Banking & Finance - II (TYBCOM) || Question Bank

Banking & Finance - II (TYBCOM) || Question Bank 

Basic Concepts of Stock Market

Short-Answer Questions

1. What are the advantages and disadvantages of the public issue method?

2. What are the two features that any organized secondary market must possess?

3. Mention the qualifications to become a member of recognised stock exchange.

4. What are the functions of stock exchange?

5. Differentiate between NSE and BSE.

6. State some uses of indices.

7. Mention the qualifications for becoming a member of a recognised stock

exchange.

Long-Answer Questions

1. Describe the methods of issuing shares in primary market.

2. Explain IPO grading methodology in detail.

3. Analyse the services provided by merchant bankers in detail.

4. Explain the functions of stock exchange.

5. Discuss the recent trends in NSE.

6. State the criteria adopted in the selection of 30 scrips in BSE.

Stock Trading

Short-Answer Questions

1. What is the relationship between employee’s seniority and their right to the

shares?

2. Differentiate between futures and options.

3. When is an option called a naked call option?

4. Why did SEBI decide to shorten the rolling settlement cycle from T+5 to T+3? 

5. Write the three main uses of ESOPs.

Long-Answer Questions

1. Describe the different types of stock trading.

2. Discuss the different types of orders in detail.

3. Explain how the problems of illiquidity and counterparty risk associated with

forward contracts were overcome.

4. Analyse several career opportunities in stock market.

Non-Banking Financial Institutions (NBFIs)

Short-Answer Questions

1. What are the different categories of non-banking financing companies?

2. Distinguish between a bank and non-banking financing companies.

3. What are the reasons for lending in the housing sector?

4. Which factors should be considered while taking a home loan?

5. What are the advantages of shifting the focus of a bank from traditional lending

to home loans?

6. What are the three main functions of NHB in the housing business in India?

Long-Answer Questions

1. Discuss the working and functions of leasing.

2. Describe the process of taking a home loan.

3. Discuss the objectives of LIC Act, 1956 and GIC Act 1972 in detail.

4. Analyse the various opportunities in insurance sector.

Regulatory Bodies

Short-Answer Questions

1. State the role of SEBI for each set of stakeholders.

2. Write a short note on the measures initiated by SEBI to protect the interests of

investors.

3. Briefly explain the reasons why insurance regulation is necessary to maintain the

solvency of insurers.

4. Why was the Securities Contracts (Regulation) Rules, 1957 amended in 2010?

Long-Answer Questions

1. Explain the major functions performed by SEBI.

2. Analyse the safety net mechanism proposed by SEBI to safeguard the interests

of retail investors.

3. Describe the Code of Conduct as issued by IRDA.

4. Discuss the constitution, duties, powers and functions of the IRDA.

5. Describe IRDA’s Guidelines on Appointment of Insurance Agents, 2015.