SUBJECT-MANAGEMENTOFFINANCIALMARKETS;

Name:SakiDanielComboni
92000424311
Div-C
CourseCode:-MFM(04BB0507)
FINANCESPECIALIZATION

1. MultipleChoiceQuestions:.MM20
1.SEBIwasestablishedintheyear----------------.
(a)1992(b)1988(c)1990(d)1989
2.SEBIActwaspassedin‐‐‐‐‐‐‐‐‐‐‐‐.
(a)1988(b)1990(c)1991(d)1992
3.TheobjectivesofSEBIinclude-------------.
(a) Toprotectinterestsofinventors
(b) Toregulatesecuritiesmarket
(c) Topromotethedevelopmentofthemarket
(d) Alloftheabove
4.TheregulatorybodyforthesecuritiesmarketinIndiais------------.
(a)RBI(b)SEBI(c)IRDA(d)Stockexchanges
5.WhoappointsthechairmanofSEBI?
(a)Centralgovernment(b)Stockexchanges(c)Brokers(d)Investors
6.TheadministrativeheadofficeofSEBIisat------------.
(a)NewDelhi(b)Bombay(c)Kolkata(d)Chennai
7.SEBIhas------------regionaloffices.
(a)3(b)4(c)5(d)7
8.ThepresentchairmanofSEBIis---------------.
(a)AjayTyagi(b)U.K.Sinha(c)C.B.Bhave(d)VijayCKelkar
9.SEBIOmbudsmanwasintroducedin--------------.
(a)2000(b)2002(c)2003(d)2005
10.SENSEXistheindexof--------------------.
(a)Bombaystockexchange(b)Nationalstockexchange(c)Cochinstockexch
ange(d)Noneofthese

11. ThebaseyearofNiftyis-------------.
(a) 1992(b)1978(c)1987(d)1995
12. Bullsandbearsare-------------.
(a) Ordinaryinvestors(b)Governmentagenciesc)Speculators(d)Money
lenders
13. Adepositoryis------------------.
(a) Anelectronictransferthroughdematerialization
(b) Afixeddepositinabank
(c) Atransferofphysicalsecurities(d)Surveillanceonpricemanipulation
14. Listingismandatoryfor------------------.
(a)Trading in stock market (b) Marketing a new issue
(c)Tradingininternationalmarkets(d)Declaringdividend
15.Astockmarketindex-------------.
(a) Showstrendsinthemarket(b)Providesweightstoshares
(c)Showthevolumeoftradeinmarket(d)Showstransactionsofshares
16.Alameduckisa---------------.
(a)bullwhodoesnotkeephispromise(b)bearwhocannotkeephiscommitment
s
(c)cautiousspeculator(d)premiumhunter
17.Whichofthefollowingisaglobalstockmarketindex?
(a)OTCEIindex(b)Nifty(c)Sensex(d)FTSE100
18. Whichofthefollowingisnotaglobalstockmarketindex?
 (a)DJIA(b)S&P500index(c)MCSIindex(d)S&PCNX.
19. S&PCNXwasintroducedin---------------.
(a)1996(b)1998(c)1986(d)Noneofthese
20.ThebaseyearofBSESensexis--------------.
(a)1978‐79(b)1979‐80(c)1977‐78(d)Noneofthese
21. ThebaseyearofCNXniftyjunioris----------------.
(a)1997(b)1996(c)1999(d)1995
22. Thenumberofscrip’sincludedinniftyjunioris--------------.
(a)40(b)50(c)30(d)100
23.CDSLisestablishedin----------------.
(a)2000(b)1999(c)1998(d)199724.DepositoriesActise
nactedin-----------------.

(a)1993(b)1998(c)1997(d)1996
25.ThepresentrollingsettlementscycleT+2isintroducedin---------------.
(a)2003(b)2001(c)2000(d)2008
26.GroupAconsistsof-----------------.
(a)Clearedsecurities(B)Non‐Clearedsecurities(c)Governmentsecurities(d)
Noneofthese.
27.Permanentremovalofsecuritiesofacompanyfromthestockexchange.
(A)De-listing(b)Re‐listing(c)Listing(d)Noneofthese
28.TheNiftyconsistsof-----------------.
(a)30stocks(b)25stocks(c)50stocks(d)100stocks
29.Acontrolsystemonexcessivefluctuationinstockmarketpricesiscalled-----
--------.
(a)Circuitbreaker(b)Stockindex(c)Depository(d)Noneofthese
30.ThenumbersofrecognizedstockexchangesinIndiais----------.
(a)20(b)21(c)22(d)23
31.‐‐‐‐‐‐‐‐‐‐‐‐‐‐isthemarketwheretheexistingsecuritiesofcompaniesaretraded.
(a)Primarymarket(b)Secondarymarket(c)Moneymarket(d)Noneofthese
32.‐‐‐‐‐‐‐‐‐‐‐‐istheprocessofadmittingsecuritiesfortradingonarecognizedsto
ckexchange.
(a)Issuing(b)Investing(c)Listing(d)Noneofthese
33.Deviseadoptedtomakeprofitoutofthedifferenceinpricesofasecurityintw
odifferentmarketsiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)Arbitrage(b)Margintrading(c)Calloption(d)Noneofthese
34.Thenumberofstorewhichislessthanthestandardunitiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐
‐.
(a)Arbitrage(b)Margintrading(c)Oddlots(d)Noneofthese0
35.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isaprofessionalindependentbrokerwhodealsinsecuritieson
hisownbehalf.

