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Previous year Question Paper of SEBI GRADE A PHASE I

Previous year Question Paper of SEBI GRADE A PHASE I

SEBI GRADE A  2018 Awareness about Security Market Questions asked in Phase I 

1. How many members are there in SEBI Board except Chairman as per SEBI ACT 1992:

Answer: 8 members.

  1. Which of the following act is not covered under Security law:

Answer: Indian contract act 1872.

  1. Which of the following is not true about SAT:

Answer: SAT can not review its decision.

  1. Under which act, Securities shall be held in dematerialized form:

Answer: The Depositories Act, 1996

  1. Foreign currency convertible bonds are what type of instruments:

Answer: Hybrid Instruments

  1. ADRs are listed in which of the following exchange:

Answer: U.S Exchange

  1. SEBI has power to investigate intermediary under which section of SEBI Act 1992:

Answer: Section 11C

  1. Minimum application value for Anchor investor:

Answer: 10 crs

  1. Which of the following is nor true about Preference Share:

Answer: Investor is not creditor

  1. If recognized stock exchange refuses to list security of an entity then entity can made an appeal to

Answer: SAT

  1. Which of the following is not a common issuer of securities:

Answer: SEBI

  1. Segregation of ownership and management from the trading rights of the members of a recognized stock exchange:

Answer: Demutualisation

  1. Who is the chairman of 15th Finance commission:

Answer: N.K. Singh

  1. Under which article , Finance commission is appointed:

Answer: Article 280

  1. Which of the following is not true about Bonds:

Answer: As bond price falls , yield decreases

  1. As per SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011; The shares of the target company will be deemed to be frequently traded if the traded turnover on any stock exchange during the …… months preceding the calendar month, in which the public announcement (PA) is made, is at least ….. Of the total number of shares of the target company.

Answer: 12 and 10%

  1. For Foreign currency exchangeable bonds (FCEB) which one of the following is not true:

(i) a bond expressed in foreign currency,

(ii) the principal and the interest in respect of which is payable in Indian currency

(iii) issued by an issuing company, being an Indian company

(iv) subscribed by a person resident outside India

(v) Exchangeable into equity shares of another company, being offered company which is an Indian company.

Answer: the principal and the interest is payable in Indian currency

  1. Maximum maturity of commercial paper:

Answer: 1 year

  1. Central Government borrow money by offering security in the form of:

Answer: T-bills

  1. Function of depository:

Answer: It provides facility to deposit securities in electronic form

  1. The total return on bond if it is held until maturity:

Answer: YTM

  1. Call risk related question:

Answer: Bonds

  1. Listing agreement between:

Answer: Listed entity and stock exchange

  1. Parliament act for securities trading and for regulating the stock exchanges:

Answer: Securities contracts regulation act 1956

  1. Minimum maturity of Foreign currency convertible bonds (FCCB):

Answer: 5 Years

  1. Under SCRA 1956, Contract means :

Answer:  sale and purchase of securities

  1. Sweat equity share means:

Answer: Equity share as issued by a company to its director or employees at discount or for consideration other than cash

  1. As per ICDR regulations, an individual retail investor can make application of maximum value of :

Answer: Rs. 2 lakhs

  1. Which of the following is not an Unpublished Price Sensitive Information:

Answer: Recruitment of officers

  1. Government Securities are auctioned by:

Answer: RBI

  1. From which day SEBI ICDR regulations will come into effect:

Answer: Sixtieth day from the date of its publication in the Official Gazette

  1. Services sector contribution to GDP:

Answer: More than 50 %

  1. Security is defined in section 2 of which act:

Answer: SCRA 1956

  1. Which of the following is not a revenue receipt:

Answer: Money received through small saving scheme

  1. Which of the following is not a money market instrument:

Answer: Share of government in PSEs

  1. Guidelines for issuance of Foreign currency exchangeable bonds are notified by :

Answer: Ministry of Finance

  1. Certificate of Deposits are issued by:

Answer: Commercial banks

  1. Committee on insider trading:

Answer: SODHI committee



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