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NISM Series-XV: Research Analyst Certification

CHAPTER 13: LEGAL AND REGULATORY ENVIRONMENT

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1. What does the Treynor Ratio measure?

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2. Which type of return considers the investment period and allows for comparison?

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3. What is the time frame typically used for calculating the stock turnover ratio?

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4. What is the relationship between interest rates and bond prices?

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5. What does the Sharpe Ratio measure?

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6. If interest rates in the economy rise, the price of the bond would

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7. Which bias leads to the search for information that confirms one's beliefs?

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8. How is the EV to Capital Employed ratio calculated?

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9. What does the Net Asset Value (NAV) approach consider in valuation?

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10. What are some valuation parameters used in the new age economy and businesses?

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11. What is the objective of stock exchanges regarding liquidity?

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12. In which industries is the Net Asset Value (NAV) approach commonly used?

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13. What does a higher Jensen's Alpha indicate?

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14. What is the main measure of liquidity in the traded value turnover ratio?

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15. How does the EV to Capital Employed ratio and Return on Capital Employed (ROCE) complement each other in investment decision making?

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16. According to "The Checklist Manifesto" by Dr. Atul Gawande, what distinction is made between errors of ignorance and errors of ineptitude?

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17. Which parameters are considered under quantitative analysis in an investment research checklist?

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18. Is business risk also known as operating risk?

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19. What is reinvestment risk?

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20. What is an important consideration in valuing a business with high earning power?

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21. What are some qualitative parameters that can be included in an investment research checklist?

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22. Which of the following is a quality of a good research report?

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23. Why should one look at consolidated numbers in valuation?

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24. What is the formula for calculating Compound Annual Growth Rate (CAGR)?

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25. What is the calling feature in bonds?

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26. What is Return on Investment (ROI) for a single period?

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27. What are some advantages of using a checklist approach in investment research reports?

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28. What does ownership bias reflect?

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29. What does the Price/Adjusted book value ratio consider?

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30. Which measure factors in the difference in risk?

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31. What happens to reinvestment risk when interest rates rise?

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32. What is anchoring bias?

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33. What is call risk?

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34. Which measure of return is the accepted standard in financial markets?

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35. What does herd mentality in investing refer to?

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36. What does the Price/Embedded value ratio measure?

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37. Which bias involves interpreting information to confirm existing beliefs?

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38. Is dividend a small component of the total returns from equity?

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39. How is stock turnover ratio calculated?

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40. What is the Sum-Of-The-Parts (SOTP) valuation method?

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41. What is the gambler's fallacy?

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42. What does the EV to Capital Employed ratio measure?

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43. What is Jensen's Alpha?

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44. How is the price-to-earnings ratio calculated?

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45. What is country risk?

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46. What does the traded value turnover ratio measure?

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47. Leverage ratio is a part of which parameter of business analysis?

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48. Which measure of return accounts for the time value of money and reinvested returns?

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49. What is the purpose of investment for an investor?

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50. Why is valuation considered a subjective exercise?

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51. What is systematic risk?

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52. Which risk refers to the absence of liquidity in an investment?

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53. Which measure calculates the risk premium per Beta?

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54. What is political risk?

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55. What are the major sections of a research report?

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56. Which of the following is not a valuation parameter for business analysis?

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57. What should be focused on when assessing the return on capital and return on equity?

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58. What is the purpose of relative valuation?

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59. For analysts, which is the authentic source to check facts on a Company?

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60. What does projection bias involve?

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61. What is the purpose of considering valuation parameters in an investment research checklist?

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62. Which bias can prevent investors from benefiting from market corrections?

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63. Which risk refers to the risk of the loss of value in an investment due to adverse price movements in the market?

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64. When should one be cautious while using ROI numbers?

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65. Which risk refers to the possibility that a bond issuer will not be able to make expected interest rate payments and/or principal repayment?

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66. Which shares are considered in the calculation of stock turnover ratio?

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67. Which source of information is commonly used for fact-based sections in a research report?

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68. Which risk arises from the decline in the value of security's cash flows due to the falling purchasing power of money?

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69. Which recommendations are commonly used by research analysts to rate stocks?

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70. What is loss-aversion bias?

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71. Which of the following is a non-cash charge?

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72. What is unsystematic risk?

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73. What does the winner's curse involve?

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74. What is the earnings yield if the price of a stock is Rs. 195 and EPS is Rs. 13?

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75. What are some potential reasons for failure of a research report?

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76. What is the objective of the Capital Asset Pricing Model (CAPM)?

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77. Which risk is inherent in the operations of a company?

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78. If a stock has exceeded its Target Price, an analyst may recommend which action?

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79. What does EV (Enterprise Value) represent for a private owner?

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