(a)Arbitrage(b)Jobber(c)Oddlots(d)Noneofthese
36.Apersonappointedbyastockbrokertoassisthiminthebusinessofsecuritie
stradingiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)Subbroker(b)Tarawaniwalas(c)Authorizedclerk(d)Noneofthese37.Spec
ulatorswhoneitherbuynorsellsecuritiesinthemarketbutstilltradeonthemare
called‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)Wolves(b)Stags(c)Bears(d)Noneofthese
38.Theprocessofhedgingtheentiresupplyofaparticularsecuritywithaviewto
dictatingtermiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)Washsale(b)Arbitrage(c)Cornering(d)Noneofthese
39.Underdepositorysystemtheallotmentandcreditofsharestothebeneficiar
yamountshouldbecompletedwithinhowmanydaysfromthedateofanissu
e?

(a)15days(b)21days(c)7days(d)14days
40.Memberofstockexchangesiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Stockbroker(b)Investor(c)Issuer(d)Noneofthese
41.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐buyandsellsecuritiesonbehalfoftheinvestingpublic.
(a)Arbitrage(b)Commissionbrokers(c)Stockbroker(d)Noneofthese
42.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isthepersonwhobuyssecuritieswithaviewtoselltheminfutureat
aprofit.
(a)Speculator(b)Issuer(c)Stockbrokers(d)Noneofthese
43.Apersonwhosellstheshareswiththeexpectationofbuyingtheminfutureat
areducedprice.

(a)Bull(b)Bear(c)Stag(d)Noneofthese
44.IntheIndianstockexchangeabullisknownas------------.
(a)Badla(b)Tejiwala(c)Mandiwala(d)Noneofthese
45. Riskinvolvedingamblingis‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)High(b)Low(c)Veryhigh(d)Noneofthese
46. Theprocessofartificiallyincreasingordecreasingthepriceisknownas‐‐‐‐‐‐‐
‐‐‐‐‐‐‐.
(a)Pricebond(b)Pricerigging(c)Coversystem(d)Noneofthese
47. Anorderforthepurchaseofsecuritiesofafixedpriceisknownas‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Limitorder(b)Openorder(c)Stoplossorder(d)Noneofthese
48. TheelectronicclearingandDepositorysystemsetupbythe‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)SGL(b)SHCIL(c)HCL(d)Noneofthese
49. Nationalstockexchangeoperationsaredividedinto‐‐‐‐‐‐‐‐‐‐‐andcapitalmar
ketsegment.
(a) Wholesaledebtmarket(b)Moneymarket(c)Secondarymarket(d)None
ofthese
50. ‐‐‐‐‐‐‐‐‐‐‐‐‐isamarketwhereunlistedsecuritiesaredealing.
(a) Greymarket(b)Kerbmarket(c)Capitalmarkets(d)Noneofthese
51. ‐‐‐‐‐‐‐‐‐‐‐‐‐isabarometerformarketbehavior.
(a) Investment(b)Index(c)Arbitrage(d)Noneofthese
52. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isanumberwhichmeasuresthechangeinasetofvaluesoverape
 riodoftime.
(a)Index(b)Sample(c)Weightage(d)Noneofthese
53.Securitiesof‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐companiesaretradedinsecondarymarket.
(a)Listed(b)Relisted(c)Unlisted(d)Noneofthese
54.Whichofthefollowingisconsideredasmeansoffbalancesheetfinancing?
(a)Derivation(b)Equities(c)Debts(d)Noneofthese
55. Anoptionexercisedatthetimeofmaturityitistermedas‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.(a)
Americanoption(b)Europeanoption(c)Calloptions(d)Noneofthese
56. Anoptionexercisedatanytime,itistermedas‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Americanoption(b)Europeanoption(c)Calloptions(d)Noneofthese
57.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐optionsarecontractwhereexercisepriceisequaltospotprice.
(a)Atthemoney(b)Inthemoney(c)Outthemoney(d)Noneofthese
58.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐arecallednon‐clearedsecurities.
(a)GroupBshare(b)GroupAshare(c)GroupGshares(d)Noneofthese
59.‐‐‐‐‐‐‐‐‐‐‐‐‐‐includesgovernmentsecurities.
(a)GroupBshare(b)GroupAshare(c)GroupGshares(d)Noneofthese
60.‐‐‐‐‐‐‐‐‐‐‐‐‐‐includesfixedincomesecurities.
(a)GroupAshare(b)GroupBshare(c)GroupFshares(d)GroupGshares
61.----------------
consistsofscripswhicharetradedontradetotradebasisformarketsurveilla
ncereasons.

