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Question 1 reset
Financial systems consist of banks, non-banks and ______________.
Question 2 reset
Safekeeping and record keeping of securities is done by ___________.
Question 3 reset
Who amongst the following collates data on subscriptions regarding primary issuances?
Question 4 reset
As per Securities Contract Regulation Act (SCRA), the term 'Security' excludes which of the following?
Question 5 reset
Unhealthy practice in the Securities Markets includes which of the following?
Question 6 reset
Which of the following has the responsibility of administering the monetary policy in India?
Question 7 reset
Which authority was set up with the primary responsibility of promoting old age income security by establishing, developing and regulating pension funds?
Question 8 reset
"The bye-laws of the stock exchanges are same across exchanges and need to be approved by SEBI". State whether True or False.
Question 9 reset
Primarily, compliance involves _____________.
Question 10 reset
The SEBI (Intermediaries) Regulations, 2008, mandates the appointment of Compliance officer. State whether True or False?
Question 11 reset
Critical Reporting by Compliance officers include which of the following?
Question 12 reset
As per the SEBI (Certification of Associated Persons in Securities Markets) Regulations, 2007, a certificate is valid for a period of ______ from the date of grant of certificate or revalidation as the case may be.
Question 13 reset
All of the following are the functions of SEBI under the SEBI Act, 1992, EXCEPT:
Question 14 reset
Can SEBI prohibit any company from issuing prospectus, any offer document, or advertisement soliciting money from the public for the issue of securities? State Yes or No.
Question 15 reset
Penalty may be payable by an intermediary under the SEBI Act if it fails to:
Question 16 reset
Any intermediary can appeal to SAT, if it has been aggrieved by any order passed by SEBI. State whether True or False.
Question 17 reset
As per SCRR, the trading members of the stock exchanges are required to maintain the counterfoils or duplicates of contract notes issued to clients for how many years?
Question 18 reset
Members of the stock exchanges are required to preserve which of the following documents as per the SCRA?
Question 19 reset
SCRA provides for a provision that a stock broker of a recognised stock exchange can enter into a contract in securities with another stock broker after obtaining his consent. State whether True or False.
Question 20 reset
Manner in which the derivatives contracts and other contracts should be dealt in the securities market are prescribed in which of the following?
Question 21 reset
SEBI in the interest of the securities market may direct an intermediary to refund the money or securities collected from the investors with or without interest. State whether True or False.
Question 22 reset
If an applicant is not found to be a 'fit and proper person' can he get registration certificate under SEBI (Intermediaries) Regulations 2008?
Question 23 reset
All the employees, directors etc. of the intermediary need to strictly adhere to the Code of Conduct as prescribed in the SEBI Regulations. State Whether True or False.
Question 24 reset
Can a common order be passed in respect of a number of noticees where the subject matter in question is substantially the same or similar in nature?
Question 25 reset
When the trading window is open, trading by designated persons shall be subject to preclearance by the compliance officer, if the value of the proposed trades is above such thresholds as the board of directors may stipulate. State whether True or False.
Question 26 reset
The objective of the SEBI (Prohibition of Insider Trading) Regulations is to prohibit insider from ___________ on matters relating to insider trading.
Question 27 reset
Organisations are required to develop practices based on _______________ basis.
Question 28 reset
___________ means information that is accessible to the public on a non-discriminatory basis.
Question 29 reset
Fraud includes a willful misrepresentation of truth OR concealment of material fact, in order that another person may act, to his detriment. State whether True or False.
Question 30 reset
The SEBI Fraudulent and Unfair Trade Practices Regulations prohibit a person to, directly or indirectly _________ securities in a fraudulent manner.
Question 31 reset
Fraud includes an intermediary providing his clients with such information relating to a security as cannot be verified by the clients before their dealing in such security. State whether True or False.
Question 32 reset
In cases of fraud, SEBI can ___________ the registration of an intermediary.
Question 33 reset
Record of transactions to be maintained under the Prevention of Money Laundering Act includes Cash transactions of the value of more than ________.
Question 34 reset
Cash Transactions Reports (CTR) for each month should be submitted to FIU-IND by:
Question 35 reset
The Suspicious Transaction Report (STR) shall be submitted within ________days of arriving at a conclusion that any transaction, is of suspicious nature.
Question 36 reset
Written Anti-Money Laundering procedures need not include:
Question 37 reset
To effectively implement the KYC guidelines, SEBI notified the ________.
Question 38 reset
KRA shall have secure data transmission links with ______ that uploads the KYC documents on its system.
Question 39 reset
Once the initial KYC of the new clients are done, the intermediary shall immediately upload the KYC information within ________ on the system of the KRA and send the KYC.
Question 40 reset
KRA systems shall clearly indicate the status of clients falling under PAN exempt categories. State whether TRUE or FALSE.
Question 41 reset
A foreign portfolio investor shall invest only in which of the following securities?
Question 42 reset
In respect of investments in the debt securities, the foreign portfolio investors need not comply with any conditions or directions given by Reserve Bank of India, as long as it is meeting the restrictions and conditions as specified by SEBI in its SEBI (FPI) Regulations. State whether True or False.
Question 43 reset
The purchase of equity shares of each company by a single foreign portfolio investor including its investor group shall be below ___________ per cent of the total paid-up equity capital on a fully diluted basis of the company.
Question 44 reset
A Designated Depository Participant (DDP) may consider an FPI application, which has been previously rejected by another DDP. State True or False.
Question 45 reset
Is the Stock broker required to pre-intimate SEBI about shifting the location where it keeps its books of account? State Yes or No?
