Free Mock Test NISM Investment Advisor Level-1

Which of the following activities does the merchant banker have to perform in the process of Issue Management?

A promoter of ABC company wants to raise resources through public issues. He was barred from accessing the capital market last year by SEBI on account of insider trading. Is he eligible to come out with public issue?

There is a restriction on the number of warrants being attached to public issues or rights issues. How many warrants can be attached to specified security?

SCORES system of SEBI does not deal with any complaints which fall under the purview of the other regulatory bodies i.e. IRDA, PFRDA, etc.

Every merchant banker shall submit to SEBI complete particulars of any transaction for the acquisition of securities of any Body Corporate whose issue is being managed by that merchant banker within ______ from the date of entering into such transaction.

The fees payable by the merchant banker on the grant of certificate of registration should be by a demand draft in favor of ‘Association of Investment Bankers of India (AIBI)’ payable at Mumbai.

The merchant banker leading a public offer is popularly known as the ‘Lead Manager’. State whether True or False.

Derivatives in which of the underlying assets are allowed in the Indian Market?

Who is a Qualified Institutional Buyer?

Which of the following ways are used by the Promoters to dilute/offload their holding in listed companies?