Q1. Which of the following was responsible for regulation of capital markets before SEBI?
(1) RBI
(2) FMC
(3) Controller of Capital Issues
(4) GOI
(5) Securities and Exchange Commission
Answer-3
Q2. On which of the following date, FMC was merged with SEBI?
(1) 28 Sep 2015
(2) 28 Oct 2015
(3) 28 Nov 2015
(4) 28 Dec 2015
(5) 28 Aug 2015
Answer-1
Q3. Which of the following statement is not correct in context to Rights Issue?
(1) This is a method of raising funds from the Primary Market.
(2) Issuer is required to take prior permission from SEBI
(3) The issue is offered in Public.
(4) It does not impact the shareholding pattern of the company.
(5) A successful Rights Issue increases the Net Worth of the company.
Answer-3
Q4. AMFI stands for:
(1) Association of Modern Financial Institutions
(2) Authority for Mutual Fund Institutions
(3) Advisory for Mutual Funds in India
(4) Association of Mutual Funds in India
(5) None of the above
Answer-4
Q5. Who appoints the board members of SEBI?
(1) GOI on the recommendations of RBI
(2) RBI
(3) Equal numbers by both GOI & RBI
(4) Ministry of Finance
(5) GOI
Answer-5
Q6. Which of the following statement is not correct in context of Depository Receipts?
(1) Any Indian company (subject to permission & qualification) can issue ADR.
(2) Any Indian company (subject to permission & qualification) can issue GDR.
(3) Company will get funding in Dollar if it is issuing ADR
(4) Any Indian company can issue BHDR
(5) Company can raise funds in Euro as well as Dollar through GDR.
Answer-4
Q7. Who among the following Dy. Governors of RBI is representing RBI on the board of SEBI?
(1) R. Gandhi
(2) Urjit Patel
(3) H.R. Khan
(4) S.S. Mundra
(5) No Dy. Governor of RBI is there on the board of SEBI
Answer-1
Q8. Find out the wrong pair from the following
(1) NSE - NIFTY
(2) BSE - SENSEX
(3) MSEI - SX40
(4) Tokyo Stock Exchange - Nikkei
(5) Hong Kong Stock Exchange - SSE Composite
Answer-5
Q9. The entity responsible for the success of any issue and charges commission for that is known as:
(1) Merchant Banker
(2) Underwriter
(3) Broker to the Issue
(4) Banker to the Issue
(5) Registrar to the Issue
Answer-2
Q10. Which of the following is not a part of secondary market?
(1) Stock Exchanges
(2) Share Broker
(3) Depositories
(4) Clearing Corporation
(5) Merchant Banker
Answer-5
