Investment Management.

School of Distance Education
UNIVERSITY OF CALICUT
SCHOOL OF DISTANCE EDUCATION
(2011 Admn. onwards)
VI Semester
B.B.A
INVESTMENT MANAGEMENT
[FINANCE SPECIALISATION]
Question Bank & Answer
Choose the correct Answer from the bracket.
1. To frame the investment policy the investor should have
a) Knowledge about the company b) investable funds
c) Knowledge about the investment alternatives d) Knowledge about the markets with funds
2. The stock is
a) small units of equal value called shares b) Knowledge about the markets with funds
c) express in terms of number of shares d) fully paid up and partly paid up shares
3. Equityshare holders rights are listed below .one of the rights is incorrect
a) right to have claims in the case of winding up of the company
b) Right to vote at the general body meeting of the company
c) right to share profits in the form of dividends
d) right to receive a copy of the statutory report
4. In a limited company
a) the share holders have to divided the debt of the company and pay
b) the share holders are not liable to pay the debt
c) the share holders have to pay the debt to the extent of their shares in the capital
d) common stock and preference shareholders have to pay the debt
5. In case of nonvoting shares
a) the rights of voting stocks and nonvoting stocks are similar
b) rights and bonus issues for nonvoting shares can be issued in the form of voting shares
c) the nonvoting shares would become voting shares after a particular period of time
d) nonvoting shares carry higher dividends instead of voting rights
Investment Management. 1
6. Zero coupon bonds has its origin in

a) U.S security market b) wall street
c) japans security market d) dalal street
7. Capital index bonds are linked with
a) BSE sensex b) NSE nifty
c) consumer price index d) BSE-100
8. The negotiable financial investment is different from the non negotiable financial investment in
terms of
a) maturity period b) interest rate
c)transferability d) face value
9. investments made on a house property is a
a) financial investment b) economic investment
c) non negotiable financial investments d) non financial investments
10. Which one of the following is not a money market security
a) Treasury bills b) national saving certificate
c) Certificate of deposits d) commercial paper
11. Commercial paper are
a) unsecured promissory notes b) secured promissory note
c) sold at premium d) issued for a period of 1 to 2 years
12. The present interest rate of PPF is
a) 10% b)8.5%
c)8.7% d)8%
13 .This particular schemes helps in deferring the tax payment
a) Public provident fund b) national saving certificate
c) National saving scheme d) life insurance scheme
14.SEBI has made mandatory for the companies to disclose
a) the yearly annual report b) monthly report and annual report
c) quarterly and annual reporte d) monthly review and annual report
15.The minimum number of shares to be applied for is
a) 100 b) 200
c) 300 d) 500
16. Stock exchange
a) help in the fixation of stock price b) ensure safe and fair dealing
c) induces good performance by the company d) all of these

17. “Sell reliance petro shares at Rs.60”.this order is a
a) best arte order b) limit order
c) discretionary order d) stop loss order
18. The settlement cycle in BSE and NSE are
a) 10 days b) 8 days
c) 7 days d) 15 days
19. The rolling settlement period introduced in the stock exchange is
a) T+5 b) T+7 c) T+2 d) T+15
20. The broker has brought 10000 ABC shares at Rs.200 and sold 8000 shares at Rs.190 on the same
day the margin he has to pay is
a) Gross exposure margin b) special margin
c) Mark to market margin d) concentration ratio margin
21. Mumbai stock exchange was recognized on a permanent basis in
a) 1956 b) 1957 c) 1950 d) 1958
22. Customers protection fund is set up
a) to protect the investors against price fluctuations
b) to protect the broker in care of nonpayment of money by investor
c) to provide insurance to investor s in case of default by the members
d) to protect the member and the investor
23. The VASAT which connects the main central computer means
a) videshsanchar automated trading b) videshsanchar aperture terminal
c) very special aperture terminal d) very small aperture terminal
24. Clearing and settlement operations of the NSE is carried out by
a) national security depository ltd b) National security clearing cooperation
c) state bank of India d) by the exchange itself
25. Inter connected stock exchange is to interlink
a) the BSE ,NSE ,OTCEI b) all the stock exchanges
c) Fifteen regional stock exchanges d) fourteen regional stock exchanges
26. Over the counter exchange of India was started after the role model of
a) NASAQ b) JASAQ c) NASAQ & JASAQ d)NSE
27. To be listed on the OTCEI, the minimum capital requirement for a company is
a) Rs.5 crores b) Rs.3crores c) Rs.2 crores d) Rs.1 crores
28. According to SEBI guidelines

