NISM-Series-XV - Research Analyst Certification Exam - 47

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Q 1. In diagnostic studies, what does ratio analysis help analysts identify?

a) The total revenue of the company.

b) The percentage growth of revenue.

c) Reasons for disproportionate changes in financial metrics.

d) The overall profitability of a company.

e) The qualitative aspects of financial statements.
 
Q 2. What action can SEBI take against an intermediary for involvement in unfair trade practices?

a) Issue a warning or censure.

b) Enhance the registration of the intermediary.

c) Ignore the intermediary's involvement.

d) Impound and retain the proceeds of the intermediary.

e) Suspend the registration of the intermediary only in severe cases.
 
Q 3. What does macroeconomics help governments and central bankers formulate economic policies for?

a) Achieving short-run economic growth

b) Determining individual and firm behavior

c) Managing international trade dynamics

d) Achieving long-running economic growth with stability

e) Understanding drivers of income, savings, and investments
 
Q 4. How do owners typically act in the market in terms of buying and selling shares?

a) Without any regulations

b) Ignoring SEBI guidelines

c) Follow SEBI guidelines

d) Exclusively buying shares

e) Solely selling shares
 
Q 5. What is the exception mentioned in Regulation 18(6) regarding the prohibition on engaging in sales or marketing related to an investment banking merchant banking or brokerage services transaction?

a) Exception for client meetings

b) Exception for investor education activities

c) Exception for board meetings

d) Exceptions for sales pitches

e) Exception for research analyst views
 
Q 6. Why is industry analysis considered important in fundamental analysis?

a) To understand the company's historical performance

b) To predict economic cycles

c) To evaluate the impact of current economic conditions on the industry

d) To define industry classification systems

e) To assess the company's pricing power
 
Q 7. What is the minimum promoter holding required for voluntary delisting?

a) 50%

b) 75%

c) 90%

d) 100%

e) None of the above
 
Q 8. What is the monthly disclosure requirement for Research Analysts regarding investor complaints?

a) Quarterly disclosure on their websites

b) Annual disclosure to SEBI

c) Monthly disclosure on our websites/mobile applications

d) Bi-weekly disclosure to SCORES

e) No disclosure requirement
 
Q 9. What economic parameters are crucial for evaluating a country's attractiveness as an investment destination?

a) Stability in legislation and policy

b) GDP growth, inflation, and interest rates

c) Freedom of the press and ease of doing business

d) Minimal corruption and bureaucracy

e) Communal tensions and violence
 
Q 10. What are the significance of Enterprise Value/EBIT and EV/EBITDA ratios when comparing companies?

a) they only consider common equity

b) they focus on the historical cost of assets

c) Lower ratios indicate attractively valued companies

d) they are biased towards capital-intensive industries

e) they prioritize sales metrics
 
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