Practice Set - 2 | Practice Set | NISM Series XV: Research Analyst Certification Examination

Question 1

A company under GSM framework will likely experience:

Question 2

Is selective disclosure of information allowed?

Question 3

Is compliance with SEBI regulations optional?

Question 4

Is misuse of confidential information punishable under SEBI regulations?

Question 5

Complaint redressal mechanism ensures:

Question 6

A research analyst owns shares in a company being recommended. What is the correct course of action?

Question 7

Which of the following is most likely to trigger GSM inclusion?

Question 8

Is a research analyst allowed to use unpublished price sensitive information?

Question 9

Which authority is primarily responsible for regulating research analysts in India?

Question 10

Investor Charter introduced by SEBI primarily aims to:

Question 11

A research report lacks assumptions disclosure. This violates:

Question 12

Investor Charter helps investors by:

Question 13

Which entity ensures compliance with research analyst regulations?

Question 14

The Graded Surveillance Measure (GSM) framework is primarily designed to:

Question 15

Which of the following actions may be taken under ASM?

Question 16

Which of the following best describes the primary role of regulatory infrastructure in financial markets?

Question 17

A research analyst exaggerates projections to attract clients. This violates:

Question 18

Is front-running allowed for research analysts?

Question 19

Which of the following ensures transparency in analyst recommendations?

Question 20

Is ASM applied only to fundamentally strong companies?

Question 21

Which mechanism monitors unusual trading patterns?

Question 22

Which factor is critical in avoiding conflicts of interest?

Question 23

Which of the following actions is ethical for a research analyst?

Question 24

Which framework addresses cyber risks in financial markets?

Question 25

Which of the following is a key requirement in research reports?

Question 26

Which of the following is NOT typically included in the Code of Conduct for Research Analysts?

Question 27

Is disclosure of compensation arrangements required?

Question 28

Cybersecurity breaches primarily impact:

Question 29

Which of the following best represents cybersecurity framework objectives?

Question 30

Is maintaining independence mandatory for analysts?

Question 31

Is it mandatory for a research analyst to disclose any conflict of interest before making recommendations?

Question 32

Which regulatory mechanism is used by exchanges to monitor abnormal price movements?

Question 33

Is it mandatory for intermediaries to disclose complaint statistics under SEBI guidelines?

Question 34

Which of the following best defines ethical research practice?

Question 35

A research analyst shares client data without consent. Which principle is violated?

Question 36

Is maintaining records of research reports mandatory for research analysts?

Question 37

Which principle ensures analysts do not mislead investors?

Question 38

Is transparency a mandatory requirement in research reporting?

Question 39

Which of the following best defines conflict of interest in research analysis?

Question 40

A research analyst intentionally suppresses negative information about a company to maintain a favorable recommendation. This violates which principle?