Sub- Capital Market and Financial Services
M. com- II Semi- IV
Q.1 The capital market in India is controlled by?
(a) RBI
(b) NABARD
(c) SEBI
(d) IRDA
Answer: c
Q2. SEBI was established in which year?
(a) 1990
(b) 1989
(c) 1992
(d) 1988
Answer: d
Q.3 How many companies are included in the BSE Sensex ?
(a) 25
(b) 30
(c) 50
(d) 111
Answer: b
Q4. Which among the following does not belong to the stock exchange?
(a) KPO
(b) IPO
(c) NSE
(d) NAV
Answer: a
Q5. Which among the following is not an objective of SEBI?
(a) To regulate securities market
(b) To protect interests of inventors
(c) To promote individual businesses
(d) To promote the development of the market
Answer: c
Q.6. Which of the following are responsible for the fluctuations in the Sensex?
(a) Monetary policy
(b) Political instability
(c) Rain
(d) None of the above
Answer: a
Q.7 Nifty was established in which year?
(a) 1952
(b) 1965
(c) 1996
(d) None of these
Answer: c
Q.8 Which of the following is a global stock market index?
(a) Sensex
(b) FTSE100
(c) OTCEI index
(d) Nifty
Answer: b
Q.9 The money market where debt and stocks are traded and maturity period is more than a year is known as
(a) Long-term market
(b) Counter market
(c) Capital market
(d) Shorter term market
Answer: c
Q10.The regulatory body for the securities market in India is
(a) Stock exchanges
(b) IRDA
(c) RBI
(d) SEBI
Answer: d
11. How many companies are included in the SENSEX?
(a) 30
(b) 50
(c) 111
(d) 25
Answer: a
12. Which of the following is responsible for the fluctuations in the Sensex?
(a) Rain
(b) Monetary policy
(c) Political instability
(d) All of the above
Answer: d
13. Which of the following words does not belong to the stock exchange?
(a) KPO
(b) NSE
(c) IPO
(d) NIFTY
Answer: a
14 . When was Nifty established?
(a) 1952
(b) 1965
(c) 1991
(d) 1996
Answer: d
15 . What is the expansion of SENSEX?
(a) Sensitive Index of Bombay Stock Exchange
(b) Sensitive Index of National Stock Exchange
(c) Stock Exchange of Indian Index
(d) Indian Stock Report of Companies
Answer: a
16. Indian Stock Markets Movements are influenced by:
(a) Global political factors
(b) Domestic political factors
(c) Global and domestic economic factors
(d) All of the above.
Answer: d
17. The Share price is decided by:
(a) Stock Exchange Management
(b) Companies
(c) Buyers and sellers of the particular stocks
(d) Central government
Answer: b)
18. The term Bullish indicates
(a) Positive price action
(b) Negative price action
(c) Neutral price action
(d) None of these.
Answer: a
19. Indian Stock Markets Movements are influenced by:
(a) Global political factors
(b) Domestic political factors
(c) Global and domestic economic factors
(d) All of the above.
Answer: d
20. The process of issuing share to the public is called as:
(a) Right issue
(b) Bonus issue
(c) Initial Public Offer
(d) Company issue
Answer: c
21. The Stock Market trading time in India (NSE and BSE) is:
(a) 9:00 AM to 5:30 PM
(b) 10:00 AM to 4:30 PM
(c) 9:45 AM to 3:00 PM
(d) 9:15 AM to 3:30 PM
Answer: d
22. The first computerised online stock exchange in India was
(a) NSE
(b) BSE
(c) MCX
(d) Commodity
Answer: a
23.Stock broker means a member of a________.
(a) SEBI
(b) RBI
(c) SBI
(d) Stock exchange
Answer: d
24. What is DEMAT?
(a) An account that is used to hold shares and securities in electronic format.
(b) Dematerialization of liquidity
(c) Nodal agency to keep a watch on the movements of shares.
(d) Decentralized Members of Abroad Transactions.
Answer: a
25 The early growth of merchant banking in the country is assigned to the ________.
a. FEMA
b. Foreign Exchange Regulation Act, 1973
c. Securities Contracts Act
d. Income-tax Act
Answer: a
26. Developmental activities of merchant banking:
a. Sources of funds forever
b. Expanding industry and trade
c. Leaving a widening gap unabridged between supply and demand of investible funds.
d. All of the above
Answer: d
27. 1. Banks implement the RBI’s _______ policies.
a. Monetary
b. Credit
c. Commercial
d. Both a and b
Answer: d
28. The small investor’s gateway to enter into big companies is _____.
a. Share market
b. Public deposits
c. Mutual funds
d. All the above
Answer: c
29. AMFI stands for ______
a. Assets management fund of India
b. Association for mutual fund of India
c. Asset mutual fund of India
d. Association for management of India
Answer: b
30 . Credit rating concept originated in _____.
