Skip to content

NISM Certifications · NISM-Series-XV: Research Analyst · Introduction to Research Analyst Profession

Under the SEBI (Research Analysts) Regulations, 2014, which of the following best describes the role of a research analyst?

A research analyst prepares or publishes research reports or analysis on securities and gives views on them. Executing orders is broking, managing client money discretionarily is portfolio management, and underwriting is merchant banking, so those options describe different intermediaries.

  1. AA person who prepares or publishes research reports or research analysis on securities and offers views on themCorrect
  2. BA person who executes client orders on a stock exchange for brokerage
  3. CA person who manages client funds on a discretionary basis
  4. DA person who underwrites public issues of securities

Explanation

A research analyst is essentially someone who produces or publishes research reports or analysis on securities, including views on them. Order execution is broking, discretionary fund management is portfolio management, and underwriting is a merchant banking activity.

Did you get it right without looking?

One question tells you little. A timed set on Introduction to Research Analyst Profession shows your real accuracy, how long you take and where you lose marks.

Practise Introduction to Research Analyst ProfessionFree diagnostic mock

More Introduction to Research Analyst Profession questions