a) all the new issues should be in depository mode
b) all the A group shares should be traded through NSDL
c) all the B group shares should be traded trough NSDL
d) all the above are true
29.The sensex has
a) 25 stocks b) 30 stocks c) 33 stocks d) 35 stocks
30. The NSE –nifty base period is
a) 1992 b) 1993 c)1994 d)1995
31. SEBI would not yet offer documents seeking listing on
a) OTCEI b) NSE c) BSE d) ISE
32. The promoters contribution should not be less than
a) 25 % of the issue size b) 20 % of the issue size
c) 30 % of the issue size d) 33 % of the issue size
33. These are instruments, which give a fixed rate of interest for a fixed period of maturity.
a) Debts b) Equities c) Mutual fund d) Virtual office
34. This pools money from investors and invest in different securities information technology.
a) Debts b) Equities c) Mutual funds d) Virtual office
35. An investor becomes the owner of a company to the extent of the capital invested by
a) Debts b) Equities c) Mutual funds d) None of the above
36. The variability in a security’s returns resulting from fluctuations in the aggregate market is known
as;
a) Market risk b) Interest rate risk
c) Purchasing power risk d) Regulation risk
37. The variability in a security’s return resulting from changes in the level of interest rates is referred
to as;
c) Purchasing power risk d) Regulation risk
38. Inflation risk is also known as.
c) Purchasing power d) Regulation risk
39. This is the stock valuation method that uses financial data to predict price movements.
a)Technical analysis b) Company analysis
c) Fundamental analysis d) None of the above

40. These are the market risks that cannot be diversified.
a) Systematic risk b) Unsystematic risk
c) Counter party risk d) None of the above
41. Technical analysis gained popularity from the writings of.
a) Adam smith b) Markowitz
c) Charles Dow d) None of the above
42. Modern portfolio theory was introduced by,
a) Adam smith b) Markowitz
c) Charles Dow d) None of these
43. The main type of charts used for Technical analysis is.
a) Line chart b) Bar chart
c) Candle stick d) All of the above
44. This is a market for short-term funds.
a) Money market b) Capital market
c) Commodity market d) None of these
45. This is a short term indigenous bill of exchange
a) Trade bills b) Hundis
c) Treasury bills d) None of the above
46. Call money is mainly used by the banks to meet their.
a) Temporary requirement of cash
b) Long term requirement of cash Markowitz
c) Medium term requirement of cash Charles Dow
d) None of above
47. These are short-term securities issued by the RBI on behalf of the government of India.
a) Trade bill b) Hundis
c) Treasury bills d) None of these
48. The primary objective of this instrument is to provide some degree of flexibility in the credit
portfolio of banks
a) Treasury bills b) Interbank participation certificate
c) Certificate of deposits d) All of the above
49. This is a market for medium and long-term funds
c) Commodity market d) None of the above
50. This refers to the market for government and semi-government securities backed by the RBI
c) Gilt edged market d) None of the above
51. These shares have a preferential right to the payment of dividend and to the return of capital at the
time of winding up of the company.
a) Equity share b) Preference share
c) Bonus share d) None of the above
52. This is a document which either creates a debt or acknowledges it. These are short-term securities
issued by the RBI on behalf of the Government of India.
a) Trade bills b) Debentures
c) Treasury bill d) None of the above
53. These bonds are the bonds issued at a discount and repaid at a face value.
a) Convertible bond b) Zero coupon bond
c) Deep discount bond d) All of the above
54. This fund is one that is available for subscription all through the year.
a) Open end fund b) Closed end fund
c) Growth fund d) Income fund
55. This fund is open for subscription only during a specified period.
56. These funds are stock funds that invest in stocks with the potential for long term capital
appreciation.
57. The aim of this fund is to provide regular and steady income to investors
58. Stock mutual funds also sometimes called
c) Growth fund d) Equity fund
59. Each contract is custom designed, and hence is unique in terms of contract size, expiration date
and asset type and quality.
a) Forward contract b) Future contract
c) Options d) None of the above
60. These contracts are standardized and hence traded in stock exchanges.
a) Forward contract b) Future contract

