-03 Dividend Rs 187
C) VSNL FY 203-03 Dividend Rs 172
D) Castrol FY 203-03 Dividend Rs 145
8 .Question – Refinance cannot exceed net owned funds of Housing Finance Companies these many times
Correct Answer - 5 times
9 .Question – AA rated companies can raise _____ of its net worth.
Correct Answer - 2.5 times
10 .Question – Final prospectus in the book building process is to be filed with the ______. Correct Answer - ROC
11 .Question – Directors should not be member of more then ______ committee.
Correct Answer - 10
12 .Question – The share of the target company is deemed to be frequently traded.
Correct Answer - if the turnover in the preceding 6 months prior to the month in which PA is made is more than 5%
13 .Question – The person responsible for maintaining an Escrow account in the process of securitization is
Correct Answer - Trustee
14 .Question – The setting up of NSE consists of
Correct Answer -
A ) Set up by IDBI
B) Equity paid up capital of Rs 25 crores
C )Started operations in June 1994
15 .Question – The limitations of refinance facility are
Correct Answer -
A ) Cannot exceed 5 time NOF
B) Not to exceed 50% of total Loan funds of HFC’s
C ) Not to exceed 15% of NOF of NHB
16 .Question – VCF’s are entitled to get its units listed on Stock exchange
Correct Answer - After expiration of 3 years form date of issuance of units
17 .Question – The general obligation of mutual fund are
Correct Answer -
A ) Every AMC should maintain proper books of accounts
B) Financial year for all schemes to end as on march 31 each year
C ) Every mutual fund shall have the annul statement audited by auditor
18 .Question – High risk rating of Crisil indicated by
Correct Answer - B
20 .Question – Companies are not allowed to buy back securities
Correct Answer -
A ) Through any / own subsidiary company
B) Through any / group of investment company
C ) if default subsists in respect of repayments of deposit, term loans to any financial instructions and redemption of preference shares or debenture
21 .Question – The information that is required to be furnished to stock exchanges in compliance of SEBI regulations 1997 are
Correct Answer -
A ) Details of proposed acquisition need to be filed with stock exchanges at least 4 days before the date
B) Any person holding more than 15% but less than 75% voting rights shall be disclosed with 2 days
C ) Annual disclosures
22 .Question – The issue price for placement portion and net offer to public are not the same.
Correct Answer - False
23 .Question – Certain type of acquisitions as stipulated under the regulation 3 of Chapter 1 of the regulations are specifically exempted from the open offer process.
Correct Answer - TRUE
24 .Question – The Company opting for an IPO should have net worth of at least Rs 1 crore in each of the two years.
Correct Answer - TRUE
25 .Question – The transposition cum demat form
Correct Answer -
A ) Helps in effect change in the order of names
B) Dematerializes the securities
C ) Pledging the shares
26 .Question – A _______ account is created for the purpose of distributing receivable to the investors on the securitization deal.
Correct Answer - Escrow
27 .Question – The different type of stock exchanges in India are
Correct Answer -
A ) Voluntary non profit making organizations
B) Joint stock companies limited by shares
C ) Joint stock companies limited by guarantee
28 .Question – The IPO size can exceed five times the pre-issue net worth of the company.
Correct Answer - FALSE
29 .Question – As per the report and the letter of intent filed with SEBI, the amount that is expected to be years.
Correct Answer - 15000 crores
30 .Question – A more contemporary definition of corporate governance is
Correct Answer - corporate governance is all about promoting corporate fairness, transparency and accountability.
31 .Question – The person who change the composition of securities.
Correct Answer - Fund manager
32 .Question – The percentage that RBI has permitted the banks to invest in the capital market
Correct Answer - 5%
33 .Question – Correct Answer
A ) 57% FII current free float sensex
B ) 45% FII free float stock NIFTY
C) $476 mn Global investors pumping funds
D) 10 HDFC foreign currency deal
34 .Question – Crisils BBB rating stands for
Correct Answer - High risk
35 .Question – The ESOP’s are
Correct Answer -
A ) One of the methods of giving part ownership of the company to the employees
B) Employees can take part in the prosperity of the company
C ) Is a reward and linked with the increase in the prices of the shares
36 .Question – The following are some of the regulations governing the NBFC’s issued by RBI
Correct Answer -
A ) All the NBFC’s must register with RBI
B) Without the registration certificate no company can undertake activities of NBFC
C ) All company must be liquid assets equal to 15% of deposit
37 .Question –Market have moved away from Badla system to ________ .
