This Mock test/Quiz on Role and Functions of Capital Markets, SEBI (JAIIB PPB) consists of the following questions:
1. Retail individual investor means an investor who applies or bids ________.
Which of the following is the maximum tenor of Treasury bills?
2. As per SEBI guidelines, safety net arrangements can be made available only to ________.
3. The ownership, management and trading functions of a stock exchange are clearly segregated in respect of ________.
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4. As per SEBI guidelines in a Book Building process the cap in the price band ________.
5. Initial Public Offering (IPO) means that an unlisted company makes to the public for the first time ________.
6. 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.
7. The issue of new securities to existing shareholders at a ratio to those already held is known as ________.
8. Which of the following refers to the transition process of an exchange from a mutually owned association to a shareholders-owned company?
9. Under ASBA facility, investors can apply in any public/rights issues by using which of the following?
10. 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:
11.SEBI in respect of certain matters, has the same powers ________.
12. A sub-broker is affiliated to a member of a recognized stock exchange and is a person who is registered with:
13. The main function(s) of SEBI is/ are ________.
14. National Stock Exchange of India Ltd. (NSE) – It was established in:
15. Red Herring Prospectus is a prospectus:
Role and Functions of Capital Markets, SEBI /Mock Test Quiz | JAIIB EXAM Mock Test – PPB
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{ question:'Initial Public Offering (IPO) means that an unlisted company makes to the public for the first time ________.', options:['a fresh issue of securities','offers its existing securities for sale','both the above','None of the above'], answer:2 },
{ question:'As per SEBI guidelines in a Book Building process the cap in the price band ________.', options:['should be at least 10 per cent of the floor price','should not be more than 20 per cent of the floor price','no limits','None of the above'], answer:1 },
{ question:'Retail individual investor means an investor who applies or bids ________.', options:['for securities of or for a value of not more than Rs. 200000','for securities of face value of not more than Rs. 200000','for securities of 1000 units','None of the above'], answer:0 },
{ question:'As per SEBI guidelines, safety net arrangements can be made available only to ________.', options:['all original resident individual allottees limited up to a maximum of 1000 shares per allottee','all original allottees limited up to a maximum of 1000 shares per allottee','all shareholders limited up to a maximum of 1000 shares per shareholder','None of the above.'], answer:0 },
{ question:'Red Herring Prospectus is a prospectus:', options:['which is issued in red colour','which contains some clauses in red colour','which does not have details of either price or number of shares being offered or the amount of issue','None of the above'], answer:2 },
{ question:'Under ASBA facility, investors can apply in any public/rights issues by using which of the following?', options:['Their bank account','Demand draft','Cheque','Cash'], answer:0 },
{ question:'National Stock Exchange of India Ltd. (NSE) – It was established in:', options:['1870','1992','1995','2001'], answer:1 },
{ question:'Which of the following refers to the transition process of an exchange from a mutually owned association to a shareholders-owned company?', options:['Mutual owned association','Joint Stock Company','Demutualization','Demat'], answer:2 },
{ question:'A sub-broker is affiliated to a member of a recognized stock exchange and is a person who is registered with:', options:['RBI','GoI','IRDAI','SEBI'], answer:3 }, { question:'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.', options:['Rs 5 crore','Rs 10 crore','Rs 50 crore','Rs 100 crore'], answer:1 }, ]
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