(a)GroupSshare(b)GroupTshares(c)GroupFshares(d)GroupGshares62.-
--------------representsscripsformingpartoftheBSEIndonextsegment.

(a)GroupSshare(b)GroupTshares(c)GroupFshares(d)GroupGshares
63.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isthefirstdepositoryinIndia.
(a)CentraldepositoryservicesIndiaLtd.(b)NationalsecuritiesdepositoryLtd.
(c)StateofIndiadepositoryservicesLtd.(d)Noneofthese
64.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐istheseconddepositoryinIndia.
(a)CentraldepositoryservicesIndiaLtd.(b)NationalsecuritiesdepositoryLtd.
(c)StateofIndiadepositoryservicesLtd.(d)Noneofthese
65. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐meanseliminatingthepapercertificatesandmaintainingrecor
dsintheformofelectronicentriesonly.
(a)Dematerialization(b)Depository(c)Stockmarketindex(d)Noneofthese
66. Aspeculatorexpert’sriseinpriceofashareiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Bull(b)Bear(c)Stag(d)Lameduck
67.Anewindexcalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isdevelopedbyNSE.
(a)S&PCNXnifty(b)BSE200&DOLLEX200(c)BSEIPOIndex(d)Noneofthese
68. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐istheprocessofconvertingphysicalpapershareintodematsh
are.(a)Dematerialization(b)Depository(c)Dematerialization(d)Noneo
fthese
69. QIPstandsfor------------.
(a) Qualified institutional placement (b) Qualified industrial
placement
(c)Qualifiedinvestmentplacement(d)Noneofthese
70. Futuresandoptionare-------------.
(a)Derivatives(b)Speculators(c)Moneylenders(d)Ordinaryinvestors
71. AnofferdocumentpreparedforthepurposeofQIPiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Placementdocument(b)Speculation(c)Dematerialization(d)Noneofthes
e
72.---------------
dealswithcreationofnewandimprovedfinancialproductsthroughinnovati
vedesignorrepackagingofexistingfinancialinstruments.

(a)Financialintermediation(b)Financialengineering(c)Financialinstrumenta
tion(d)Noneoftheabove

73.Bulland‐‐‐‐‐‐‐‐‐‐‐‐‐‐arespeculators.
(a)Bear(b)Cow(c)Lion(d)Noneofthese
74.Computersarelinkedbysatellitethrough‐‐‐‐‐‐‐‐‐‐‐inNSE.
(a)VAST(b)SGL(c)SHCIL(d)Noneofthese
75.MembersofOTCEIare‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐only.
(a)Corporate(b)Derivatives(c)Speculators(d)Noneofthese
76. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isamarketfordealinginunlistedsecurities.
(a)Greymarket(b)Kerbmarket(c)Capitalmarket(d)Noneofthese
77. ThefirststockexchangeinIndiawasstartedin‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)1875(b)1885(c)1895(d)1865
78.Adepositoryisaninstitutionwhichtransferstheownershipofsecuritiesin‐‐‐
‐‐‐‐‐‐‐‐‐‐‐‐mode.