61. The credit risk of future is -------- than that of forwards:
a) Lower b) Higher
c) Average d) None of the above
62. The buyer or holder of the option purchases the right from the seller for a consideration called;
a) Remuneration b) Premium
c) Discount d) None of these
63. This option gives the holder or buyer , the right to buy specified quantity of the underlying asset at
a specified price on or before a specified time.
a) Call option b) Put option
c) Main option d) None of the above
64. This option gives the holder or buyer, the right to sell specified quantity of the underlying asset at a
specified price on or before a specified time.
a) Call option b) Put option c) Main option d) None of the above
65. These are instruments, which give a fixed rate of interest for a fixed period of maturity.
a) debts b) equities c) mutual funds d) virtual office
66. This pools money from investors and invest in different securities
a) debts b)equities c) mutual funds d) virtual office
67. An investor becomes the owner of a company to the extent of the capital invested by him
a) debts b) equities c) mutual fund d) virtual office
68. Which of the following I not an Indian index
a) sensex b) NASDAQ c) nifty d) none of the above
69. Find the odd one from the following
a) NASDAQ b) dow jones c) NYSE d) nifty
70. Holders of fixed income securities are…… of the issuer
a) debtor b) creditor c) owner d) supplier
71. Treasury bills are actually a class of;
a) securities of companies b) central government securities c) equities d) none of the above
72. These bonds are issued at a discount and repaid at a face value.
a) zero coupon bond b) debentures
c) equity share d) none of the above
73. This is the interest rate that every debenture /bond carries on its face value and is fixed at the time
of issue
a) current yield b) coupon rate c) market rate d) none of the above
74. The return on the instrument is held till its maturity is known as
a) current yield b) coupon rate c) YTM d) none of the above
75. Fundamental analysis is a …………….method that uses financial &economic analysis to predict
the movement of stock price.
a. sale valuation method b. stock valuation method
c. purchase valuation method d. all of the above
76. Industrial growth is a type of …………….
a. economic analysis b. industrial analysis
c. company analysis d. none of these
77 .Which of the following is not a stage of business cycle
a. recovery b. depression
c. boom d. inflation
78. …………………is the aggregate value of goods &services produced in the economy
a. GDP b. national income c. income of an individual d. NNP
79. ……………….is generally described as homogenous of companies
a. business b. profession c. industry d. group of company
80 . EPS = ……………. / outstanding share
a. gross profit b. net-earning c. net loss d. capital employed
81. …………… = stock price/ EPS
a. price to earnings ratio b. price to sale ratio c. EPS d. none of these
82. Book value = asset + ……………..
a. capital b. liability c. current asset d. current liability
83. ROE stands for ……………….
a. rate of equity b. rate of earning
c.. return on equity d. none of these
84.. a healthy company may produce on ROE in the………..to………range
a. 13% to 15% b. 14%to 16% c. 20%to 23%
85. Defective practice is one of the ……………fundamental of analysis
a tool b. criticism c. advantages d. none of these
86 . ROE is calculated by dividing……….by book value
a. net income b. gross income c. cost d. all of these
87. ……………measure what a company’s pays out to investors in the form of
dividend
a. return on equity b. dividend payout ratio c. book value

