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Merchant Banking Certification Free Demo Test 5

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Merchant Banking Certification Free Demo Test 5

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1. True or False: A company can announce a Rights Issue even if some of its existing shares are only partially paid up.

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2. True or False: The merchant banker leading a public offer is commonly referred to as the Lead Manager.

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3. A person who feels harmed by any decision from SEBI can appeal to the Securities Appellate Tribunal (SAT) within a timeframe of _______ starting from the day they received a copy of the order.

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4.

If there’s a public offering of debt securities, the initial document called the Draft Prospectus must be open for public comments for a specific period of time, which is ________.

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5.

According to the Depositories Act, the main job of the Depository is to give a way for investors to keep their securities ____________ and transfer ownership of securities using a record in a book.

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6.

The floor price or the final price shall not be ___________ the face value of the specified securities.

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7.

True or False: In the case of a further public offer or a rights issue, the issuer must obtain in-principle approval from all recognized stock exchanges where the specified securities are listed.

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8. Yes or No: Can semi-government authorities issue government securities in India?

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9. True or False: The issuer must pay fees to SEBI along with the Offer Document based on the issue size. If the issue size is not accurately known or estimated, then any excess fees must be paid within 5 working days of filing the prospectus with the Registrar of Companies.

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10.

If a company planning an initial public offer intends to list its shares only on the NSE (National Stock Exchange), it is required to obtain in-principle approval specifically from the NSE.

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