(a)Electronic(b)Artificial(c)Analytical(d)Noneofthese
79.Depositoryparticipantisthelinkbetweenthe‐‐‐‐‐‐‐‐‐‐‐andtheowner.
(a)Depository(b)Government(c)Corporate(d)Noneofthese
80.‐‐‐‐‐‐‐‐‐‐‐‐‐‐systemreducestimefortransferfortransferofsecurities.
(a)Depository(b)government(c)Investment(d)Noneofthese
81.Depositorysystemleadsto‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Scriplesssystem(b)Onlinesystem(c)Offlinesystem(d)Noneofthese
82.Aninstrumentwhichderivesitsvaluefromanassetbackingitiscalled‐‐‐‐‐‐‐‐‐‐
‐‐‐‐.
(a)Derivatives(b)Depository(c)Documentation(d)Noneofthese
83.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐contractsarenotatallstandardized.
(a)Forward(b)Option(c)Swap(d)Noneofthese84.Thetraderwhopromis
estobuyin‐‐‐‐‐‐‐‐‐‐‐contractissaidtobein‘longposition’.(a)Forward(b)Opt
ion(c)Swap(d)Noneofthese

85.In‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐contractthesellerisreferredtoasa‘writer’.
(a)Forward(b)Option(c)Swap(d)Noneofthese
86.Financial‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐aremainlyusedforhedgingrisk.
(a)Derivatives(b)Speculators(c)Investors(d)Noneofthese87.Acombination
offorwardsby2counter‐partieswithoppositebutmatchingneediscalled‐‐‐‐‐‐‐‐‐
‐‐‐.
(a)Swap(b)Forward(c)Future(d)Noneofthese
88.‐‐‐‐‐‐‐‐‐‐‐‐‐‐contractsarestandardized.
(a)Future(b)Forward(c)Swap(d)Noneofthese
89.Agreedpriceof‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐contractisknownasstrikeprice.
(a)Future(b)Option(c)Swap(d)Noneofthese
90.Thepre‐determinedpriceatwhichanunderlyingassethastobeboughtorsol
disanoptioncontractiscalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)Exerciseprice(b)Agreedprice(c)Strikeprice(d)Noneofthese
91. ‐‐‐‐‐‐‐‐‐‐‐‐‐givestheoptionholderarighttobuyanunderlyingassetatanexercis
epriceinfuture.
(a)Calloption(b)Putoption(c)Callandput(d)Noneofthese
92. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isacontractfortemporaryexchangeofobligationthateachpartyh
asunderitsrespectivecontract.
(a)Swap(b)Forward(b)Option(d)Noneofthese
93.OTCEIstandsforOvertheCounter‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ofIndia.
(a)Exchange(b)Expand(c)Extent(c)Noneofthese
94.CDSLstandsfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)CentralDepositoryServicesLtd.(b)CentralDerivativesServicesLtd.(c)Cent
ral
DerivativesSystemLtd(d)CentralDepositSystemLtd
95.NationalsecuritiesdepositoryLtdincorporatedon‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)December12,1995(b)December21,1995(c)December211985(d)Noneoft
hese

96.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐meanstheworthofshareholding.
(a)Marketcapitalization(b)marketcreation(c)marketspecification(d)noneof
these
97.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐measuredindollarterm.
(a)S&PCNXnifty(b)BSESENSEX(c)BSE200andDOLLEX200(d)noneofthese
98.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐wasintroducedinJan1986.
(a)BSESENSEX(b)S&PCNXnifty(c)BSE200andDOLLEX(d)noneofthese
99.‐‐‐‐‐‐‐‐‐‐‐‐‐referstopermanentremovalofsecuritiesofalistedcompanyfrom
astockexchange.

(a)Compulsorydelisting(b)Voluntarydelisting(c)Listing(d)Relisting
100.In‐‐‐‐‐‐‐------
-,alistedcompanydecidesonitsowntopermanentlyremoveitssecuritiesfro
mastockexchange.

(a)Compulsorydelisting(b)Voluntarydelisting(c)Relisting(d)Listing101.

Mostofthespeculativepurchasesaremadeonthebasisof‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.(
a)Margintrading(b)Arbitrage(c)Washsale(d)noneofthese102.
‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isthefictitioustransaction.

(a)Margintrading(b)Arbitrage(c)Washsale(d)noneofthese
103.
‐‐‐‐‐‐‐‐‐‐‐‐‐‐meansartificiallypushingupthemarketpriceofaparticularsecurity.
(A)Rigging(b)Cornering(c)Margintrading(d)noneofthese104.
Riggingactivityiscarriedonbythe‐‐‐‐‐‐‐‐‐‐‐‐‐‐speculators.

(a)Bull(b)Swap(c)Bear(d)Lameduck105.
‐‐‐‐‐‐‐‐‐‐‐‐‐‐ishighlyspecializedandskilledspeculativeactivity.