88. Which of the following is not a tool of fundamental analysis
a. price to sale ratio b. price to earnings ratio
c. price to purchase ratio d. none of these
89. Projected earnings growth is calculated by dividing current price of stock by
………
a. dividend b. earnings per share c. net income
90. This is stock valuation method that uses financial data to predict price movement
a .company analysis b. fundamental analysis
c. technical analysis d. none of these
91. How to calculate dividend yield
a. annual dividend per share / stock price by share
b. monthly dividend per sale / price
c .none of these
92...Which of the following is the advantage of fundamental analysis
a. subjectivity b. time consuming c. identification of value
93. Funtamntal analysis is …………….
a. time consuming b .time saving c. expensive d. none of these
94. The underwriting commission in the case of debentures cannot exceed
a) 1 percentage b) 3.5 percentage c) 5 percentage d) 2.5 percentage
95. The cheapest method of selling new securities is
a) sale through clearing houses b) direct sales to public through prospects
c) right issue d)stock exchange placing
96. The first exchange was to set up in India was in
a) Delhi b) Chennai c)Mumbai d) Kolkata
97.A ---------is not a speculator in the stock exchange
a) bull b) bear c) stag d) broker
98.A - ---- expects a fall in the prices of securities in the near future
a) bull b) bear c) stag d) broker
99. The most important function of the new issues market is to provide
a) direction to the flow of capital
b) liquidity to the securities
c) Facilities for conversion of savings into investments
d) An opportunity for new entrepreneurs to succeed
100. The first exchange was set up in the in the year
a) 1847 b) 1875 c) 1905 d) 1923
101. Which of the following represents components of the organized sector of the capital market?
a) stock exchange b) commercial banks c) investors d) all the above
102. The new issue market pertains to
a) Second hand securities b) new securities
c) New as well as second hand securities d) only trail launches into the market
103. Trading securities beyond the official trading hours of the stock exchange is called
a) hammering b) margin trading
c) short trading d) kerb trading
104. The gilt-edged market refers to the market for
a) govt and semi govt securities b) industrial securities
c) shares and debentures d) public limited company securities
105. First mutual fund of India is
a) Reserve bank of India b) state bank of India
c) unit trust of India d) government of India
106. Mutual fund schemes can be operated by
a) assets management company b) public sector banks
c ) financial institutions d) any of these
107. Regulation authority of stock exchange is
a) Indian companies act b) stock exchange act
c) securities contact(regulation) act d) all of the above
108. When a bear find it difficult to meet his commitments immediately, he is called a
a) stag b) lame duck c) lame bear d) lame bull
109. The securities contract (regulation )act came into force with effect from
a) 1949 b) 1954 c) 1956 d) 1957
110. Following is the largest mutual fund business in India
a) Unit trust of India (b) state bank of India c) Canara bank d) Tata
111. The speculative activity that seeks a profit from price variation of securities in the different
market is
a) margin trading b) market rigging c) option dealings d) arbitrage
112. What denotes the acquisition of a right to purchase securities?
a) Put option b) call option c) double option d) none of the above
113. A –refers to the acquisition of a right to sell the securities
a) put option b) call option c)double option d)none of the above
114. Who does “blue chip “denotes

a) shares likely to yield agreed return b) shares listed in the stock exchanges
c) shares guaranteed by the government d) shares consistently yielding high returns
115. Financial derivatives are mainly used for
a) speculative activity b) creating more risk c) hedging risk d) earning income
116. The instrument that are marked to the market are
a) forward b)future c) swaps d) options
117. In an option contract, if the option can be exercised only at the time of maturity, it is called
a) Double option b) American option c) put option d)European option
118. The predetermined price at which an underlying assets has to be bought or sold in an option
contract is called
a) option price b) exercise price c) spot price d) future price
119. A combination of forwards by two counterparties with opposite but matching needs is called
a) swap b)option c) forward d) future
120. Mutual fund are very popular in
a) U.S.A b) U.K c) Japan d) India
121. The pattern of investment of a mutual fund is oriented fixed income yielding securities under
a) Growth fund scheme b) income fund scheme
c) balanced fund scheme d) money market mutual fund scheme
122. In India ,the company which actually deals with the corpus of the mutual fund is called
a) sponsor company b) trustee company
c) asset management company d) mutual fund company
123. Find out the odd one
a) commercial paper b) share certificate c) certificate of deposits d) treasury bills
124. This fund is one that is available for subscription all through the year.
a) Open ended fund b) closed ended fund c) growth fund d) income fund
125. This fund is open for subscription only during a specified period
a) Open ended fund b) closed ended fund c) growth fund d) income fund
126. These funds are stocks funds that invest in stocks with the potential for long term capital
appreciation
a) Open ended fund b) closed ended fund
c) growth fund d) income fund
127. The aim of this fund is to provide regular and steady income to investor.

