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NISM Research Analyst

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Q1. What is the primary role of a research analyst?

A. To execute trades on behalf of clients

B. To provide investment tips on social media

C. To analyze securities and provide recommendations

D. To sell mutual fund schemes

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Q2. Which regulatory body governs research analysts in India?

A. RBI

B. SEBI

C. AMFI

D. NSE

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Q3. A research report must disclose:

A. Only the company name

B. Analyst’s PAN number

C. Conflict of interest, if any

D. Broker’s commission

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Q4. Which of the following is a quantitative technique of equity analysis?

A. Management quality evaluation

B. Price-to-Earnings (P/E) ratio

C. Industry lifecycle analysis

D. SWOT analysis

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Q5. Technical analysis is based on the assumption that:

A. Past prices reflect all future news

B. Fundamental data is not useful

C. Price movements follow trends and patterns

D. Only economic indicators move markets

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Q6. The formula for calculating Earnings Per Share (EPS) is:

A. Total Revenue / Total Assets

B. Net Profit / Number of Outstanding Shares

C. Gross Profit / Market Price

D. Dividend / Equity

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Q7. In valuation, the Discounted Cash Flow (DCF) model helps in:

A. Finding the book value

B. Estimating future stock prices

C. Calculating present value of future cash flows

D. Projecting past earnings

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Q8. Which of the following is a leading indicator in economic analysis?

A. Unemployment rate

B. GDP growth

C. Stock market index

D. Corporate tax collections

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Q9. What is a ‘Buy’ recommendation in equity research?

A. The stock should be avoided

B. Hold the stock for dividend

C. The stock is undervalued and may rise

D. Book profits immediately

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Q10. A research analyst must renew registration with SEBI every:

A. 5 years

B. 3 years

C. 1 year

D. Registration is permanent

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Q11. Research analysts are regulated in India by?

A. RBI

B. SEBI

C. AMFI

D. IRDAI

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Q12. The primary role of a research analyst is?

A. To provide investment recommendations

B. To trade shares

C. To regulate markets

D. To collect brokerage

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Q13. Fundamental analysis focuses on?

A. Company financials and economic factors

B. Share price charts

C. Intraday movements

D. Arbitrage opportunities

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Q14. Technical analysis focuses on?

A. Financial statements

B. Price and volume charts

C. Company management

D. Economic policy

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Q15. Top-down approach in research starts from?

A. Economy

B. Industry

C. Company

D. Stock price

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Q16. Bottom-up approach focuses on?

A. Company fundamentals

B. Economic indicators

C. Global GDP

D. Commodity cycles

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Q17. PE ratio is calculated as?

A. Price ÷ Earnings per share

B. Earnings ÷ Price

C. Profit ÷ Equity

D. Price ÷ Dividend

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Q18. High PE ratio generally indicates?

A. Undervalued stock

B. Overvalued stock

C. Always profitable stock

D. High dividend stock

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Q19. Dividend yield formula is?

A. Dividend ÷ Price × 100

B. Price ÷ Dividend

C. EPS ÷ Price

D. Profit ÷ Price

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Q20. Book value per share is?

A. Net worth ÷ Number of shares

B. Market cap ÷ Shares

C. EPS ÷ Dividend

D. Profit ÷ Price

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Q21. PEG ratio is?

A. PE ratio ÷ Growth rate

B. Price ÷ Growth

C. Growth ÷ PE

D. Profit ÷ Earnings

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Q22. Beta measures?

A. Stock volatility relative to market

B. Dividend payout

C. EPS growth

D. Liquidity

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Q23. Alpha indicates?

A. Excess return over benchmark

B. Risk-free rate

C. Beta squared

D. Losses

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Q24. DCF (Discounted Cash Flow) model is used for?

A. Valuation of companies

B. Dividend distribution

C. Stock splits

D. Trading volume

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Q25. Relative valuation compares?

A. One stock with peers

B. EPS only

C. GDP growth

D. Bond yields

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Q26. Technical indicator RSI stands for?

A. Relative Strength Index

B. Real Stock Indicator

C. Rate of Stock Increase

D. Risk Strength Indicator

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Q27. RSI is generally considered overbought when?

A. Above 70

B. Below 30

C. At 50

D. Always 100

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Q28. MACD stands for?

A. Moving Average Convergence Divergence

B. Market Average Company Data

C. Mutual Asset Calculation Data

D. Money Allocation Chart Data

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Q29. Support level in technical analysis means?

A. Price level where buying interest is strong

B. Resistance line

C. Always new highs

D. Breakout zone

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Q30. Resistance level indicates?

A. Price level where selling pressure is strong

B. Support zone

C. Profit guarantee

D. Always upward move

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Q31. Insider trading is?

A. Legal trading

B. Illegal trading using unpublished price-sensitive information

C. Hedging

D. Derivatives trading

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Q32. Research analysts must disclose?

A. Conflicts of interest

B. Brokerage margin

C. Bank balance

D. Past salaries

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Q33. Code of Conduct for Research Analysts is laid down by?

A. SEBI

B. RBI

C. MCA

D. Finance Ministry

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Q34. Market capitalization is calculated as?

A. Price × Number of shares

B. Price ÷ EPS

C. Dividend ÷ Shares

D. Assets ÷ Liabilities

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Q35. Large-cap companies are those ranked?

A. 1st to 100th by market cap

B. 101st to 250th

C. Below 250

D. None

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Q36. Mid-cap companies fall under ranks?

A. 101 to 250

B. 1 to 100

C. 250 and above

D. Small companies only

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Q37. Small-cap companies are those ranked?

A. 251 and above

B. 1 to 100

C. 101 to 250

D. Always startups

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Q38. EPS stands for?

A. Earnings Per Share

B. Equity Profit Share

C. Earnings Per Stock

D. Estimated Profit Share

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Q39. Forward PE ratio uses?

A. Expected future earnings

B. Past earnings

C. Dividend yield

D. Current NAV

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Q40. Price to Book ratio is?

A. Market Price ÷ Book Value

B. EPS ÷ Dividend

C. Book ÷ Market Cap

D. Profit ÷ Assets

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Q41. Debt-to-Equity ratio measures?

A. Financial leverage

B. Profitability

C. Liquidity

D. Valuation

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Q42. Current ratio is?

A. Current assets ÷ Current liabilities

B. Assets ÷ Equity

C. Cash ÷ Profit

D. Liabilities ÷ Assets

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Q43. Quick ratio excludes?

A. Inventory

B. Cash

C. Debtors

D. Current liabilities

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Q44. Top-down analysis starts with?

A. Economy

B. Company

C. Stock

D. Chart

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Q45. Bottom-up analysis starts with?

A. Company

B. Industry

C. Economy

D. Index

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Q46. Primary research means?

A. Collecting data directly

B. Reading published data

C. Analyzing ratios only

D. Technical charting

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Q47. Secondary research means?

A. Using published data

B. Conducting surveys

C. Interviewing management

D. Field visits

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Q48. Ethics in research analysis requires?

A. Integrity and independence

B. Insider tips

C. Guaranteed returns

D. Biased advice

49 / 49

Q49. Investment horizon for research depends on?

A. Investor objectives

B. Analyst opinion only

C. Market rumors

D. Daily speculation

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