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Question 1 reset
Safekeeping and record keeping of securities are done by Custodians.
Question 2 reset
Financial systems consist of banks, non-banks, and financial markets.
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
"The bye-laws of the stock exchanges are same across exchanges and need to be approved by SEBI".
Question 6 reset
Pension Fund Regulatory Development Authority (PFRDA) was set up with the primary responsibility of promoting old age income security by establishing, developing and regulating pension funds.
Question 7 reset
Which is the central bank in India with the responsibility of administering the monetary policy?
Question 8 reset
Unhealthy practice in the Securities Markets includes which of the following?
Question 9 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.
Question 10 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 11 reset
All the employees, directors etc of the intermediary need to strictly adhere to the Code of Conduct as prescribed in the SEBI Regulations
Question 12 reset
Can a common order be passed in respect of a number of notices where the subject matter in question is substantially the same or similar in nature?
Question 13 reset
Once the initial KYC of the new clients are done, the intermediary shall immediately upload the KYC information on the system of the KRA and send the KYC.
Question 14 reset
KRA systems shall clearly indicate the status of clients falling under PAN exempt categories.
Question 15 reset
To effectively implement the KYC guidelines, SEBI notified the ____
Question 16 reset

KRA shall have secure data transmission links with ____ that uploads the KYC documents on its system.

Question 17 reset
In case of buy-back, the company shall ensure that all the securities bought back are extinguished within ____ days of the last date of completion of buy-back.
Question 18 reset
The applicant for merchant banker should necessarily fulfil the capital adequacy requirement as specified in the SEBI (Merchant Bankers) Regulation.
Question 19 reset
The applicant for merchant banker should have necessary infrastructure like ____
Question 20 reset
The SEBI (Merchant Banking) Regulations, 1992 provide for ____

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