c)growth fund d) income fund
128. Stock mutual funds also sometimes called
c) growth fund d) equity fund
129. Mutual funds are
c) both a and b d) none of the above
130. Uti-64 is a
c) both a and b d) none of the above
131. Credit rating is mandatory
a) Equity shares b) preference shares
c ) debentures d)all of the above
132. Systematic risk is also known as
a) Unavoidable risk b) unique risk
c) avoidable risk d) financial risk
133. Unsystematic risk is also known as
a) Unavoidable risk b) unique risk
c) avoidable risk d) both b and c
134. Investor can build a risk free portfolio, when two assets have ---------correlation
a) Perfect positive b) zero
c) perfect negative d) partial correlation
135. A set of securities held by an individual investor is called --------
a) Portfolio b) group
c) collection d) bundle
136. Which of the following helps in reduction of risk in portfolio management?
a) Derivation b) dispersion
c) distribution d) diversification
137. The risk in portfolio is measured through the
a) Weighted average of standard deviations b) Weighted average of variance
c) Variance co-variance matrix d ) correlation
138. If an investment assures a fixed return in the future, then the standard deviation of return will be
a) 0 b)1 c) greater than one d) less than one
139. The securities contact act was passed in
a) 1949 b) 1956 c) 1954 d) 1962
140. In secondary market
a) Second hand securities are traded b) new securities are traded
c) Right issues are traded d) none of the above
141. The first stock exchange was set up in
a) Kolkata b) Mumbai c) madras d) Delhi
142. Over the counter market is for
a) selling the share through banker b) buying /selling of unlisted securities
c) Buying /selling of listed securities d) selling the securities to the financial institutions
143. over the counter market is a part of
a) primary market b) secondary market
c) money market d) none of the above
144. Which speculator expect fall in prices in future
a) bull b) bear c) stag d) lame duck
145. Which speculator expects a rise in price in future?
a) Bull b) bear c) stag d) lame duck
146. When a right to purchase a security is given it is called
a) Put option b) call option
c) put and call option d) none of the above
147. OTCEI deals in
a) money market b) industrial securities
c) giving long term loans d) factoring services
148. The first stock exchange which was fully computerized was
a) BSE b) NSE c) OTCEI d) DSE
149. Interest rate risk is associated with
a) inflation b) taxation
c) business cycle d) bank rate
150. Volatile stock has beta value
a) Greater than one b) equal to one
c) less than one d) none of the above
151. Total risk in a security usually measured by

a) Range b) standard deviation
c) beta d) co efficient of variation
152. Systematic risk is measured with
a) Range b) standard deviation
c) beta d) co efficient of variation
153. The term beta is synonymous with
a) systematic risk b) unsystematic risk
c) portfolio risk d) all of the above
154. The following one is a financial assets
a) gold b) silver c) shares d) land
155. Which one of the following is a cash assets
a) Deposits created out of loans b) share
c) bond d) post office certificate
156. The component of capital market is
a) treasury bill market b) government securities market
c) commercial bill market d) a and b
157. Goverenment bond is a
a) short term security b) long term security
c) medium term security d) either short term and long term security
158. The market for short term loans is known as
a) call money market b) treasury bill market
c) money market d) acceptance market
159. Bills drawn and acceptance payable after three months are called
a) indigenous bills b) usance bills
c) clean bills d) supply bills
160. The market which helps commercial banks to maintain their SLR requirements is
a) call money market b) discount market
c) acceptance market d) commercial bill market
161. The certificate which evidences an unsecured corporate debt of short term maturity is
a) short term loan certificate b) certificate of deposits
c) inter bank participation certificate d) commercial paper
162. The major player in the Indian money market is