(a)Margintrading(b)Arbitrage(c)Washsale(d)noneofthese
106.NationalsecuritiesclearingcorporationLtd.establishedin‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)1994(b)1995(c)1996(d)1998
107.NationalsecuritiesclearingcorporationLtdestablishedin‐‐‐‐‐‐‐‐‐‐.
(a)1995(b)1996(c)1997(d)1998
108.NationalSecuritiesDepositoryLtdestablishedin‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)1995(b)1996(c)1997(d)1998
109.OTCEIwasincorporatedin‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)1990(b)1991(c)1992(d)1993
110. Thenumberofde‐organizedstockexchangesinIndia.
(a) 4(b)5(c)6(d)Noneofthese
111. NationalstockexchangeofIndiasituatedat‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Bangalore(b)Hyderabad(c)Bombay(d)Noneofthese
112. Allactivitiesrelatedtofinanceandorganizedintoasystemcalled‐‐‐‐----
‐‐‐‐‐‐‐‐.
(a)Capitalmarket(b)Moneymarket(c)Financialsystem(d)openmarket11
3. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐istermedasthelifebloodofafirm.

(a)Employee(b)Finance(c)Management(d)Technology
114.
‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐referstotheactivityoftransformingsavingsintoinvestment.
(a)Resourcedevelopment(b)Capitalformation(c)Creditsyndication(d)None
ofthese
115.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐canbedefinedasactivities,benefitsandsatisfactionsconne
ctedwiththesaleofmoneythatoffertousersandcustomers,financialrelate
dvalue.

(a)Moneymarket(b)Stockexchange(c)Financialservices(d)Financialmanag
ement116. Theratiooffinancialassetsis‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ofeconomicgrowth.

(a)anindicator(b)themarketvalue(c)thebasis(d)theprestigevalue117.
Capitalmarketisamarketfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐capital.

(a)Longtermcapital(b)Shorttermcapital(c)Workingcapital(d)Fixedcapital1
18. SEBIstandsfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)SecuritiesExchangeBoardofIndia(b)StockExchangeBoardofIndia(c)Sec
uritiesand
ExchangeBoardofIndia(d)StockEarnBoardofIndia
119.Equitysharesarethe‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐sharesofalimitedcompany
(a)Voting(b)Ordinary(c)Limited(d)Unlimited
120.
Equitysharesandpreferencesharesareownershipsecurities,alsoknownas
‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Debtcapital(b)Capitalstock(c)Fixedcapital(d)Capitalissue
121.
Bonds,debenturesetc.arecreditorshipsecurities,alsoknownas‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Debtcapital(b)Capitalstock(c)Workingcapital(d)Capitalissue
122. Equityshareswithdetachablewarrantswillenablethewarrantholdertoa
pplyforspecifiednumberof‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐atdeterminedprice.
(a)Preferenceshares(b)Equityshares(c)Bonds(d)Debentures
123. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐areequitysharesissuedbythecompanytoemployeesordire
ctorsatadiscountorforconsiderationotherthancash.
(a)Derivatives(b)Securitizedinstruments(c)Sweatequityshares(d)detachab
lewarrants
124.ThecompaniesAct(Sec.85)describespreferencesharesasthosewhichc
arrya‐‐‐‐‐‐‐‐righttopaymentofdividendduringthelifetimeofthecompany.

(a)Dividend(b)Interest(c)Preferential(d)Priority
125.Convertiblepreferencesharescanbeconvertedtoequitysharesattheopti
onoftheholder,sothesesharesarealsoknownas‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)Conversionofpreferenceshares(b)Quasiequityshares(c)fullyconvertible
preferenceshares(d)Participatingpreferenceshares

126.Debentureisa‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐instrumentissuedbythecompanywithapromis
etopayinterestandrepaytheprincipalonmaturity.
(a)Credit(b)Debt(c)Cash(d)Negotiable
127. Governmentbondsarefixedincomedebtinstrumentsissuedbythe‐‐‐‐‐‐‐‐
‐‐‐‐‐‐‐‐‐‐‐‐tofinancetheircapitalrequirementsordevelopmentsprojects.
128. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐issuedbythecentralgovernmentorstategovernmentsareref
erredtoasgovernmentsecurities.
(a)Instruments(b)Securities(c)Bonds(d)Shares
129.Governmentsecuritiesarealsocalled‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐becauseofthesafetya
ndsecurityofinvestmentsmadeinthemandregularityofreturn.

(a)Gift‐edgedsecurities(b)Longtermsecurities(c)Shorttermsecurities(d)Inv
estments130. Governmentsecuritiesareissuedthrough‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ofRBI.

(a)Publicdebtoffice(b)SEBI(c)DFHI(d)Stockexchange
131.‐‐‐‐‐‐‐‐‐‐‐‐issuedbyaforeignentity,suchasbankorcompany,butisissuedan
dtradedintheUnitedStatesanddenominatedinU.S.dollars.

