Security Analysis & Portfolio Management (VVN)
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1 . Enumerate the basis principles of Technical Analysis?
2 . Discuss some recent trends in NSE? Explain the functions of NSDL?
3 . Discuss the steps involved in the process of book building?
4 . Discuss some prominent features of an investment program?
5 . Discuss the steps involved in the process of book building?
6 . Describe the concept of Industry Life Cycle?
7 . How does reverse book building works?
8 . How would you classify shares into growth, cyclical and defensive?
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Case Detail :
Stock market success should benefit Rural India
Prime Minister Narendra Modi on Saturday stressed the crucial role played by financial markets for the growth of the Indian economy but warned of damages they can wreak if not properly regulated.
Inaugurating the new campus of National Institute of Securities Markets (NISM) run by the stock markets regulator Securities and Exchange Board of India (Sebi) at Panvel, Modi said India enjoyed a good name for its well-regulated securities markets and for them to function effectively, the participants needed to be well-informed.
“The government is very keen to encourage start-ups… Stock markets are essential for the start-up system,” Modi said. Calling for wider inclusion, Modi said our markets must show that they were able to successfully raise capital for projects benefiting the vast majority of our population, particularly related to infrastructure.
“The true measure of success (of the stock markets) is in its impact in villages, not on Dalal Street or Lutyens Delhi. Sebi should work for closer link between spot markets like e-NAM and derivatives markets to benefit the farmers,” Modi urged. Discussing the economic highlights, the Prime Minister said in less than three years, the government has transformed the economy.
“In 2012-2013, fiscal deficit had reached alarming levels, currency was falling sharply, inflation was high and current account deficit was rising. “Now, we have slashed fiscal deficit, public investments have increased, forex reserves are high, inflation is low at less than four per cent compared to nearly double-digit in the previous regime,” Modi pointed out.
He said the government has progressed on ‘Ease of Doing Business’, the GST, pending since years, would soon be a reality and FDI has reached record levels, even “our critics acknowledge our speed of work”. Modi made it clear that India has a bright future in the long run, and the government would not take decisions for short-terms benefits, and would not shy from difficult decisions if they were in the interest of the nation. “My aim it to make India developed in one generation,” he concluded.
1. What the case is all about?
2. What is the real barometer of a stock exchange as per Primeminister and why?
3. What does it mean to develop India in one generation? How and why it is possible?
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1. Liquidity risk is associated with secondary market transactions.
TRUE
FALSE
Can’t Say
Sometimes
2. Trustee is a self-governing organization that operates as bondholders ………………
Broker
Representative
Gaurdian
Gurantee
3. A price weighted index is an arithmetic mean of …………. Prices.
current
furure
quarter
None
4. Dalal Street is in …. City.
Delhi
Jaipur
Kolkatta
None
5
Financial hazard is most related with use of …………financing by corporations.
Equity
Debt
Private
Loan
6. Bondholders usually accept interest payments each ……………. Months.
3
6
9
12
7. Ambiguity introduced by way by which organization finances its investments is ……. Risk.
Monetary
Credit
Financial
Country
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8. Standard deviation determine ………….. risk of security.
Systematic
Unsystematic
Premium
Total
9. A corporate bond is a corporation’s write undertaking that it will refund a specific amount of money plus
Premium
Interest
Nothing
Security
10. When the investment banker bears the risk of not being able to sell a new security at the established price, this is known as ……………….. .
Arbitrage
FPO
Underwriting
Possession
11. A best efforts offering is sometimes used in connection with a ……………. of new, long-term securities.
Public Issue
Private Issue
Bonus Issue
Collected Issue
12. Rule ……… permits what is known as a shelf registration.
413
414
415
416
13. As per practice, reservation for retail investors in 100% book building process is only …….%.
5
35
25
15
14. Ranking of issues is done under following technique?
Probability Impact Matrix
Traditional Matrix
Modern Matrix
Compatible Matrix
15. Which is not the filter criterion to rank various issues?
Actionality
Criticality
Urgency
Merging
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16. It has beeen noticed that in …………. City there is much concentration of merchant bankers.
Delhi
Mumbai
Hyderabad
Chandigarh
17. Wide network of ……………. all over India and abroad is required for successful marketing of public issues.
Merchant bankers
Underwriters
Banks
Postal offices
18. NASQAQ stands for National Association of Securities Dealers ………….. Quotations
American
Australian
Automated
Automatic
19. Which of the following is not a method a firm can use to publicly issue common stock?
Private Placement
Publicity
Public Placement
Correlation
20. Which of the following is not a method a firm can use to finance their long-term needs externally?
Company Earnings
Accounted Earnings
New Earnings
Retained Earnings
21. FPO stands for follow on …………… offer.
Private
Public
Public-private
partnership
22. If an investment banker has agreed to sell a new issue of securities on a best-efforts basis, the issue results in no assumption of underwriting risk by the ………………. .
BOD
Government
Investment Banker
Underwriter
23. Role of merchant bankers
M&A
Project Councelling
Forming Joint Ventures
All
24. Formal merchant banking activity in India was originated in______.
1979
1969
1989
1999
25. The early growth of merchant banking in the country is assigned to the ________.
FEMA
FERA
Securities Act
IT Act
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26. A Merchant bank is a financial institution conducting money market activities and …………. .
Lending
Investment Service
underwriting
All
27. Issues identification is more important than it is in the …………………… approach.
Conventional
Modern
Traditional
Classical
28. What happens, according to the text, to the average common stock price immediately after the announcement of a new equity issue by a publicly traded firm?
Fall
Stable
Increase
No Change
29. NYSE stands for …………… Stock Exchange.
New-York
New Delhi
New Zeeland
Nariman Point
30. If the market price of a stock “rights-on” is $50 a share, the subscription price is $40 a share, and it takes nine rights to buy an additional share of common stock, the theoretical value of a right when the stock is selling “rights-on ” is how much?
$5
$4
$2
$1
31. The __________ is a disclosure document filed with the SEC in order to register a new security and includes the prospectus and other SEC required information.
Prospectus
Registration Document
Line Document
Straight Document
32. Who …………… earn a spread based on the difference between the purchase price from the firm and the sales price to investors of the securities being underwritten.
International Bankers
Merchant Bankers
Investment Bankers
indian Bankers
33. Disinvestment is normally done for ……………… shares.
Private
Public
Bonus
All
34. Capital Market Line is firstly initiated by …….
Adam
Sharpe
Martkowitz
Linterr
35. NSE stands for …………. Stock Exchange?
New Delhi
Nagpur
National
New york
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36. Internal Trends depict …………………… .
Strengths
Weaknesses
None
Both
37. FTD stands for ………… trading day.
First
Foremost
Future
Fast
38. NIFTY and DSE belong to …………… .
China
India
Japan
USA
39. UTI stands for …………… Trust of India.
United
Unit
Union
Unversal
40. Debentures are issued by …………. Companies.
Public
SMEs
Private
Financially Sound
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