a) co operative banks b) indigenous banks
c) commercial banks d) reserve bank of India
163. A person appointed by a stock broker to assist him in the business of securities trading is called
a) sub broker b) commission broker
c) authorized clerk d) tarawaniwala
164. An order for the purchase of securities at fixed prices is known as
a) limit order b) open order
165. Speculators who neither buy nor sell securities in the market ,but still trade on them are called
a) wolves b) stags
c) lame ducks d) bears
166.________ securities are generally issued for a fixed period and redeemable by the issuer at the end
of that period.
a) Zero coupon bond b) Debt
c) Equity shares d) None of the above
167. _________ is deemed to be the owners of the company and enjoy the power to control the
activities of the business through the elected board of directors.
a) shareholders b) debenture holders c) all of these
168. _______ is a document which either creates a debt or acknowledges it.
a) Zero coupon bond b) Debentures
c) Equity shares d) None of the above
169. __________ instruments are those instruments, which have a maturity period of less than one
year
a) money market b) capital market
c) debt market d) none of these
170. G-Secs are issued by the______ on behalf of the Government of India.
a) Reserve Bank of India b) securities and exchange board of India
c) Ministry of commerce d)all of these
171. ‘Gilt Securities’ are issued by _________.
a) Reserve Bank of India b) securities and exchange board of India
c) Ministry of commerce d) all of these
172. This is the stock valuation method that uses financial data to predict price movements.
a) Fundamental Analysis b) Technical Analysis
c) Company Analysis d) None of the above
173. Advance decline line is a ______
a) Indicator b) Pattern
c) Market indicator d) None of the above
174. This is the level is the level that the technical analyst believes a stock price will not fall below.
a) Support level b) Resistance level
c) Maximum level d) None of the above
175. This pattern occurs when a stock price drops to a similar price level twice within a few weeks or
months.
a) Support level b) Cup ad handle
c) Double bottom d) None of the above
176. Most of such stocks pay dividends and hence investors would like to buy and hold for long
periods. Such a portfolio is called;
a) Patient portfolio b) Aggressive portfolio
c) Efficient portfolio d) None of the above
177. This portfolio invests in “expensive stocks” that offer big rewards but also carry big risks.
178. A portfolio that provides highest returns at a given level of risk.
179. Each contract is custom designed, and hence is unique in terms of contract size, expiration date
and the asset type and quality.
a) Forward Contract b) Future Contract
180. These contracts are standardized and hence trade in stock exchanges
181. The credit risk of future is __________ than that of forwards:
a) Lower b) Higher
c) Average d) None of the above
182. The buyer or holder of the option purchases the right from the seller for a consideration called;
a) Remuneration b) Premium
c) Discount d) None of the above
183. this option give the holder or buyer, the right to buy specified quantity of the underlying asset at
a specified price on or before a specified time..
184. This option gives the holder or buyer, the right to sell specified quantity of the underlying asset at
a specified price on or before a specified time.
185.______________is a financial contract, between two or more parties, whose value is derived from
the future value of an underlying asset.
c) Options d) Derivative Contract
186._____________ use derivatives markets to reduce or eliminate the risk associated with price of an
asset
a)speculator b)arbitragers c)hedgers d)none of these
187.In ____________Derivatives, underlying asset can be commodities.
a) share b) rupee c) commodity d) none of these
188.______________ contract is a one to one bipartite contract, which is to be performed in future at
the terms decided today.
189.____________ contracts are normally traded outside stock exchanges.
190.____________ contracts are standardized and hence traded in stock exchanges
191.No credit risk involved in __________ contract because of the involvement of clearing house.
192.Futures are highly standardized, whereas each ____________ is unique

