Beruflich Dokumente
Kultur Dokumente
1.Minimum number of members required to apply for incorporation certificate in a public ltd
company is
Ans. C
2. The address of the registered office of the company must be notified to the registrar within
_________ days of registration, if it is not done at the time of incorporation
Ans. B
Ans. C
a. 5 b. 6 c. 7 d. 8
Ans. B
Ans. D
6. The Prospectus must be issued to the public within ______________ days of its date
Ans. C
7. Powers, rights, remuneration, qualification and duties of directors are discussed clearly in
Ans. B
8. A company is known as the _______company of another company if it has control over that
other company.
Ans. B
a. 3 b. 10 c. 20 d. 7
Ans. C
10. .Private company prohibits any invitation or acceptance of deposits from persons other than
its ___________
Ans. A
11. The company needs to obtain prior permision from central government when it changes the
address of its registered office from
Ans. C
12. ___________ cannot give invitation to the public to subscribe for any shares in or debentures
of the company
Ans. C
[D] Prospectus
Ans. A
[A] prospectus
[B] annual report.
Answer: C
Ans. A
a) Private Company b) Public Company c) Both (a) & (b) d) None of the above
Ans. B
ANS C
Ans. B
19. A company is named as govt. company if it is holds ______% of paid up share capital
Ans. C
Ans B
21. With in how many days prospectus or statement in lieu of prospectus should file with ROC
_______ a) 30 b) 40 c) 20 d) 50
Ans C
Ans A
23. M.M. ltd is incorporated on Jan 1, 2021. It must hold its first AGM before. a) Dec 312022 b)
Dec 312021 c) June 302021d) June 30 – 2022
Ans C
Ans D
25. Any person aggrieved by an order of the appellate tribunal may, within ______from the date
of receipt of order of the Appellate tribunal, prefer an appeal to the Supreme Court. The supreme
court may allow a further period not exceeding _____for filing the appeal, if it is satisfied that
the appellant was prevented by sufficient cause from filling the appeal within that period.
a) 30 days, 30 days
b) 45 days, 45 days
c) 60 days, 60 days
d) None of these
Ans C
25. Aggrieved party may appeal to SAT within days of order against which appeal to be
made is received:
a) 60 days
b) 30 days
c) 45 days
d) 90 days
Ans C
Ans B
d) All of above
Ans D
a) SEBI
b) Central Government
Ans B
29. Scheme for corporatization and demutualization of recognized stock exchange is sent to :
a) Central Government
b) SEBI
c) ROC
d) None of above
Ans B
a) The voting rights of shareholders who are also stock brokers of the recognized stock exchange
b) The right of shareholders or stock brokers to appoint the representatives on the board
c) The maximum number of representative appointed shall not exceed ¼ of the total strength of
the board.
d) All of above
Ans D
31. If a stock exchange fails to submit the scheme of corporatization and demutualization or the
scheme submitted is rejected by SEBI, then the central government has the right to:
Ans A
a) Beyond the power b) with in the power c) Both d) None of the above
Ans A.
Ans A
Ans A
35.The granting of the certificate of incorporation renders the illegal objects include in the
memorandum:
Ans B
a) As expeditiously as possible
b) Within 3 months
c) Within 6 months
d) Within a year.
Ans C
b) High Court
c) Central Government
d) Stock exchange.
Ans A
a) No the business of the stock exchange cannot be suspended unless its affairs are held in a
manner detrimental to the interest of trade or public.
c) Yes central government can suspend the business for a period not exceeding 7 days for
reasons to be set out.
Ans C
39. An order has been passed by the central government to amend the rules of the all the
recognized stock exchange. It shall be complied with within a period of
a) 15 days
b) 2 months
C) 30 days
d) 3 months
Ans B
40. The amendment in bye laws of the recognized stock exchange by SEBI shall come into effect
on:
a) Passing an order
Ans B
a) SEBI
b) Central Government
c) ROC
Ans B
42.Every recognized stock exchange shall preserve its books of accounts and other documents
for a period of :
a) 8 yearsa
b) 10 years
c) As determined reasonably.
d) 5 years
Ans D
43.An inquiry into the affairs of the stock exchange or its members be made by :
a) SEBI
b) Central Government
c) SAT
Ans A
44. If minimum subscription is not received application money should be refunded with in
_____ days
a) 20
b) 30
c) 25
d) 10
Ans d
Answer: B
46. which of the following company/companies are registered by the Companies Act, 2013?
(a) Government Company (b) Private Company (c) Public Company (d) All of the above
Answer: D
Answer: A
Answer: D
(a) Companies Act, 1596 (b) Companies Act, 1957A(c) Indian Partnership Act,1932 (d)
Companies Act, 2013
Answer: D
Answer: . B
Ans. a
56. If any body wants to file a case against the company they should file at what place _____
(a) Company
(b) Registered Office
(c) BOD
(d) Books of accounts
Ans. (b)
57. ____ are the shares issued by the company to it employees or directors for consideration
other than cash
(a) Bonus
(b) Sweat
(c) Right
(d) None of the above
Ans. (b)
62. The regulatory body for the securities market in India is ------------.
(a) RBI (b) SEBI (c) IRDA (d) Stock exchanges
Ans B
68 ‐‐‐‐‐‐‐‐‐‐‐‐‐‐ is the market where the existing securities of companies are traded.