Question 46 reset
A stock Broker when dealing with a client must disclose whether it is acting as a Principal /agent. State whether True or False?
Question 47 reset
Category I and II Alternative Investment Funds shall invest what portion of the investable fund in one Investee Company?
Question 48 reset
The portfolio manager shall disclose a change in the identity of the Principal Officer to the SEBI and the clients within _______working days of effecting the change.
Question 49 reset
The SEBI (Merchant Banking) Regulations, 1992 provides for __________.
Question 50 reset
The applicant for merchant banker should have necessary infrastructure like _________.
Question 51 reset
The applicant for merchant banker should necessarily fulfil the capital adequacy requirement as specified in the SEBI (Merchant Bankers) Regulation. State whether True or False?
Question 52 reset
Every Banker to an Issue is required to pay a sum of Rs. ____________lakh as registration fees at the time of the grant of certificate by SEBI.
Question 53 reset
Post issue activities, generally co-ordinated by Lead Merchant Banker, include which of the following?
Question 54 reset
As per SEBI (ICDR) Regulation, only audited and consolidated financial statements need to be prepared in accordance to GAAP. State whether True or False.
Question 55 reset
As per SEBI (ICDR) Regulations, the minimum subscription to be received in an issue must be atleast _____ of the offer through offer document.
Question 56 reset
As per SEBI (ICDR) Regulation, an advertisement may be issued giving any impression that the issue has been fully subscribed or oversubscribed during the period the issue is open for subscription, with prior intimation to SEBI. State whether true or false?
Question 57 reset
Which Act provides for the establishment of depositories in securities?
Question 58 reset
The immunity can be granted by the Central Government on recommendation of SEBI, under Depositories Act only if the person has made full disclosure of the violation. State whether True or False?
Question 59 reset
An entity intending to act as a depository participant should enter into an agreement with _________in the prescribed format.
Question 60 reset
As per the Depositories Act, failure to furnish information or books or documents or reports by the depository or the depository participant of their functioning will carry a penalty which shall not be less than one lakh rupees but which may extend to one lakh rupees for each day during which such failure continues subject to a maximum of ______.
Question 61 reset
For an entity to function as a Depository Participant, it is mandatory for it to be registered with SEBI as a Depository Participant. State True or False?
Question 62 reset
Every Depository Participant should put in place an adequate mechanism for __________ the internal accounting controls.
Question 63 reset
As per the SEBI (Depositories and Participants) Regulations, the records and documents should be reconciled by the Depository Participant with each depository on a _______ basis.
Question 64 reset
As per the SEBI (Depositories and Participants) Regulations, a Depository Participant shall not increase charges / fees for the services rendered without proper advance notice to the Beneficial Owners. State whether True or False?
Question 65 reset
Who is primarily responsible for finalising the list of persons entitled to allotment of securities after an issuance process?
Question 66 reset
Who are known as Qualified RTA?
Question 67 reset
A RTA or any of its employees shall not render, directly or indirectly any investment advice about any security in the publicly accessible media, whether real-time or non-realtime, unless a disclosure of its ___________ in the said security has been made, while rendering such advice.
Question 68 reset
The Registrar and Share Transfer Agent shall maintain books of accounts and documents for how many years?
Question 69 reset
Who is primarily responsible for making buy/sell recommendations?
Question 70 reset
Research Analysts are required to maintain research reports/research recommendations for a minimum period of how many years?
Question 71 reset
Which type of records are to be maintained by the Research Analyst or Research Entity?
Question 72 reset
Which of the following statements are TRUE?
Question 73 reset
As per the SEBI (IA) Regulations, an 'Investment Adviser' shall not enter into transactions on its own account which is contrary to its advice given to clients for a period of _______from the day of such advice.
Question 74 reset
As per SEBI (Investment Advisers) Regulations, 2013, when can an investment advice be given to a client?
Question 75 reset
Risk-profiling of a client is based on which of the following criteria?
Question 76 reset
Which of the following statements are True?
Question 77 reset
As per SEBI (Debenture Trustees) Regulations, which of the following can apply registration as a Debenture Trustee?
Question 78 reset
As per the SEBI (Debenture Trustee) Regulations, the certificate of registration as Debenture Trustee is valid ____.
Question 79 reset
As per the SEBI (Debenture Trustees) Regulations, debenture trustee shall communicate to the debenture holders on _______________ basis regarding compliance, defaults, etc. and the action taken by it.
Question 80 reset
The debenture trustee shall comply with the award of Ombudsman passed under the Securities and Exchange Board of India (Ombudsman) Regulations, 2003. State whether True or False.
Question 81 reset
For SEBI to consider the application of registration as a credit rating agency of an entity promoted by a company, the promoter shall have a continuous networth of minimum __________ for the previous five year.
Question 82 reset
As per the SEBI (Credit Rating Agencies) Regulations, the certificate of registration as credit rating agency is valid ________.
Question 83 reset
What is the renewal fee to keep the registration in force as credit rating agency?
Question 84 reset
A credit rating agency encouraged its client-facing employees to assure a higher rating to the clients than the competitors. Is it a violation as per the SEBI code of conduct for credit rating agencies?
Question 85 reset
A person who carries on or proposed to carry on the business of providing custodial services is called _________________.
Question 86 reset
The certificate of registration as custodian is valid for a period of _____as per the SEBI (Custodian) Regulations.
Question 87 reset
The custodian should segregate his custodial activities from his other activities. State whether True or False?
Question 88 reset
As per the SEBI (Custodian) Regulations, every custodian shall maintain the records and documents for a minimum period of how many years?

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