CCS Batch 4 - Quiz 1

The securities that are already issued are available for subsequent purchases and sales at:

________.

• Stock exchanges where they are listed

• Depositories where they are held

• Follow on public offer of the issuer

• Office of the registrar and transfer agent

The financial results of a company show that it has suffered losses due to declining market
share. The price of its equity share drops in the market. This is an example of the role of the
market as: _________.

• Provider of liquidity

• Information Signalling through prices

• Generator of productive investments

• Orderly channel for transfer of funds from investors to issuers

The group of market participants that collectively facilitate interaction between investors
and issuers is known as _______.

• Custodians

• Bankers

• Intermediaries

• Regulators

A mutual fund that collects money from investors and invests in the market is an example
of a/an _________.

• Regulator

• Issuer

• Intermediary

• Institutional Investor

The reserves of a company rightfully belong to ____________.

• Employees

• Promoters

• Institutional lenders

• Equity Shareholders

Which of the following is ranked last both in terms of profit sharing and receiving liquidation
proceeds?

• Lenders

• Equity Shareholders

• Government Creditors

• Employees

The net asset value of a mutual fund primarily reflects which one of the following?

• The expenses of the AMC

• The current market value of the fund’s portfolio

• The dividends and interest payable to investors

• The income of the fund’s constituents

An investor wanting to purchase the units of an ETF will transact with _______ and receive
the units in _______.

• Brokers; demat account

• Distributors; Account statement

• AMC, account statement

• Distributor, demat account

Units of a mutual fund can be purchased by investing a pre-determined amount periodically.
This facility is called ________.

• Systematic withdrawal plan

• Dividend reinvestment plan

• Systematic dividend plan

• Systematic Investment Plan

Market capitalization of a stock is impacted by .

• Changes in price of the stock

• Liquidity in the market

• Level of trading volumes

• Changes in market index