Question 1

Discount and Finance House of India was set up in .....................

Accepted Answer

A)  1982
B)  1988
C)  1992
D)  1969E) A) and B)
F) A) and C)

Question 2

The central depositary ..................... the security on behalf of the investors

Accepted Answer

A)  Hold
B)  transfer
C)  both a & b above
D)  none of theseE) B) and C)
F) A) and C)

Question 3

. ..................... is the link between the depository and the owner

Accepted Answer

A)  Agent
B)  Depository participant
C)  Beneficiary
D)  BrokerE) C) and D)
F) B) and C)

Question 4

..................... is a preferential independent broker who deals in securities on his own behalf.

Accepted Answer

A)  Jobber
B)  sub broker
C)  Remisiers
D)  arbitragersE) All of the above
F) C) and D)

Question 5

..................... are short term deposits of specific maturity similar to fixed deposits.

Accepted Answer

A)  commercial paper
B)  Interbank participation certificate
C)  Repo
D)  Certificate of depositE) A) and B)
F) All of the above D

Question 6

..................... is a process of admitting securities for trading on a recognised stock exchange.

Accepted Answer

A)  Registration
B)  filing
C)  listing
D)  admissionE) A) and C)
F) All of the above

Question 7

An issue of a minimum size of Rs. ..................... crore is a mega issue

Accepted Answer

A)  50
B)  100
C)  150
D)  300E) A) and C)
F) A) and B)

Question 8

The device adopted to make profit out of the differences in prices of a security in to different markets is called.....................

Accepted Answer

A)  Cornering
B)  prise rigging
C)  arbitrage
D)  margin tradingE) All of the above
F) A) and B)

Question 9

Financial institutions are also known as ........................

Accepted Answer

A)  Financial organisation
B)  Financial intermediaries
C)  Financial system
D)  Any of the aboveE) A) and B)
F) A) and C) B

Question 10

..................... has been set up mainly to provide a secondary market in Govt. Securities

Accepted Answer

A)  DHFI
B)  OTCEI
C)  STCI
D)  NSDLE) A) and D)
F) B) and C) C

Question 11

Prospectus is not issued in

Accepted Answer

A)  public issue
B)  private placement
C)  right issue
D)  none the aboveE) B) and C)
F) A) and D)

Question 12

Adhoc treasury bills are issued in favour of the ..................... only

Accepted Answer

A)  Treasury
B)  RBI
C)  Commercial banks
D)  State governmentE) None of the above
F) All of the above

Question 13

The facility to carry forward a transaction from one settlement period to another is known as ..................... transaction

Accepted Answer

A)  Badla
B)  arbitrage
C)  cornering
D)  trading insideE) None of the above
F) All of the above

Question 14

Management Development Institute (MDI)  was set up by ........................

Accepted Answer

A)  IDBI
B)  ICICI
C)  IFCI
D)  SEBIE) A) and B)
F) A) and C)

Question 15

..................... of shares in the first step in the depository process

Accepted Answer

A)  Registration
B)  Listing
C)  Rematting
D)  immobilisationE) A) and C)
F) A) and B)

Question 16

Accommodation bills are also known as ..................... bills

Accepted Answer

A)  kite bills
B)  wind bills
C)  supply bill
D)  both a & bE) All of the above
F) None of the above

Question 17

Discount and Finance House of India was set up in pursuance of the recommendations of .....................Committee

Accepted Answer

A)  Malegam
B)  Malhotra
C)  Vaghul
D)  NarasimhamE) A) and C)
F) A) and B)

Question 18

..................... issues does not bring in any fresh capital

Accepted Answer

A)  equity
B)  preference
C)  debenture
D)  bonusE) B) and D)
F) B) and C)

Question 19

Right shares are offered to.....................

Accepted Answer

A)  Debenture holders
B)  Existing shareholders
C)  List 2 contributories
D)  LiquidatorsE) All of the above
F) A) and B)

Question 20

..................... is the suitable method where small companies issue shares

Accepted Answer

A)  public issue
B)  placement
C)  offer for sale
D)  none of theseE) A) and B)
F) A) and C)

Exam 7: Bills, Securities, and Stock Market Operations

Discount and Finance House of India was set up in .....................

Correct AnswerverifiedShow Answer

The central depositary ..................... the security on behalf of the investors

Correct AnswerverifiedShow Answer

. ..................... is the link between the depository and the owner

Correct AnswerverifiedShow Answer

..................... is a preferential independent broker who deals in securities on his own behalf.

Correct AnswerverifiedShow Answer

..................... are short term deposits of specific maturity similar to fixed deposits.

Correct AnswerverifiedD

..................... is a process of admitting securities for trading on a recognised stock exchange.

Correct AnswerverifiedShow Answer

An issue of a minimum size of Rs. ..................... crore is a mega issue

Correct AnswerverifiedShow Answer

The device adopted to make profit out of the differences in prices of a security in to different markets is called.....................

Correct AnswerverifiedShow Answer

Financial institutions are also known as ........................

Correct AnswerverifiedB

..................... has been set up mainly to provide a secondary market in Govt. Securities

Correct AnswerverifiedC

Prospectus is not issued in

Correct AnswerverifiedShow Answer

Adhoc treasury bills are issued in favour of the ..................... only

Correct AnswerverifiedShow Answer

The facility to carry forward a transaction from one settlement period to another is known as ..................... transaction

Correct AnswerverifiedShow Answer

Management Development Institute (MDI) was set up by ........................

Correct AnswerverifiedShow Answer

..................... of shares in the first step in the depository process

Correct AnswerverifiedShow Answer

Accommodation bills are also known as ..................... bills

Correct AnswerverifiedShow Answer

Discount and Finance House of India was set up in pursuance of the recommendations of .....................Committee

Correct AnswerverifiedShow Answer

..................... issues does not bring in any fresh capital

Correct AnswerverifiedShow Answer

Right shares are offered to.....................

Correct AnswerverifiedShow Answer

..................... is the suitable method where small companies issue shares

Correct AnswerverifiedShow Answer

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C

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