SEBI

Q.

Explain the objectives and functions of the SEBI.

Q.

State the protective functions of Securities and Exchange Board of India.

Q.

' A bull is a speculator, who expects the fall in the prices of securities.' State true or false.

1. True

2. False

Q.

The National Stock Exchange of India was recognized as stock exchange in the year

(a) 1992

(b) 1993

(c) 1994

(d) 1995

Q.

SEBI is the watch dog of security market. Do you agree? Give three reasons in support of your answer.

Q.

_________is not a participant in money market.

1. Mutual Funds

2. SEBI

3. NBFCs

4. RBI

Q.

The Headquarters Of Securities And Exchange Board Of Indiasebi Are Located In Mumbai. Its Regional Office Is Not Located At_____.

Q.

State any five regulatory functions of Securities and Exchange Board of India (SEBI).

Q.

What does the abbreviation SEBI stands for?

Q.

Charu is a CA in Prakash Ltd. During the course of meeting with directors, she came to know that as against the previous years, this year the company is going to declare handsome dividend offer. It is observed that when such news becomes public then the share-market jumps up. Considering it, Charu purchased a large number of company's shares before this news reached the public. Name the authority which regulates such behaviour.

1. SEBI

2. NSE

3. BSE

4. None of the above

Q. Few years ago, there were many malpractices, unfair trade practices and frauds and scams were taking place in the Stock Exchange. All these affected investors' confidence, faith and trust in Stock Exchange. The government of India decided to set up a separate body for this purpose who was given control of stock exchange. Mention the objectives of the regulation.

1. To regulate and develop a code of conduct for intermediaries.
2. To regualte the activites of stock exchange.
3. All of the above
4. To protect the rights of investors and ensuring safety to their investment.

Q.

To promote orderly and healthy growth of the securities market and protection of investors, Securities and Exchange Board of India (SEBI) was set-up. With reference to this statement, explain the objectives of SEBI.

Q.

OTCEI was started on the lines of

(a) NASDAQ

(b) NYSE

(c) NASAQ

(d) NSE

Q.

State any three 'protective functions' of Securities and Exchange Board of India (SEBI).

Q.

Explain the objectives and functions of the SEBI.

Q.

What are the objectives of SEBI?

Q.

What are the objectives of the SEBI?

Q. 'SEBI is the watch dog of security market.' Comment.

Q. State any five regulatory functions of Securities and Exchange Board of India?

Q. The Securities and Exchange Board of India was established by the Government of India _____.

1. none of the above
2. as a cooperative society
3. as an interim administrative body
4. as a banking authority

Q. What is meant by SEBI? Briefly explain its objectives.

Q. ___________ is not a part of money market.

1. Mutual Fund
2. RBI
3. SEBI
4. NBFC

Q. State any three 'protective functions' of securities and exchange Board of India.

Q. Securities Exchange Board of India (SEBI) was established in __________.

1. $1956$
2. $2001$
3. $1988$
4. $1984$

Q.

Mr. Khan, Director of Terrian Automobiles, a newly established company is total confused whether to have paid-up capital of Rs 2 crores or Rs 25 crores. He also desires to get company's shares traded at any national level stock exchange. If you are the financial advisor, please suggest two stock exchanges Mr. Khan can consider for raising capital? What are the objectives of one of those stock exchanges?

Q. Match the following:

List-I	List-II
(i) National Stock Exchange	(a) Marks the beginning of the process of dematerialisation of shares of the participating companies.
(ii) National Securities Depository Limited	(b) Facilitation of equal access to investors across the country.
(iii) Securities and Exchange Board of India	(c) To foster the development of an active secondary market for Government Securities.
(iv) Securities Trading Corporation of India	(d) Abolition of Capital issues control and retaining the sale authority for new capital issues

1. $\left(i\right)-\left(b\right),\left(ii\right)-\left(a\right),\left(iii\right)-\left(d\right),\left(iv\right)-\left(c\right)$
2. $\left(i\right)-\left(a\right),\left(ii\right)-\left(b\right),\left(iii\right)-\left(c\right),\left(iv\right)-\left(d\right)$
3. $\left(i\right)-\left(d\right),\left(ii\right)-\left(c\right),\left(iii\right)-\left(b\right),\left(iv\right)-\left(a\right)$
4. $\left(i\right)-\left(a\right),\left(ii\right)-\left(b\right),\left(iii\right)-\left(d\right),\left(iv\right)-\left(c\right)$

Q.

Between 1991 and 2001 many malpractices and unfair trading practices like price rigging, an unofficial premium on new shares etc. were practiced. All these had eroded investors’ confidence and multiplied their grievances. To overcome these, Government of India decided to set-up a separate regulatory body for this purpose. Name the separate body set up by Government of India. Specify three objectives that support the case.

Q.

A company does window dresssing in its financial statements to attract investors and creditors. Is it correct in your opinion? Which values are affected here?

Q.

HLF Ltd, a real estate company which was formed in 1959. In about 56 years of its existence, the company has managed to carve out a niche for itself in this sector. Lately, this sector is witnessing a boom due to the fact that the Indian economy is on a rise. The incomes of the middle class are rising. More people can afford to buy homes for themselves due to the easy availability of loans and accompanying tax concessions. To expand its business in India and abroad the company is weighing various options to raise money through equity offerings in India. Whether to tap equity or debt market? Whether to raise money from the domestic market or international market or a combination of both? The company wants to raise the necessary finance from the money market or capital market. It is also planning to list itself in New York Stock Exchange to raise money through ADRs. To make its offerings attractive it is planning to offer a host of financial plans products to its stakeholders and investors and also expand its listing at NSE after complying with the regulations of SEBI.

(i) What benefits will the company derive from listing at NSE?

(ii) What are the regulations of SEBI that the company must comply with?

(iii) How does the SEBI exercise control over FLF Ltd. in the interest of the investors?

Q. 'To promote orderly and healthy growth of securities market and protection of investors, Securities and Exchange Board of India was set up.' With reference to this statement explain the objectives of Securities and Exchange Board of India.