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Question 1 reset
_______ capital is/are for perpetuity from the point of view of the company.
Question 2 reset
Equity capital gives returns to the investors in the form of:
Question 3 reset
The interest that a company will have to pay on the debt raised will depend upon its_______.
Question 4 reset
Debt capital is always raised for short-term periods. State whether True or False.
Question 5 reset
Which of the following is a hybrid security?
Question 6 reset
_____ rights give the equity investor a say in the management of the company.
Question 7 reset
A 20 percent dividend declared on face value of Rs 10 and market price of Rs 120 translates into a dividend payout of _____.
Question 8 reset
Preference shareholders get preference over debenture holders in the payment of dividend. State whether True or False.
Question 9 reset
Which of the following is/are examples of corporate actions?
Question 10 reset
A company may issue additional shares to existing shareholders without any capital contribution from the shareholders based on the number of shares an investor holds. This is known as _______.
Question 11 reset
_________ of a bond refers to the interest payable on a bond.
Question 12 reset
A bond with a higher credit rating will pay _______ interest rates.
Question 13 reset
The prices of bonds are ________ related to interest rate movements.
Question 14 reset
A zero coupon bond is always issued at a premium. State whether True or False.
Question 15 reset
The YTM of a bond is the yield that investors will earn on holding a bond to maturity. State whether True or False.
Question 16 reset
Warrants are usually issued along with _________.
Question 17 reset
The non-convertible portion of a partly convertible debenture is ________ on maturity.
Question 18 reset
The stocks which underlie a Depository Receipt (DR) issue are held by a __________.
Question 19 reset
Holders of Depository Receipts do not have _______ rights.
Question 20 reset
The payment of interest and repayment of principal, in case of a Foreign Currency Convertible Bond (FCCB), is in foreign currency. State whether True or False.
Question 21 reset
The Apex regulator of the securities markets in India is ________.
Question 22 reset
Insider trading is controlled by the regulations prescribed by __________.
Question 23 reset
The Investor Education and Protection Fund (IEPF) is funded by unpaid dividends remaining unclaimed for at least_________.
Question 24 reset
The protection of investors’ interests is a secondary objective of SEBI. State whether True or False.
Question 25 reset
SEBI has the power to enforce penalties. State whether True or False.
Question 26 reset
The RTA as a custodian of data acts as the repository of information of ___________ data.
Question 27 reset
One of the main tasks undertaken by an Investor Service Centre (ISC) / Official Point of Acceptance (OPA)is:
Question 28 reset
Registrar and Transfer Agents (RTAs) servicing more than 2 crore folios are known as ___________.
Question 29 reset
A depository may keep both the record keeping in-house, and outsource to an RTA. State whether True or False.
Question 30 reset
Registrar and Transfer Agent (RTA) has a critical role in Corporate Actions:
Question 31 reset
The SEBI (RTA) Regulations defines Share Transfer Agent as –
Question 32 reset
A Registrar to an Issue and Share Transfer Agent shall avoid conflict of interest and make adequate disclosure of its interest. State whether True or False.
Question 33 reset
Qualified RTAs are market intermediaries who service more than 2 crore folios. They are also referred to as:
Question 34 reset
Cyber-attacks and threats attempt to compromise the ___________, _________ and ____________ of the computer systems, networks and databases.
Question 35 reset
Identification of the ________________ of all investments, held except by individual investors, is necessary to prevent money laundering and ensure due diligence of KYC norms.
Question 36 reset
The securities that a mutual fund scheme invests in depend upon its ________.
Question 37 reset
The type of expenses that can be charged to a fund and its limit is decided by _______.
Question 38 reset
Mutual funds have lower risks because of ________ & _______ compared to direct investing.
Question 39 reset
The unit capital of a fund is the number of units issued multiplied by NAV of the fund. State whether True or False.
Question 40 reset
Total Expense Ratio (TER) is charged to the fund at the end of the financial year. State whether True or False.
Question 41 reset
At least _______ trustees must be independent of the sponsor.
Question 42 reset
The functioning of the Asset Management Company (AMC) is overseen by the _______.
Question 43 reset
The remuneration of the constituents of a mutual fund is in the form of _______.
Question 44 reset
The sponsor contributes to the capital of the Asset Management Company (AMC). State whether True or False.
Question 45 reset
An Asset Management Company (AMC) can manage the funds of more than one mutual fund at the same time. State whether True or False.
Question 46 reset
Investors buy closed-end funds from the mutual fund during _______.
Question 47 reset
Information in the __________ is common to all schemes of a mutual fund.
Question 48 reset
Liquid funds invest in debt securities with maturity __________.
Question 49 reset
Equity Linked Savings Schemes (ELSS) are required to hold at least _____ percent of total assets in equity and equity related instruments.
Question 50 reset
Once the money is pooled from the investors, the fund defines the investment objectives and strategy of the scheme. State whether True or False.
Question 51 reset
During the New Fund Offer (NFO) the investors buy mutual fund units at:
Question 52 reset
The updated Net Asset Value (NAV) of schemes (except for fund of fund schemes) for a day has to be made available on AMFI’s website by which time?
Question 53 reset
Details of the unit capital required for calculating Net Asset Value (NAV) is provided by __________.
Question 54 reset
The cut-off time for liquid fund redemptions is _________.
Question 55 reset
The time stamp put at the distributor’s end can be used to decide the applicable Net Asset Value (NAV). State whether True or False.
Question 56 reset
Which of the following are not allowed to invest in mutual funds in India?
Question 57 reset
A mutual fund folio can have upto how many joint holders?
Question 58 reset
In a mutual fund transaction by a minor the PAN details of the _______ has to be given.
Question 59 reset
________ cannot be a nominee of a mutual fund investor.
Question 60 reset
Minors execute a power of attorney (PoA) in favour of their guardian. State whether True or False.
Question 61 reset
Redemption proceeds from mutual fund schemes are received through which of the following?
Question 62 reset
Which of the following payment modes is accepted for investing in a mutual fund?
Question 63 reset
_________ is an electronic fund transfer method that moves funds instantaneously.
Question 64 reset
National Automated Clearing House (NACH) is used by retail investors for ________.
Question 65 reset
Investor can invest upto Rs. 1,00,000 in cash in a scheme of a Mutual fund. State whether True or False.
Question 66 reset
The transaction slip has which of the following details pre-printed to identify the mutual fund investor in the system?
Question 67 reset
Statement of Accounts (SoA), in case of NFO, has to be sent to the investors within _______ working days from closure of NFO.
Question 68 reset
The redeemed units from an open-ended mutual fund are ________.
Question 69 reset
The switch-out leg of a switch transaction implies ________.
Question 70 reset
The R&T agent creates a mutual fund folio using the information in the transaction slip. State whether True or False.
Question 71 reset
Which of the following change requests can be made by mutual fund investors to update details in their folio?
Question 72 reset
A change request in the authorized signatories of an institutional investor has to be accompanied by which of the following?
Question 73 reset
Changes in the personal information of the investor are made by the _______ in the mutual fund folio.
Question 74 reset
The request for a change in name of the holder is made through ________.
Question 75 reset
Change in information can be made only through the pre-printed transaction slip. State whether True or False.

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