Correct Answer - Derivatives Trading
38 .Question – The features of Mutual Fund are
Correct Answer -
A ) A trust that pools in saving and funds from large number of investors who have common financial goal
B) Issue units to investor which represent right in assets
C ) Investments in mutual funds may be in the form of stock, bond, money market securities
39 .Question –In the book building process pricing is determined on the basis of ________
Correct Answer - Investor feedback
40 .Question – The refinance made available to any HFC is not to be more than
Correct Answer - 60% of its outstanding housing loans
41 .Question – Sweet equity shares are shares issued by a company to employees or directors to discount.
Correct Answer - TRUE
42 .Question – One of the process pf book buildings is that the issuer appoints a ___________ also known as the book runner.
Correct Answer - Lead manager
43 .Question – The eligibility norms for an unlisted company for making a public issue are Correct Answer -
A ) Pre issue net worth not less than 1 crors in the last 3 years
B) Track record of distributable profits for at least 3 years
C ) Issue size shall not exceed five times of its pre issue net worth
44 .Question – The Company which come out with the unique product of bonus debentures is
Correct Answer - Hindustan lever
45 .Question – A bidder can request for a transaction slip as the proof of his having entered the bid.
Correct Answer - TRUE
46 .Question – A bidder can request for a transaction slip as the proof of his having entered the bid.
Correct Answer - TRUE
47 .Question – A custodian can transfer beneficial ownership legally.
Correct Answer - FALSE
48 .Question – The percentage of public offering under the IPOs through the book building method
Correct Answer - 10%
1 .Question – In case of an IPO of any security of issue size of _________ or more security shall be issued only in demat form..
Correct Answer - 10 corers
2 .Question – The system of rolling settlement prevalent in the USA is
Correct Answer - Transaction + 3
3 .Question – The eligibility norm for an unlisted company for making a public issue as regards to its net worth is
Correct Answer - Net worth of the company should not be less than 1 crore
4 .Question – Employee stock option scheme granted to the employee is transferable. Correct Answer - FALSE
5 .Question – The time frame stipulated by SEBI for members intending to avil of the buyback offer.
Correct Answer - Minimum 15 days and not exceeding 30 days
6 .Question – SEBI has a prescribed format of application for various reports or documents. Correct Answer - TRUE
7 .Question – Correct Answer
A ) MS Verma committee Dual Flotation
B ) Hero Honda FY 203-03 Dividend Rs 187
C) VSNL FY 203-03 Dividend Rs 172
D) Castrol FY 203-03 Dividend Rs 145
8 .Question – Refinance cannot exceed net owned funds of Housing Finance Companies these many times
Correct Answer - 5 times
9 .Question – AA rated companies can raise _____ of its net worth.
Correct Answer - 2.5 times
10 .Question – Final prospectus in the book building process is to be filed with the ______. Correct Answer - ROC
11 .Question – Directors should not be member of more then ______ committee.
Correct Answer - 10
12 .Question – The share of the target company is deemed to be frequently traded.
Correct Answer - if the turnover in the preceding 6 months prior to the month in which PA is made is more than 5%
13 .Question – The person responsible for maintaining an Escrow account in the process of securitization is
Correct Answer - Trustee
14 .Question – The setting up of NSE consists of
Correct Answer -
A ) Set up by IDBI
B) Equity paid up capital of Rs 25 crores
C )Started operations in June 1994
15 .Question – The limitations of refinance facility are
Correct Answer -
A ) Cannot exceed 5 time NOF
B) Not to exceed 50% of total Loan funds of HFC’s
C ) Not to exceed 15% of NOF of NHB
16 .Question – VCF’s are entitled to get its units listed on Stock exchange
Correct Answer - After expiration of 3 years form date of issuance of units
17 .Question – The general obligation of mutual fund are
Correct Answer -
A ) Every AMC should maintain proper books of accounts
B) Financial year for all schemes to end as on march 31 each year
C ) Every mutual fund shall have the annul statement audited by auditor
18 .Question – High risk rating of Crisil indicated by
Correct Answer - B
20 .Question – Companies are not allowed to buy back securities
Correct Answer -
A ) Through any / own subsidiary company
B) Through any / group of investment company
C ) if default subsists in respect of repayments of deposit, term loans to any financial instructions and redemption of preference shares or debenture
21 .Question – The information that is required to be furnished to stock exchanges in compliance of SEBI regulations 1997 are
Correct Answer -
A ) Details of proposed acquisition need to be filed with stock exchanges at least 4 days before the date
B) Any person holding more than 15% but less than 75% voting rights shall be disclosed with 2 days
C ) Annual disclosures
22 .Question – The issue price for placement portion and net offer to public are not the same.
