nismmocktest.in

Whoops!! You have disabled JavaScript. This site requires JavaScript to completely work fine. Please consider enabling it. Thanks.

Time Left 00m : 00s

1 2 3 4 5 6 7 8 9 10

Question 1 reset

A stock Broker when dealing with a client must disclose whether it is acting as a Principal /agent.

True

False

Question 2 reset

Category I and II Alternative Investment Funds shall invest what portion of the corpus in one Investee Company?

Not more than 50%

Not more than 45%

Maximum 10%

Not more than 25%

Question 3 reset

The SEBI (Merchant Banking) Regulations, 1992 provide for

Registration of merchant bankers

General obligations of merchant bankers

General responsibilities of merchant bankers

All of the above

Question 4 reset

The applicant for merchant banker should have necessary infrastructure like

Office space as per SEBI criteria

Equipments in place

Skilled and relevant manpower

All of the above

Question 5 reset

The applicant for merchant banker should necessarily fulfil the capital adequacy requirement as specified in the SEBI (Merchant Bankers) Regulation.

True

False

Question 6 reset

In case of buy-back, the company shall ensure that all the securities bought back are extinguished within ________ days of the last date of completion of buy-back.

Question 7 reset

Post issue activities, generally co-ordinated by Lead Merchant Banker, include which of the following?

Deciding on centres for holding conferences of stock brokers, investors, etc.

Processing rematerialisation requests

Finalisation of the basis of allotment

Question 8 reset

As per SEBI (ICDR) Regulation, only audited and consolidated financial statements need to be prepared in accordance to GAAP.

True

False

Question 9 reset

As per SEBI (ICDR) Regulations, the minimum subscription to be received in an issue must be atleast ______ of the offer through offer document.

60%

70%

80%

90%

Question 10 reset

As per SEBI (ICDR) Regulation, an advertisement may be issued giving any impression that the issue has been fully subscribed or oversubscribed during the period the issue is open for subscription, with prior intimation to SEBI.

True

False

Time Over

Please wait while we are submitting your test

Are you sure you want to finish test early?