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Question 1 reset

If a public issue is heavily over‐subscribed, the number of shares allotted to each investor will be

higher

lower

Question 2 reset

Which of the following is essential for the public issue of a debt security?

The shares must be listed on the stock exchange.

The debt instruments must be credit rated.

Question 3 reset

Which of the following is the primary function of the secondary markets?

Provide liquidity for securities issued

Provide a platform for making public issues

Question 4 reset

The document that confirms a trade executed on the stock exchange is called

Delivery note

Contract note

Question 5 reset

The risk of default on obligations arising out of trading is controlled by the exchange by

Imposing margins

Imposing circuit filters

Blocking high value trades

Question 6 reset

A trade that is squared‐off during the day

does not require delivery of shares

is not guaranteed by the exchange

is cancelled by the exchange

Question 7 reset

Market capitalization of a stock is impacted by

Changes in market index

Changes in price of the stock

Question 8 reset

The net asset value of a mutual fund primarily reflects which one of the following?

The expenses of the AMC

The dividends and interest payable to investors

The current market value of the fund’s portfolio

Question 9 reset

An investor wanting to purchase the units of an ETF will transact with __________ and receive the units in demat account.

brokers

distributers

AMC

Question 10 reset

The KYC requirements for a mutual fund folio have to be completed by

First holder only

All holders, except minors

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