SEBI Functions

Q.

State the objectives of the NSE.

Q.

The major decision areas in supply chain management are:

Q.

What are derivative plans and why they are formulated?

Q.

Which of the following is not an on-the-job method of training?

1. Induction training

2. Internship training

3. Apprenticeship training

4. Vestibule training

Q.

Which of the following is the regulatory function of SEBI?

1. Regulation of stockbrokers, portfolio exchanges, underwriters and merchant bankers in stock exchanges and other securities market.

2. Registration of collective investment schemes and mutual funds.

3. Regulation of takeover bids by companies.

4. All of the above

Q.

'SEBI is the watchdog of securites market'. State true or false.

1. True

2. False

Q. is the watchdog of capital market.

1. SEBI
2. NSE
3. BSE

Q.

What is the difference between total cost concept and total system concept in logistics management?

Q.

ABC Ltd. issued a prospectus for the subscription of its shares for Rs.500 crores in 2008. The issue was oversubscribed by 20times. The company issued shares to all the applicants on a pro-rata basis. Later SEBI inspected the prospectus and found some misleading statement about the management of the company in it. SEBI imposed a penalty of Rs.5 crores and banned its three executive directors for dealing in the securities market for three years. Identity the function.

1. Protective function

2. Development function

3. Regulatory function

4. None of the above

Q.

The directors of a company want to modernise its plant and machinery by making a public issue of shares. They wish to approach stock exchange, while the finance manager prefers to approach a consultant for a new public issue of shares. Advise the directors whether to approach stock exchange or a consultant for new public issue of shares and why? Also advise about the different methods which the company may adopt for the new public issue of shares.

Q.

Metlapp Networks and Technologies Ltd. is a leader in technology innovation in the United States, creating products and solutions for connecting the world. It has a large research and development team which invented the first smart watch, named as W-7. The watch besides showing the time, also monitors few health parameters like heart beat, blood pressure etc. While in search of markets abroad, the company found that in India, the reform process was underway with the aim of accelerating the pace of economic growth. The company decided to take advantage of simplifies export procedure and removal of quantitative as well as tariff restrictions in India.

It set up its office in Jamnagar with a view to capture the Indian market. In a short span of time, the company emerged as a market leader. Success of the company attracted many other players to enter the market. Competition resulted in reduction in prices, there by benefiting the customers.

(a) In the above paragraph, two major concepts related to government policy have been discussed. Identify and explain these concepts.

(b) Also, explain briefly any three impacts of these concepts on India business and industry.

Q.

What are the objectives NSE?

Q.

Which of the following is a development function of SEBI?

1. 2 & 3

2. 1, 2 & 3

3. 1 & 2

4. 1 & 3

Q.

What does the abbreviation 'SEBI' stand for? Explain the term SENSEX. How many shares are included in the SENSEX?

Q.

Under which function of SEBI is training imparted to the intermediaries?

1. Regulatory functions

2. Development functions

3. Protective functions

4. All of the above

Q.

Which of the following is not applicable to responsibility accounting?

(a) Investment centre

(b) Accounting centre

(c) Profit centre

(d) Cost centre

Q.

Why does GAAP require the accrual basis?

Q.

What Is the Classification of Stocks Based on Market Capitalisation?

Q.

SEBI creates an environment to facilitate efficient mobilization and allocation of resources. State true or false.

1. True

2. False

Q. Distinguish between the following.

Private Limited company and Public limited company

Q. Explain the objectives and functions of SEBI.

Q.

Volvo Ltd. is proposing to issue new shares through an online system of stock exchange and has entered into an agreement with a stock exchange. What would this type of stock exchange instrument be?

Q. The objectives of the two advisory Committees formed by SEBI are _________.

1. To advise SEBI on issues related to the development of primary market in India.
2. To advise SEBI on disclosure requirements for companies.
3. To advice the board in matters relating to the development and regulation of the secondary market in the country.
4. All of the above

Q. NSE ensures equal access for investors all over the country with the help of appropriate communication network.

1. True
2. False

Q. is a principle of management.

1. Strategic Planning
2. Setting Objectives
3. Management Resources
4. All of the above

Q. Enumerate the objectives of SEBI.

Q. SUBJECT TESTING-I (Direct Questions)
Distinguish Between:
(1) Broker and Jobber

Q. The process by which demand for the securities proposed to be issued by a body corporate is elicited and built up and the price for such securities is assessed for the determination of the quantum of such securities is called ________.

1. Book building
2. None of these
3. Offer for sale
4. Private placement

Q. Explain any three developmental functions of SEBI.

Q. What is the OTCEI?