File Details:

Questions:

1. What is an investor's investment in assets referred to?
2. What would ensure high protection for investments?
3. How is the term 'security' defined?
4. What are the categories of securities?
5. What is the entity called that creates securities for sale?
6. To which types of companies do the Companies (Share Capital and Debentures) Rules, 2014 apply?
7. When did the Companies (Share Capital and Debentures) Rules, 2014 come into effect?
8. What exception exists for issuing certificates of shares?
9. What does SEBI stand for?
10. Where is variation in terms of contract or objects in prospectus mentioned?
11. What is the Trevor vs. Whitworth case related to?
12. What duration of notice is required for alteration of share capital to the registrar?
13. What is specified under Section 44 of the Companies Act, 2013 regarding the nature of shares?
14. What is the S. Viswanathan v. East India Distilleries and Sugar Factories Ltd. case related to?
15. What is stated about share scripts?
16. What is true about preference shares?
17. Which statement is correct about shares?
18. What is the Lemon v. Austin Friars Investment Trust Ltd. case related to?
19. How is 'debenture' defined?
20. Where is the nature of debenture mentioned?
21. Which section gives holders of securities power to nominate a person?
22. What is correct about charges?
23. Where is 'registration of charges' mentioned in the Companies Act, 2013?
24. Where is SEBI's head office located?
25. What does Chapter IV of the SEBI Act, 1992 cover?
26. Which chapter specifies SEBI's establishment in its Act?
27. Who can remove SEBI members under Section 5 of SEBI Act?
28. What penalty exists for failing to furnish documents to the SEBI Board?
29. Under which section is exemption from tax on wealth and income mentioned?
30. What is covered under Section 20 of the SEBI Act, 1992?
31. Which section relates to the establishment of Securities Appellate Tribunals?
32. Where is granting recognition to stock exchanges mentioned?
33. What is specified about members acting as principals in stock exchanges?
34. Where is the right to legal representation under SEBI Act mentioned?
35. Under SEBI Act, 1992, who appoints presiding officers?
36. What section describes resignation or removal of Securities Appellate Tribunal members?
37. When did SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 come into force?
38. Under which section of Securities Laws (Amendment) Act, 2014 are Special Courts established?
39. What is called when shares or securities are offered to new investors to join the issuer?
40. What initiates listing and trading of shares or convertible securities?
41. What are examples of private placement of shares?
42. What is stated about 'offer document' in public and rights issue?
43. What is the minimum number of prospective allottees in a public issue?
44. Who determines securities' pricing in an issue?
45. How many days before opening should the price band be published?
46. What is 'book building'?
47. What does 'retail individual investor' refer to?
48. What is the maximum share issuance percentage under Green Shoe Option?
49. How many custodians are allowed if an FPI has separate accounts in NSDL and DSL?
50. Are Category I FPIs exempt from providing Beneficial Owners details?
51. Where is 'foreign portfolio investor' mentioned under SEBI Regulations, 2019?
52. What does KYC stand for?
53. Whose liability is data security of an investor?
54. Where is the application form for Grant of Certificate of Registration for FPI provided?
55. Where is provision related to rights of depositories and beneficial owners mentioned?
56. What is Chapter II of Depositories Act, 1996 related to?
57. Which section of Depositories Act, 1996 provides for Supreme Court appeals?
58. When must audited networth certificates be submitted by depositories?
59. What is stated about current account transactions under FEMA?
60. When did the Foreign Exchange Management Act, 1999 come into force?
61. To where does the Foreign Exchange Management Act, 1999 apply?
62. How is 'person resident in India' defined under FEMA?
63. Under which section is 'authorised person' mentioned in FEMA?
64. Where are provisions on contravention and penalties mentioned?
65. What qualifications are needed for appointment as Special Director under FEMA?
66. How long does a person have to appeal the Appellate Tribunal decision to High Court?
67. Which section mentions Directorate of Enforcement under FEMA?
68. What is ULIP?
69. Who bears investment risk during settlement in ULIP?
70. Is changing payment mode allowed after settlement in ULIP?
71. Can ULIP maturity date be postponed using settlement option?
72. Where is 'approved investments for life business' provided under IRDAI?
73. Who can frame Public Provident Fund Scheme?
74. What does liability on subscriber credits exclude under PPF Scheme?
75. Where can National Savings Certificate (NSC) be purchased?
76. Who can NSC be issued to?
77. What are examples of National Saving Scheme?
78. What is Sukanya Samridhi Scheme related to?
79. Under Public Provident Fund Scheme, how many accounts can be opened for a minor?
80. What are the permitted capital instruments for foreign investment?
81. Is RBI approval required for rights shares renunciation?
82. Within how many days should capital instruments be issued from receipt of consideration?
83. Does share transfer from NRI or OCI to another non-resident need RBI approval?
84. What regulations apply to stock exchange investments in India?
85. What is stated about bonds?
86. What are fixed rate bonds?
87. Is there a limit to bond investment?
88. What does NDSL stand for?
89. What does CDSL stand for?
90. What does PAN Card character 'P' signify?