JAIIB Mock Test — Role and Functions of Capital Markets, SEBI

JAIIB MOCK TEST ON Role and Functions of Capital Markets, SEBI

Role and Functions of Capital Markets, SEBI (PPB) Mock Test/ Quiz

1 / 15

The ownership, management and trading functions of a stock exchange are clearly segregated in respect of ________.

2 / 15

The issue of new securities to existing shareholders at a ratio to those already held is known as ________.

3 / 15

SEBI in respect of certain matters, has the same powers ________.

4 / 15

One of the following categories of investors need not obtain a certificate of registration from SEBI in order to buy sell or deal in securities:

5 / 15

As per SEBI guidelines in a Book Building process the cap in the price band ________.

6 / 15

The main function(s) of SEBI is/ are ________.

7 / 15

Retail individual investor means an investor who applies or bids ________.

8 / 15

Red Herring Prospectus is a prospectus:

9 / 15

Which of the following refers to the transition process of an exchange from a mutually owned association to a shareholders-owned company?

10 / 15

A sub-broker is affiliated to a member of a recognized stock exchange and is a person who is registered with:

11 / 15

As per SEBI guidelines, safety net arrangements can be made available only to ________.

12 / 15

Any company making a public issue or a listed company making a rights issue of a value of more than ________ is required to file a draft offer document with SEBI for its observations. The validity period of SEBI’s observation letter is only three months.

13 / 15

Under ASBA facility, investors can apply in any public/rights issues by using which of the following?

14 / 15

Initial Public Offering (IPO) means that an unlisted company makes to the public for the first time ________.

15 / 15

National Stock Exchange of India Ltd. (NSE) – It was established in:

Your score is

The average score is 36%


Take More Topic Wise Mock Test for PPB

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