193. ______________ option give the holder or buyer, the right to buy specified quantity of the
underlying asset at a specified price on or before a specified time
194.___________ option gives the holder or buyer, the right to sell specified quantity of the
underlying asset at a specified price on or before a specified time
195. The following one is a financial asset
a) gold b) silver c) shares d) land
196. Which one of the following is a cash assets
a) Deposits created out of loans b) share
c) bond d) post office certificate
197. The component of capital market is
a) treasury bill market b) government securities market
c) commercial bill market d) a and b
198. Goverenment bond is a
a) short term security b) long term security
c) medium term security d) either short term and long term security
199. The market for short term loans is known as
a) call money market b) treasury bill market
c) money market d) acceptance market
200. Bills drawn and acceptance payable after three months are called
a) indigenous bills b) usance bills
c) clean bills d) supply bills
201. The market which helps commercial banks to maintain their SLR requirements is
a) call money market b) discount market
c) acceptance market d) commercial bill market
202. The certificate which evidences an unsecured corporate debt of short term maturity is
a) short term loan certificate b) certificate of deposits
c) interbank participation certificate d) commercial paper
203. The major player in the Indian money market is

a) co operative banks b) indigenous banks
c) commercial banks d) reserve bank of India
204. A person appointed by a stock broker to assist him in the business of securities trading is called
a) sub broker b) commission broker
c) authorized clerk d) Tarawaniwala
205. An order for the purchase of securities at fixed prices is known as
a) limit order b) open order
ANSWERS
1.d)Knowledge about the markets with funds 28. a)all the new issues should be in
2.d)Knowledge about the markets with funds depository mode
3.a)right to have claims in the case of winding 29.b) 30 stocks

up of the company 30.d)1995
4.c) the share holders have to pay the debt to 31.a)OTCEI
the extent of their shares in the capital
5.d) nonvoting shares carry higher dividends 32.b) 20 % of the issue size
instead of voting rights 33.a) Debts
6.a) U.S security market 34.c)Mutual funds
7.c) consumer price index 35.b) Equities
8. c) transferability 36.a)Market risk
9.d)non financial investments 37.b)Interest rate risk
10.b) national saving certificate 38.c)Purchasing power
11.a)unsecured promissory notes 39.c)Fundamental analysis
12. c)8.7% 40.a)Systematic risk
13.b) national saving certificate 41.c)Charles Dow
14.c)quarterly and annual report 42.b)Markowitz
15.b)200 43..d)All of the above
16. d)all of these 44.a)Money market
17.b)limit order 45.b) Hundis
18. c) 7 days 46.a) Temporary requirement of cash
19. b)T+7 47.c)Treasury bills
20. c)Mark to market margin 48.b)Interbank participation certificate
21. b)1957 49.b)Capital market
22. c)to provide insurance toinvestor s in case 50.c)Gilt edged market
of default by the members
51.b)Preference share
23.d)very small aperture terminal
52. c)Treasury bills
24. b) National security clearing cooperation
53. b)Zero coupon bond
25. c)fifteen regional stock exchanges
54.a)Open end fund
26. c) NASAQ & JASAQ
55.b)Closed end fund
27. b) Rs.3 crores
56. c)Growth fund
57. d)Income fund
58.d)Equity fund 90. b)fundamental analysis