Correct Answer - False
23 .Question – Certain type of acquisitions as stipulated under the regulation 3 of Chapter 1 of the regulations are specifically exempted from the open offer process.
Correct Answer - TRUE
24 .Question – The Company opting for an IPO should have net worth of at least Rs 1 crore in each of the two years.
Correct Answer - TRUE
25 .Question – The transposition cum demat form
Correct Answer -
A ) Helps in effect change in the order of names
B) Dematerializes the securities
C ) Pledging the shares
26 .Question – A _______ account is created for the purpose of distributing receivable to the investors on the securitization deal.
Correct Answer - Escrow
27 .Question – The different type of stock exchanges in India are
Correct Answer -
A ) Voluntary non profit making organizations
B) Joint stock companies limited by shares
C ) Joint stock companies limited by guarantee
28 .Question – The IPO size can exceed five times the pre-issue net worth of the company.
Correct Answer - FALSE
29 .Question – As per the report and the letter of intent filed with SEBI, the amount that is expected to be years.
Correct Answer - 15000 crores
30 .Question – A more contemporary definition of corporate governance is
Correct Answer - corporate governance is all about promoting corporate fairness, transparency and accountability.
31 .Question – The person who change the composition of securities.
Correct Answer - Fund manager
32 .Question – The percentage that RBI has permitted the banks to invest in the capital market
Correct Answer - 5%
33 .Question – Correct Answer
A ) 57% FII current free float sensex
B ) 45% FII free float stock NIFTY
C) $476 mn Global investors pumping funds
D) 10 HDFC foreign currency deal
34 .Question – Crisils BBB rating stands for
Correct Answer - High risk
35 .Question – The ESOP’s are
Correct Answer -
A ) One of the methods of giving part ownership of the company to the employees
B) Employees can take part in the prosperity of the company
C ) Is a reward and linked with the increase in the prices of the shares
36 .Question – The following are some of the regulations governing the NBFC’s issued by RBI
Correct Answer -
A ) All the NBFC’s must register with RBI
B) Without the registration certificate no company can undertake activities of NBFC
C ) All company must be liquid assets equal to 15% of deposit
37 .Question –Market have moved away from Badla system to ________ .
Correct Answer - Derivatives Trading
38 .Question – The features of Mutual Fund are
Correct Answer -
A ) A trust that pools in saving and funds from large number of investors who have common financial goal
B) Issue units to investor which represent right in assets
C ) Investments in mutual funds may be in the form of stock, bond, money market securities
39 .Question –In the book building process pricing is determined on the basis of ________
Correct Answer - Investor feedback
40 .Question – The refinance made available to any HFC is not to be more than
Correct Answer - 60% of its outstanding housing loans
41 .Question – Sweet equity shares are shares issued by a company to employees or directors to discount.
Correct Answer - TRUE
42 .Question – One of the process pf book buildings is that the issuer appoints a ___________ also known as the book runner.
Correct Answer - Lead manager
43 .Question – The eligibility norms for an unlisted company for making a public issue are Correct Answer -
A ) Pre issue net worth not less than 1 crors in the last 3 years
B) Track record of distributable profits for at least 3 years
C ) Issue size shall not exceed five times of its pre issue net worth
44 .Question – The Company which come out with the unique product of bonus debentures is
Correct Answer - Hindustan lever
45 .Question – A bidder can request for a transaction slip as the proof of his having entered the bid.
Correct Answer - TRUE
46 .Question – A bidder can request for a transaction slip as the proof of his having entered the bid.
Correct Answer - TRUE
47 .Question – A custodian can transfer beneficial ownership legally.
Correct Answer - FALSE
48 .Question – The percentage of public offering under the IPOs through the book building method
Correct Answer - 10%
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