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