(a) Primary market (b) Secondary market (c) Money market (d) None of these
ANA B
69. ‐‐‐‐‐‐‐‐‐‐‐‐ is the process of admitting securities for trading on a recognized stock exchange.
(a) Issuing (b) Investing (c) Listing (d) None of these
ANS C
71. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ buy and sell securities on behalf of the investing public.
(a) Arbitrage (b) Commission brokers (c) Stock broker (d) None of these
Ans B
72. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ is the person who buys securities with a view to sell them in future at a profit.
(a) Speculator (b) Issuer (c) Stock brokers (d) None of these
Ans A
73. A person who sells the shares with the expectation of buying them in future at a reduced
price.
75. is the market where the existing securities of companies are traded.
(a) Primary market (b) Secondary market (c) Money market (d) None of these
ANS B
76. ‐‐‐‐‐‐‐‐‐‐‐‐ is the process of admitting securities for trading on a recognized stock exchange.
(a) Issuing (b) Investing (c) Listing (d) None of these
ANS C
77. A person appointed by a stock broker to assist him in the business of securities trading is
called ‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Sub broker (b) Tarawaniwalas (c) Authorized clerk (d) None of these
ANS C
78. The process of artificially increasing or decreasing the price is known as ‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Price bond (b) Price rigging (c) Cover system (d) None of these
ANS B
89. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ means eliminating the paper certificates and maintaining records in the
form of electronic entries only.
(a) Dematerialization (b) Depository (c) Stock market index (d) None of these
Ans A
92. Depository participant is the link between the ‐‐‐‐‐‐‐‐‐‐‐ and the owner.
(a) Depository (b) Government (c) Corporate (d) None of these
ANS A
93. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐ system reduces time for transfer for transfer of securities.
(a) Depository (b) government (c) Investment (d) None of these
ANS A
95. An instrument which derives its value from an asset backing it is called ‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Derivatives (b) Depository (c) Documentation (d) None of these
ANS A
ANS B
99. In ‐‐‐‐‐‐‐-------, a listed company decides on its own to permanently remove its securities
from a stock exchange.
(a) Compulsory delisting (b) Voluntary delisting (c) Relisting (d) Listing
ANS B
103. All activities related to finance and organized into a system called ‐‐‐‐----‐‐‐‐‐‐‐‐.
(a) Capital market (b) Money market (c) Financial system (d) open market
ANS C
(a) Long term capital (b) Short term capital (c) Working capital (d) Fixed capital
ANS A
(a) Securities Exchange Board of India (b) Stock Exchange Board of India
(c) Securities and Exchange Board of India (d) Stock Earn Board of India
ANS A
107 Equity shares and preference shares are ownership securities, also known as
‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Debt capital (b) Capital stock (c) Fixed capital (d) Capital issue
ANS B
108. Bonds, debentures etc. are creditor ship securities, also known as ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Debt capital (b) Capital stock (c) Working capital (d) Capital issue
ANS A
109. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ are equity shares issued by the company to employees or directors at a
discount or for consideration other than cash.
(a) Derivatives (b) Securitized instruments (c) Sweat equity shares (d) detachable warrants
ANS C
110. The companies Act (Sec. 85) describes preference shares as those which carry a ‐‐‐‐‐‐‐‐right
to payment of dividend during the life time of the company.
111. Convertible preference shares can be converted to equity shares at the option of the holder,
so these shares are also known as ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Conversion of preference shares (b) Quasi equity shares (c) fully convertible preference
shares (d) Participating preference shares
ANS B
112. Debenture is a ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ instrument issued by the company with a promise to pay
interest and repay the principal on maturity.
113 ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ issued by the central government or state governments are referred
to as government securities.
(a) Instruments (b) Securities (c) Bonds (d) Shares
ANS B
114 Government securities are also called ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ because of the safety and security of
investments made in them and regularity of return.
(a) Gift‐edged securities (b) Long term securities (c) Short term securities (d) Investments
130.
ANS A
(a) Public debt office (b) SEBI (c) DFHI (d) Stock exchange
ANS A
116. ‐‐‐‐‐‐‐‐‐‐‐‐ issued by a foreign entity, such as bank or company, but is issued and traded in
the United States and denominated in U.S. dollars.
(a) Bonds (b) GDR (c) IDR (d) Yankee bonds
ANS D
117. RBI established ‐‐‐‐‐‐‐‐‐‐‐‐‐ in 1988 to perform the money market operations on its behalf.
118. ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ is a unsecured promissory note issued with a fixed maturity, by a company,
and approved by RBI, maturity from 7 days to one year, issued at a discount on the face
value.
(a) Certificate of Deposits (b) Treasury bill (c) Commercial Bills (d) Commercial papers
ANS C
(a) Initial Public Offer (b) Initial Public Offering (c) Individual Public offer (d) none of these
ANS A
120 Bonus issue is the issue of shares to ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐ out of the free reserves of the company.
(a) Existing shareholders (b) New shareholders (c) None of these (d) All of them
145.
ANS A
(a) Employers Stock Option Plan(b) Employees Stock Option Plan (c) Employees Stock Option
Premium (d) Employees Stock Ownership Plan
ANS B
122 Underwriters charge a commission for their service which is known as ‐‐‐‐‐‐‐‐‐‐‐‐‐‐‐.
(a) Commission (b) Penalty (c) Underwriting charge (d) Underwriting commission
ANS C