Financial Markets Test

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Financial Markets Test - 24

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Weekly Quiz Competition

Question 1
1 / -0

The mandatory detail that an investor has to provide to the broker at the time of opening a demat account is

A
Bank account details

B
Residential status (Indian/NRI)

C
PAN number

D
Date of birth and address

Solution

The investor has also to provide certain details and information while opening a demat account. These include:
1. PAN number (this is mandatory).
2. Date of birth and address.
3. Educational qualification and occupation.
4. Residential status (Indian/NRI).
5. Bank account details.
Question 2
1 / -0

One of the common irregularities noted by the Securities and Exchange Board of India during the inspection of a stock exchange was that it was dealing with unregistered sub-brokers. Identify the related function of Securities and Exchange Board of India.

A
Developmental function

B
Regulatory function

C
Protective function

D
None of the above

Solution

The Regulatory function of SEBI includes:
1. Registration of brokers and sub brokers and other players in the market.
2. Regulation of stock brokers, portfolio exchanges, underwriters and merchant bankers and the business in stock exchanges and any other securities market.
3. Calling for information by undertaking inspection, conducting enquiries and audits of stock exchanges and intermediaries.
Question 3
1 / -0

In the call/notice money market, which of the following participants is allowed to trade?

A
All Banks, Primary Dealers and Mutual Funds

B
Insurance companies

C
Only Commercial Banks

D
All of the above
Question 4
1 / -0

Appointment of independent directors is the part of Corporate Governance as per the ________.

A
SEBI

B
Indian companies act

C
Government of India

D
RBI
Question 5
1 / -0

Match the following:
(a) Credit Control $$1.$$ MCA
(b) Corporate Control $$2.$$ SEBI
(c) IPO Control $$3.$$ IRDA
(d) ULIP Control $$4.$$ RBI

A
$$(a) - (4), (b) - (2), (c) - (3), (d) - (1)$$

B
$$(a) - (4), (b) - (1), (c) - (2), (d) - (3)$$

C
$$(a) - (2), (b) - (3), (c) - (4), (d) - (1)$$

D
$$(a) - (4), (b) - (1), (c) - (3), (d) - (2)$$
Solution
- Credit control is an important tool used by Reserve Bank of India. Credit control in the economy is required for the smooth functioning of the economy.
- Corporate governance guidelines are laid down by several committees appointed by the Ministry of Corporate Affairs (MCA), for the smooth running of the organisations.
- SEBI regulates the stock markets operations and the IPOs in India.
- ULIP are regulated under the guidelines of IRDA

Question 6

1 / -0

Match the following:

List-I	List-II
(i) National Stock Exchange	(a) Marks the beginning of the process of dematerialisation of shares of the participating companies.
(ii) National Securities Depository Limited	(b) Facilitation of equal access to investors across the country.
(iii) Securities and Exchange Board of India	(c) To foster the development of an active secondary market for Government Securities.
(iv) Securities Trading Corporation of India	(d) Abolition of Capital issues control and retaining the sale authority for new capital issues

$$(i) - (b), (ii) - (a), (iii) - (d), (iv) - (c)$$

$$(i) - (a), (ii) - (b), (iii) - (c), (iv) - (d)$$

$$(i) - (a), (ii) - (b), (iii) - (d), (iv) - (c)$$

$$(i) - (d), (ii) - (c), (iii) - (b), (iv) - (a)$$

Solution

National Stock Exchange of a country facilitates equal access to investors across the nation.
National Securities Depository Limited has marked the beginning of the process of dematerialisation of shares of the participating companies.
Securities and Exchange Board of India stands for abolition of Capital issues control and retaining the sale authority for new capital issues
Securities Trading Corporation of India fosters the development of an active secondary market for Government Securities.

