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

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

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

1 / 15

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

1) 1870

2) 1992

3) 1995

4) 2001

2 / 15

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

1) all original resident individual allottees limited up to a maximum of 1000 shares per allottee

2) all original allottees limited up to a maximum of 1000 shares per allottee

3) all shareholders limited up to a maximum of 1000 shares per shareholder

4) None of the above.

3 / 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.

1) Rs 5 crore

2) Rs 10 crore

3) Rs 50 crore

4) Rs 100 crore

4 / 15

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

1) to protect the interests of investors in securities

2) to promote the development of the securities market

3) to regulate securities market

4) all the above

5 / 15

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

1) a fresh issue of securities

2) offers its existing securities for sale

3) both the above

4) None of the above

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Retail individual investor means an investor who applies or bids .

1) for securities of or for a value of not more than Rs. 200000

2) for securities of face value of not more than Rs. 200000

3) for securities of 1000 units

4) None of the above

7 / 15

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

1) Mutual owned association

2) Joint Stock Company

3) Demutualization

4) Demat

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

1) should be at least 10 per cent of the floor price

2) should not be more than 20 per cent of the floor price

3) no limits

4) None of the above

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Red Herring Prospectus is a prospectus:

1) which is issued in red colour

2) which contains some clauses in red colour

3) which does not have details of either price or number of shares being offered or the amount of issue

4) None of the above

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

1) Demutualised exchange

2) Corporatized exchange

3) Any stock exchange

4) None of the above

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

1) Rights Issue/Rights Shares

2) Bonus Issue

3) Preference Issue

4) None of the above

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

1) as are vested in a civil court under the Code of Civil Procedure 1908 (5 of 1908) while trying a suit

2) as are vested in a criminal court under the Criminal Procedure Code while trying a suit

3) as the Company Law Board

4) None of the above

13 / 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:

1) stock broker

2) portfolio manager

3) investment adviser

4) retail investor

14 / 15

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

1) Their bank account

2) Demand draft

3) Cheque

4) Cash

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

1) RBI

2) GoI

3) IRDAI

4) SEBI

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1 thought on “JAIIB Mock Test — Role and Functions of Capital Markets, SEBI”

Itís difficult to find educated people about this subject, but you sound like you know what youíre talking about! Thanks

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