(a)Bonds(b)GDR(c)IDR(d)Yankeebonds
132.RBIestablished‐‐‐‐‐‐‐‐‐‐‐‐‐in1988toperformthemoneymarketoperationso
nitsbehalf.

(a)SEBI(b)RBIoffice(c)DFHI(d)SBI
133.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isaunsecuredpromissorynoteissuedwithafixedmaturity,by
acompany,andapprovedbyRBI,maturityfrom7daystooneyear,issuedatad
iscountonthefacevalue.
(a)CertificateofDeposits(b)Treasurybill(c)CommercialBills(d)Commercial
papers
134.Arepurchaseagreement,therepurchasepricewillbegreaterthantheorigin
alsaleprice,thedifferenceeffectivelyrepresentinginterest,knownas‐‐‐‐‐‐‐‐‐‐
‐‐‐‐‐‐‐‐‐.

(a)Interestrate(b)Reporate(c)Repocharge(d)Repocommission135.
SGLstandsfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)SubsidiaryGeneralLedger(b)SubGeneralLedger(c)SubsidiaryGeneralLoa
n(d)Subsidiaryg‐loan.

136.
SEBIwasgivenastatutorystatusintheyearof‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐byanactofparliamen
t.
(a)1992(b)1988(c)1993(d)1991
137.‐‐‐‐‐‐‐‐‐‐‐‐‐‐isthetradingofsecuritiesofacompanybyindividualswhoareins
omewayconnectedwiththecompanyandhastonon‐publicpricesensitivein
formationaboutthecompany.
(a)Speculativetrading(b)Hedging(c)Insidertrading(d)Internaltrading13
8. MAPINstandsforMarketParticipant---------------.

(a)IndividualNumber(b)Identification(c)Institutions(d)Noneofthese139.
NBFCsstandsfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)NonBankingFundCompany(b)Non-
BankingFinancialCompanies(c)NonBankingFinanceCouncil(d)Noneofthes
e

140.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐isanindependentbodytoassisttheregulatorsinframingandad
ministeringregulatinginthecapitalmarket.E.g.Financeindustrydevelopm
entcouncil.

(a)SNO(b)SRO(c)RBI(d)SEBI
141.Origination,underwritinganddistributionarethe3mainservicesof‐‐‐‐‐‐‐‐‐‐‐
‐‐‐‐‐‐market.

(a)Capitalmarket(b)Secondarymarket(c)SEBI(d)Primarymarket14
2. IPOstandsfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)InitialPublicOffer(b)InitialPublicOffering(c)IndividualPublicoffer(d)none
ofthese
143.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐meansanoptionofallotingequitysharesinexcessofthe
equitysharesofferedinthepublicissueasapost‐listingpricestabilisingmec
hanism.

(a)GSP(b)SRO(c)Greenshoeoption(d)Noneofthese
144.Bonusissueistheissueofsharesto‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐outofthefreereservesofthe
company.

(a)Existingshareholders(b)Newshareholders(c)Noneofthese(d)A
llofthem145. ESOPstandsfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)EmployersStockOptionPlan(b)EmployeesStockOptionPlan(c)Employee
sStockOption
Premium(d)EmployeesStockOwnershipPlan
146.
Underwriterschargeacommissionfortheirservicewhichisknownas‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)Commission(b)Penalty(c)Underwritingcharge(d)Underwritingco
mmission147. Stockbrokermeansamemberofa‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)SEBI(b)RBI(c)SBI(d)Stockexchange148.
NetTangibleassetsmeansallnetassetsexcluding‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐assets.

(a)Tangibleassets(b)Intangibleassets(c)Totalassets(d)Noneofthese
149.Marketmakersareintermediariesappointedby‐‐‐‐‐‐‐‐‐‐‐‐‐‐tosellorbuyitsse
curitiesatanytimeasperagreedcontract.

(a)RBI(b)Stockexchange(c)Company(d)Noneofthese150.
QIBstandsfor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)QualifiedInstitutionalBuyer(b)QualifiedInstitutionalBonds(c)QualifiedInf
ormationforBuyers(d)Allofthese

151.Sharescanbedistributedthroughoutrightsalebycompaniestoselectgrou
 pofpersons,thisisknownas---------------.

(a)Publicissue(b)Privateplacement(c)Institutions(d)Underwriting152.
Marketforborrowingandlendingshorttermfundsiscalled---------------.

