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Securities Intermediaries Compliance (Non Fund) Free Demo Test 10

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Securities Intermediaries Compliance (Non Fund) Free Demo Test 10

1 / 10

1. Who amongst the following collates data on subscriptions regarding primary issuances?

2 / 10

2. The certificate granted under SEBI (CAPSM) Regulations, 2007, remains valid for:

3 / 10

3. In AIG’s investments, the uninvested portion of investable funds may be utilized in:

4 / 10

4. Every banker to an issue must maintain refund records for investors for a minimum period of _________.

5 / 10

5. The punishment for the offense of money-laundering includes:

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6. SEBI forwards the list of ______ to the intermediaries regulated by SEBI.

7 / 10

7. A limited liability partnership firm acting as a research entity must appoint a __________ responsible for monitoring compliance with SEBI (Research Analysts) Regulations, 2014.

8 / 10

8. The minimum net worth required for an applicant for a credit rating agency is:

9 / 10

9. If a buyer expects the underlying price to rise, the appropriate choice would be to buy a:

10 / 10

10. Under SEBI Act’s Regulation 28, a stockbroker is liable for prosecution as per Regulation 24 for:

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