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NISM Series-XV: Research Analyst Certification

CHAPTER 2- INTRODUCTION TO SECURITIES MARKET

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1. Convertible debentures can be converted into equity shares at a future date. Which type of convertible debentures involves the conversion of the entire face value into equity shares?

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2. What are warrants?

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3. What are the two segments of the secondary market?

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4. Which of the following entities issue securities?

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5. What is the eligibility criterion for retail investors in an eligible public issue?

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6. Who facilitates buy and sell transactions of investors on stock exchanges?

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7. What is the main difference between fully convertible debentures and non-convertible debentures?

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8. Which of the following is an example of an Institutional Investor in the securities market?

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9. Equity shares represent:

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10. Which category of financial products are available in the Indian securities market?

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11. Depository Receipts that are issued in India and listed on an Indian Stock Exchange, with foreign stocks as underlying shares, are known as:

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12. What does an Offer for Sale (OFS) involve?

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13. What is the role of underwriters in the primary market?

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14. What is an Initial Public Offering (IPO)?

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15. What are securities in the financial market?

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16. Which index is composed of the 30 chosen stocks on the Bombay Stock Exchange (BSE)?

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17. What is the purpose of the primary market?

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18. Which type of mutual fund scheme allows investors to buy and sell units at any time at the Net Asset Value (NAV) linked prices?

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19. What is the distinguishing feature of partly convertible debentures (PCDs)?

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20. What is the role of securities market?

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21. What does the term "securities" include as per the Securities Contracts (Regulation) Act, 1956?

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22. Which entities hold securities in electronic form in the securities market?

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23. Debentures are:

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24. As per SCRA (Securities Contracts (Regulation) Act), which of the following is included in the term "securities"?

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25. Which category of Alternative Investment Funds (AIFs) invests in start-up or early-stage ventures?

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26. What is the advantage of Exchange Traded Funds (ETFs) over mutual fund schemes?

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27. Which type of bonds are issued by companies in a currency different from their home country?

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28. Which regulatory body is responsible for overseeing Mutual Funds and Exchange Traded Funds in India?

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29. What is the purpose of Participatory Notes (P-Notes) in the Indian stock market?

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30. What is the role of Proxy Advisory services firms?

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31. What is the function of the secondary market?

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32. Which regulatory body is responsible for overseeing the issuance of equity shares in India?

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33. What are foreign currency bonds?

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34. What are warrants in the context of the Indian Securities Market?

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35. What is the settlement period for spot trades in the securities market?

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36. What is the purpose of market indices?

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37. When the entire face value of a debenture is converted into equity shares, it is known as:

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38. What is the role of clearing corporation in the secondary market?

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39. What is the process of converting securities held in physical form into holdings in electronic form called?

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40. Which type of preference shares offers a pre-determined rate of dividend and has unpaid dividends carried forward?

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41. Along with SEBI (Securities and Exchange Board of Indi and other regulators under the Companies Act, does RBI (Reserve Bank of Indi also regulate the Equity Shares Market?

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42. Which market segment enables investors to exit from an investment or buy already existing securities?

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43. Which regulatory body is responsible for overseeing the issuance of warrants in India?

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44. What is the distinguishing feature of masala bonds?

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45. Which of the following actions involves taking a position in financial transactions to offset potential losses incurred by another position?

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