Test Your NISM-Series-15: Research Analyst Mock Tests Knowledge in 5 Minutes

1. Who are typically defined by the nature of analysis they perform and the clients they serve?

A. Regulatory Bodies B. Research Analysts C. Portfolio Managers D. Stock Brokers

2. What is the role of Research Analyst? (NISM workbook)

A. RAs help in financial planning of their client B. RAs are only involved in collection of the data C. RAs help their clients take informed decisions D. RAs are only involved in the analysis of data

3. Analysis and Decision making, the two imperative parameters of a research analyst’s role are affected by which of the following factors? (NISM workbook)

A. Revenues and Costs B. Efficiency of operations C. Management Ethics D. All of the above

4. Sell side Analyst generally work for money managers like mutual funds, hedge funds, portfolio managers who purchase and sell securities for their own investment accounts or on behalf of their clients. State whether True or False. (NISM workbook)

A. True B. False

5. Which of these Qualities are desired in a good research analyst? (NISM workbook)

A. Clarity in financial concepts B. Ability to read and understand financial statement C. Knack for numbers and interpretation D. All of the above

6. As per SCRA, the term securities include which of the following? (NISM workbook)

A. Derivatives B. Government Securities C. Shares, scrips or bonds D. All of the above

7. Along with SEBI and other regulators under Companies Act, RBI also regulates the Equity Shares Market. State whether True or False. (NISM workbook)

A. False B. True

8. Where the entire face value of the debenture is converted into equity shares, it is known as _____________. (NISM workbook)

A. Party Convertible Debenture B. Optionally Convertible Debenture C. Fully Convertible Debenture D. None of the above

9. Depository Receipts which are issued in India and listed on an Indian Stock Exchange with foreign stocks as underlying shares, is known as ____________. (NISM workbook)

A. GDRs B. IDRs C. FCCBs D. ADRs

10. A bond is issued at a face value of Rs.100 and a coupon of 10% p.a. The interest rates in the market have increased subsequently. This bond is likely to quote at: (NISM workbook)

A. At the face value B. At a price that reflects its credit risk C. At a price below face value D. At a price above face value