(a)Moneymarket(b)Capitalmarket(c)Derivativemarket(d)Forexmarket
153.Whocontrolsmoneymarket?
(a)RBI(b)SBI(c)DFHI(d)SIDBI
154.
WhichofthefollowingmarketshelpRBIinimplementingitsmonetarypolicies?
(a)Moneymarket(b)Capitalmarket(c)Forexmarket(d)Debtmarket
155.Whichofthefollowingdebtinstrumentisissuedbylargecreditworthycom
paniesasameansforfinancingtheirworkingcapitalneeds?

(a)CP(b)CD(c)IBPC(d)Commercialbills
156.Moneymarketdealswith:
(a)Shorttermfunds(b)Longtermfunds(c)Ownershipfunds(d)Creditrati
ng157. Whatistheminimumissuesizeofcommercialpapers?

(a)10lakh(b)5Lakh(c)5crore(d)2lakh
158.CertificateofdepositswereintroducedintheIndianmarketin‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)1989(b)1990(c)1991(d)1988
159.ThematurityperiodofCDsissuedbybanksvariesfrom-------------.
(a)7daysto1year(b)7daysto3years(c)1dayto1year(d)1and3years
160.
Aninstrumenttofundtheshorttermneedsofbanksthroughinter‐bankparticipa
tion.
(a)CDs(b)InterBankRepo(c)CPs(d)IBPCs161.
TheCRISILratingneededforcorporatestoissueacommercialpape
r.

(a)CRISILP-1(b)CRISILP-2(c)CRISILP-3(d)Noneofthese
162.Animportantmoneymarketisinstrumentbythegovernmenttobridgethed
eficitbetweentherevenueandexpenditureinthebudget.

(a)T‐bills(b)Bonds(c)CDs(d)CPs163.
Aloanforveryshortperiodiscalled--------------.

(a)Callloans(b)cashloans(c)T‐bills(d)Noneofthese
164.
Amarketforborrowing/lendingoffundsforaperiodofonedayto14days.(a)T
ermmoneymarket(b)Callmoneymarket(c)Commercialbillsmarket(d)Non
eofthese165. GSOstandsfor----------.

(a)Goldenshoeoption(b)Greenshoeoption(c)Greenstockoption(d)Noneofth
ese
166.IssueofequitysharestoQIBsonprivateplacementbasisiscalled--------------.
(a)Qualifiedinstitutionsplacement(b)Preferentialplacement(c)Initialpublic
offer(d)Noneofthese

167.Issueofsharestotheexistingshareholdersoutofthefreereservesoftheco
mpanyiscalled-----------------.

(a)Bonusissue(b)Rightissue(c)ESOP(d)SWEATequity
168.
Apricingmechanismfornewissuesbasedonassessmentofmarketdemand.
(a)Bookbuiding(b)Greenshoeoption(c)Fixedpriceissue(d)Noneofthe
se169. QIPstandsfor------------------.

(a) QualifiedInstitutionalPlacement
(b) QualifiedInvestmentPlacement
(c) QualifiedInvestorPlacement
(d) QualifiedInstitutionalPlayers
170.PublicissuemeansIPOand‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a)ESOP(b)Rightsissue(c)Bonusissue(d)FPO171.
FPOandIPOcanbeeitherafreshissueor‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.

(a)Offerforsale(b)Offerofsale(c)Privateplacement(d)Noneofthese
172.AccordingtoCompaniesAct,anissuebecomespublicifitisanallotmentto
morethan‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐persons.

(a)49(b)51(c)50(d)Noneofthese
173.
Anofferofsecuritiestothepublicforthefirsttimebyanutilizedissueriscalled----
-----.
(a)FPO(b)IPO(c)DPO(d)Noneofthese
174. Afreshissueorofferforsaleofsecuritiesmadebyalistedcompanytothe
publiciscalled-------------.
(a) FPO(b)IPO(c)DPO(d)Noneofthese
175. Amarketforborrowingandlendingfundsforaperiodexceeding14days.
(a) Termmoneymarket(b)Callmoneymarket(c)Commercialbillmark
et(d)Noneofthese176. Anofferdocumentincaseofapublicissueis-------
-------.
(a)Prospectus(b)Redherringprospectus(c)Letterofoffer(d)Noneofthese
177.Aprospectuswhichdoesnothavedetailsofeitherpriceornumberofshares
offerortheamountofissue.