USA
UK
, Japan
India
Answer: a
31. SIDBI was established exclusively for ______.
a. Medium Scale Industries
b. Small Scale Industries
c. Large Scale Industries
d. All the above
Answer: b
32. A merchant bank is a financial institution conducting money market activities and:
a. Lending
b. Underwriting and financial advice
c. Investment service
d. All of the above
Answer: d
33. Secondary markets in treasury bills require involvement of and _ .
a. Brokers, Dealers
b. Buyers, Sellers
c. Consumer, Producer
d. All of the above
Answer: a
34. The First player of the Mutual fund industry was______________.
A) ICICI MF
B) UTI MF
C) SBI MF
D) LIC MF
Answer: b
35 UTI mutual fund was set up in the Year _______________.
A) 1963
B) 1986
C) 1956
D) 1947
Answer: a
36 Who establishes the Mutual Fund in India?
A) Securities Exchange Board of India
B) Asset Management Company
C) Sponsor
D) Shareholders
Answer: C
37. _______________ schemes not exposed to sudden and large movements of funds.
A) Fixed maturity plan
B) Open-Ended Funds
C) Close-Ended Funds
D) Interval fund
Answer: C
38. Which of the following is not a limitation of mutual funds?
A) No guarantee of return
B) Fees and Expenses
C) Poor Performance
D) Professional Management
Answer: d
39. The Mutual fund industry follows which of the following regulation?
A) SEBI (Mutual fund) regulations 1996
B) Mutual fund regulation 2004
C) Mutual fund regulation 2003
D) RBI
Answer: a
40. Which of the following is not a rating agency.
A) FITCH
B)ICRA
C)CRISIL
D)FTSE
ANS:- D
41. What is Red Herring in an IPO?
A) Prospectus
B) Submission of Form
C) Funds Generated during IPO
D) Minimum Offer per share
ANS:- A
42. Largest Indian Private Sector Company in terms of Market Cap?
A) ICICI Bank
B) Bharti Airtel
C) TCS
D) Reliance Industries
ANS:- D
43. . Mutual funds are regulated in India by which among the following?
A) RBI
B) SEBI
C) Stock exchanges
D) RBI and SEBI both
ANS:- B
44. Which of the below bank is not a part of Nifty?
A) Axis Bank
B) IDBI Bank
C) PNB
D) Kotak Mahindra
ANS:- B
45. Which in the list is not an important feature of Secondary Market?
A) Accurate information should be available timely basis
B) Sufficient Liquidity
C) Efficient Transaction with high transaction cost
D) All the information should be reflected in stock within min time
ANS:- C
46. Free Float methodology is used for which stock index
A) Nifty
B) DOW JONES
C) SENSEX
D) Nikkei
ANS:- C
47. What does SENSEX stands for?
a) Sensor index
b) Sensitive index
c) Sensitive exchange
D) Sensitive Stocks
ANS:- B
48. What is full form of NEAT which is the online trading system of the National Stock Exchange?
A) Nation’s Exchange for Automated Trading
B) National Exchange for Automated Trading
C) Nationwide Exchange for Automated Trading
D) None of the Above
ANS:- B
49. What is the full form of SEBI?
A) Stock Exchange Bureau of India
B) Stock Exchange Board of India
C) Securities Exchange Bureau of India
D) Securities and Exchange Board of India
ANS:- D
50. In which year NSE launched Currency Derivatives?
A) 2009
B) 2008
C) 2003
D) 2006
ANS:- B
51. Beta refers to
A) Operational Risk
B) Systematic Risk
C) Unsystematic Risk
D) Market Risk
ANS:- B
Which of the following are the instruments of money market?
(a)Call money
(b)Certificate of deposits
(c)Trade bills
(d)All of the above
ANS:- d
Stock exchange is known as __________ market for securities.
(a)Primary market
(b)Secondary market
(c)Capital market
(d)None of the above
ANS:- d
_______ is a link between savers & borrowers, helps to establish a link between savers & investors
(a)Marketing
(b)Financial market
(c)Money market
(d)None of these
ANS:- b
____________ is also called zero coupon bond.
(a)Trade bills
(b)Call money
(c)Treasury bills
(d)Commercial papers
ANS:- c
Secondary market is in the form of
(a) stock exchange.
(b) money market
(c) new issue market.
(d) commercial exchange
ANS:- a
__ is the market which helps existing investors to sell their securities.
(a) Primary market
(b) Secondary market
(c) Capital market
(d) Commodity market
ANS:- b
__ is the institution which provides a platform for trading of existing securities having long-term maturity.
(a) SEBI
(b) WTO
(c) Stock exchange
(d) RBI
ANS:- c
After the trade has been executed, the broker issues a Contract Note to the investor within
(a) 52 hours
(b) 24 hours
(c) 48 hours
(d) 12 hours
ANS:- c
The mandatory detail that an investor has to provide to the broker at the time of opening a demat account is
(a) Date of birth and address
(b) PAN number
(c) Residential status (Indian/NRI)
(d) Bank account details.
ANS:- b
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