NISM Investment Advisor Level-1 Free Mock Test

Who appoints the accountants and the auditors who help in reviewing and auditing financials and preparing financial statement as per SEBI (ICDR) Regulations for inclusion in the Offer Document?

Which Act/Regulation prescribes the general obligations to be followed by Issuers and other intermediaries who are related to the process of issue management?

A Merchant Banker applicant should have how many people in his employment who should be experienced to conduct the business of Merchant Banker?

Further Public Offer (FPO) can be made only through book building issues through the stock exchange route. State whether True or False?

Which Act aims at prohibiting anti‐competitive agreements, abuse of dominant position by enterprises and regulates combinations (acquisition, acquiring of control and M&A), which causes or likely to cause an appreciable adverse effect on competition within India?

As per the SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007, a certificate is valid for a period of ______ from the date of grant of certificate or revalidation as the case may be.

The SLR and CRR rates are decided by which of the following regulatory bodies?

In which market, securities are issued to investors for the first time?

Who are the major investors in the government securities market in India?

Under ASBA facility, investors apply in __________ by using their bank account.