(a)Redherringprospectus(b)Statementinlieuofprospectus(c)Shelfprospect
us(d)Noneofthese

178.
AninvestorwhoappliesorbidsforsecuritiesforavaluenotmorethanRs.2lakh.
(a)Retailindividualinvestor(b)Qualifiedinstitutionalbuyer(c)Non‐institutiona
linvestor(d)Noneofthese

179.WhichofthefollowingisnotaQIB?
(a)Mutualfunds(b)Foreigninstitutionalinvestors(c)Retailindividualinvestor(
d)Scheduledcommercialbanks

180.Thetimelimitforallottingsecuritiesfromthedateofclosureoftheissueis---
-----------.
(a)15days(b)30days(c)45days(d)Noneofthese
181.Incaseofabookbuiltissue,theallocationtoretailinvestorshouldnotbe------
-----.
(a)Lessthan35%(b)Morethan35%(c)Lessthan10%(d)Noneofthese
182.AsecurityusedbyRBItoadjustliquidityinthefinancialsystemiscalled--------
------.
(a)REPO(b)CDs(c)CPs(d)TBs
183.Anunsecuredloanextendedbyonecorporatetoanotheriscalled-------------.
(a)IBPCs(b)Commercialbills(c)CDs(d)ICDs
184. Bondsissueatadiscountandredeemedpriortoitsmaturityiscalled------
----------
-.(a)Mortagebonds(b)Zerocouponbonds(c)Convertiblebonds(d)Noneoft
hese185. Abondthatcanberedeemedpriortoitsmaturityiscalled--------------
-.

(a)Callablebonds(b)Optionbonds(c)Step‐upbonds(d)Non‐callablebonds
186.Bondswhereinterestrateisafixedpercentageoverthewholesalepriceind
exiscalled

---------------.
(a)Capitalindexbonds(b)Fixedratebonds(c)Step‐downbonds(d)Noneofthes
e
187.‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐canbereferredtoasmerchantbankerstoGovernmentofIndia.
(a)Primarydealers(b)RBI(c)Satellitedealers(d)Noneofthese
188.
Theequitysharesissuedbyacompanytoitsemployeesordirectorsarecalled---
---------.
(a)SWEATEquity(b)Non-
votingshares(c)Equityshares(d)Preferenceshares189.
MMMFstandsfor---------------.

(a)MoneyMarketMutualFunds(b)MonetaryMarketMutualFunds
(c)MoneyMediumMutualFunds(d)Noneofthese
190.Saleofsecuritiestogetherwithanagreementbythesellertobuybackthese
curitiesatalaterdate.

(a)REPOs(b)CBLO(c)ICDs(d)CDs.
191.Insidertradingmeans-------------.
(a) Purchaseofsecuritiesbyownersofthecompany
(b) Takingadvantageofinternalpricesensitiveinformationfortrading
(c) Tradeforpurchaseofsharesonlybyemployees
(d) Investorsselltheirfinancialpapertorelativesofthefirms.
192.Thefraudulentandunfairtradepracticesrelatingtosecuritiesmarketregul
ationin2003waspassedtoprohibit--------------------.

(a) Insidertradingpractices
(b) Brokersfromillegaltrading
(c) Foreigninstitutionalinvestorsinthemarket
(d) Manipulationofpricesandmisleadingstatements.
193. --------------
mutualfundinvestmentinstrumentsdealwithunitsthatarepurchasedor
redeemedthroughouttheyear.
(a) Openended(b)Closeended(c)Incomefund(d)Growthfund
194. --------------
mutualfundinvestmentinstrumentsdealwithunitsthatcanbepurchase
dduringinitialperiodonlyandredeemedonaspecificmaturitydate.
(a) Openended(b)Closeended(c)Incomefund(d)Growthfund
195. Purchaseorredemptionofopenendedmutualfundsaredoneatpersistin
g----------------.
(a) MarketValue(b)NetAssetValue(c)InvestmentValue(d)Noneofthese
196. Themutualfundschemethatprovidescapitalappreciationthroughinves
tingtheirmoneymajorlyinequitystocksiscalled---------------.
(a) Growthfund(b)Incomefund(c)Liquidfund(d)Fundoffund
197. Themutualfundschemeinwhichtheinvestorinvestingtheirmoneymajo
rlyinfixedincomeinstrumentssuchasdebentures,bondsetc.iscalled----
----------.
(b)Growthfund(b)Incomefund(c)Liquidfund(d)Fundoffund198.
ELSSstandsfor---------------.

(a) EnterpriseLinkedSavingScheme
(b) EquityLinkedSavingsScheme
(c) EquityLinkingSavingsSystem
(d) EntrepreneursLinkingSavingsSystem
199. EquityLinkedSavingsSchemehasaminimumlockinperiodof----------------
-.
(a)1year(b)2years(c)3years(d)5years
200. TheregulatorybodyofmutualfundsinIndiais---------------.
(a)RBI(b)SEBI(c)IRDA(d)Government