59.a)Forward contract 91.a) annual dividend per share /stock price by
60.b)Future contract share
61.a)Lower
92.c) identification of value
62.b)Premium 93.a) time consuming
63.a)Call option 94.d)2.5 percentage
64.b)Put option 95.d)stock exchange placing
65.a)debts 96.c)Mumbai
66.c)mutual funds 97.d)broker
67.b)equities 98.b)bear
68.b)NASDAQ 99.c) Facilities for conversion of savings into

investments
69. d)nifty
100.b)1875
70. b)creditors
101.d)all the above
71. b)central government securities
102.b) new securities
72. a)zero coupon bond
103.d) kerb trading
73. b)coupon rate
104.a) govt and semi govt securities
74. c)YTM
105.c)unit trust of India
75. b) stock valuation method
106. a) assets management company
76. a) economic analysis
107. c) securities contact(regulation) act
77. d) inflation
108.b) lame duck
78. GDP
109.d) 1957
79. c. Industry
110.a) unit trust of India
80. b.net earring
111..d) arbitrage
81. a) price to earnings ratio
112. b) call option
82. b. liability
113.. a) put option
83. c. return on equity
114. d) shares consistently yielding high
84. a) 13%to15% returns
85. b. criticism 115. c) hedging risk
86. a) net income 116. b) future
87. b) dividend payout ratio 117. d) European option
88. c) price to purchase ratio 118. b) exercise price
89. b) earnings per share 119. a) swap
120. a) U.S.A 152. c) beta

121. b) income fund scheme 153.a)systematic risk
122. c) asset management company 154.shares
123. b) share certificate 155.a)deposits created out of loans
124. a) open ended fund 156.b)government securities market
125. b)closed ended fund 157.b)long term security
126. c )growth fund 158.c)money market
127.d)income fund 159.b) usance bills
128.d)equity fund 160.a)call money market
129.c) both a and b 161.a)call money market
130.a)open ended fund 162.c)commercial banks
131.c)debentures 163.c)authorized clerk
132.a) unavoidable risk 164.a)limit order
133.d)both b and c 165.b)stags
134.c)perfect negative 166.b) Debt
135.a) portfolio 167.a)Share Holders
136.d)diversification 168.b)Debenture
137.c) Variance co-variance matrix 169.a)Money market
138.a) 0 170.a)Reserve Bank of India
139.b)1956 171.a)Reserve Bank of India
140.a)second hand securities are traded 172. a)Fundamental Analysis
141.b)Mumbai 173.a) Indicator
142.b)buying /selling of unlisted securities 174. b)Resistance level
143.b)secondary market 175.c) Double Bottom
144.b) bear 176.a) Patient portfolio
145.a) Bull 177.b)Aggressive portfolio
146.b)call option 178.c) Efficient portfolio
147.b)industrial securities 179. a)Forward Contract
148.c)OTCEI 180.b) Future Contract
149.d)bank rate 181.a) Lower
150.a) greater than one 182.b) Premium
151.b)standard deviation 183. a)Call Option
184.b) Put Option 196.a) deposits created out of loans

185.d) Derivative Contract 197.b)government securities market
186. c)Hedgers 198.c)medium term security
187.c)Commodity 199.c)money market
188.a) Forward 200.b)usance bills
189. Forward 201.a)call money market
190.b)Future 202.d)commercial paper
191.b) Future 203.d)reserve bank of India
192.a)Forward 204.a) sub broker
193. a)Call option 205.a)limit order
194. b)Put Option
195.c)shares
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6. Zero coupon bonds has its origin in

c) induces good performance by the company d) all of these

28. According to SEBI guidelines

c) Fundamental analysis d) None of the above

c) Options d) None of the above

a. return on equity b. dividend payout ratio c. book value

114. Who does “blue chip “denotes

a) Open ended fund b) closed ended fund

151. Total risk in a security usually measured by

162. The major player in the Indian money market is

192.Futures are highly standardized, whereas each ____________ is unique

203. The major player in the Indian money market is

3.a)right to have claims in the case of winding 29.b) 30 stocks

58.d)Equity fund 90. b)fundamental analysis

62.b)Premium 93.a) time consuming

63.a)Call option 94.d)2.5 percentage

64.b)Put option 95.d)stock exchange placing

66.c)mutual funds 97.d)broker

68.b)NASDAQ 99.c) Facilities for conversion of savings into

120. a) U.S.A 152. c) beta

184.b) Put Option 196.a) deposits created out of loans

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