Question 7

1 / -0

Match the items of List-I with the items of List-II and select the correct answer:

List-I	List-II
(i) Private ownership and Free Enterprise	(a) Secondary Market
(ii) Government ownership and Central Authority	(b) Capitalism
(iii) The market for the sale and purchase of previously issued securities	(c) Primary Market
(iv) The market for new long term capital	(d) Socialism

$$(i) - (b), (ii) - (d), (iii) - (a), (iv) - (c)$$

$$(i) - (a), (ii) - (b), (iii) - (c), (iv) - (d)$$

$$(i) - (b), (ii) - (d), (iii) - (c), (iv) - (a)$$

$$(i) - (a), (ii) - (c), (iii) - (b), (iv) - (d)$$

Question 8
1 / -0

Which of the following is related to 'BOLT' system in the Indian Securities market?

A
National Stock Exchange

B
Bombay Stock Exchange

C
Over the Counter Exchange of India

D
Multi Commodity Stock Exchange

Solution

The Bombay Online Trading System (BOLT) enabled the oldest stock exchange in India to expand trading activities to 118 cities across the country. BOLT has at present capacity to handle 5,00,000 trades in a seven hour trading session per day.
Question 9
1 / -0

Which of the following are secondary market intermediaries for corporate securities in India?
I. Investors
II. Jobbers
III. Brokers and sub-brokers
IV. Portfolio consultants

A
I, II and III only

B
II, III and IV only

C
II and III only

D
III and IV only
Question 10
1 / -0

To be listed on OTCEI, the minimum capital requirement for a company is ________.

A
Rs. $$3$$ crores

B
Rs. $$5$$ crores

C
Rs. $$10$$ crores

D
Rs. $$25$$ crores

Solution

The minimum capital requirement for a company to be listed on the OTCEI is Rs 3 crores and the maximum is Rs 50 crores.

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Re-Attempt Weekly Quiz Competition

(a) Credit Control	$$1.$$ MCA
(b) Corporate Control	$$2.$$ SEBI
(c) IPO Control	$$3.$$ IRDA
(d) ULIP Control	$$4.$$ RBI

Financial Markets Test - 24

Result

Financial Markets Test - 24

Score

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Rank

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SHARING IS CARING

Question 1

Bank account details

Residential status (Indian/NRI)

PAN number

Date of birth and address

Solution

Question 2

Developmental function

Regulatory function

Protective function

None of the above

Solution

Question 3

All Banks, Primary Dealers and Mutual Funds

Insurance companies

Only Commercial Banks

All of the above

Question 4

SEBI

Indian companies act

Government of India

RBI

Question 5

$$(a) - (4), (b) - (2), (c) - (3), (d) - (1)$$

$$(a) - (4), (b) - (1), (c) - (2), (d) - (3)$$

$$(a) - (2), (b) - (3), (c) - (4), (d) - (1)$$

$$(a) - (4), (b) - (1), (c) - (3), (d) - (2)$$

Solution

Question 6

$$(i) - (b), (ii) - (a), (iii) - (d), (iv) - (c)$$

$$(i) - (a), (ii) - (b), (iii) - (c), (iv) - (d)$$

$$(i) - (a), (ii) - (b), (iii) - (d), (iv) - (c)$$

$$(i) - (d), (ii) - (c), (iii) - (b), (iv) - (a)$$

Solution

Question 7

$$(i) - (b), (ii) - (d), (iii) - (a), (iv) - (c)$$

$$(i) - (a), (ii) - (b), (iii) - (c), (iv) - (d)$$

$$(i) - (b), (ii) - (d), (iii) - (c), (iv) - (a)$$

$$(i) - (a), (ii) - (c), (iii) - (b), (iv) - (d)$$

Question 8

National Stock Exchange

Bombay Stock Exchange

Over the Counter Exchange of India

Multi Commodity Stock Exchange

Solution

Question 9

I, II and III only

II, III and IV only

II and III only

III and IV only

Question 10

Rs. $$3$$ crores

Rs. $$5$$ crores

Rs. $$10$$ crores

Rs. $$25$$ crores

Solution

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