“Applications Supported by Blocked Amount (ASBA)” means

When an issuer shall be eligible to make a right issue of specified securities?

The issuer shall ensure that transactions in securities by the promoters and promoter group during the period between the date of filling of the draft offer document or offer document, as the case may be, and date of closure of the issue shall be reported to the stock exchange(s) _____ of such transactions

An issuer, whose specified securities are listed on a SME Exchange and whose post-issue face value capital is ______may migrate its specified securities to the main board of the stock exchange if its shareholders approve such a migration by passing a special resolution through postal ballot to this effect and if such issuer fulfils the eligibility criteria for listing laid down by the Main Board

A listed issuer shall be eligible to issue bonus shares to its members if

The SEBI cannot take the following measures

The appeal before the SAT shall be filed _____ from the date on which a copy of the order is made by the SEBI

The SEBI may, in the interest of the investors or securities market, attach for a period not exceeding ______ , bank accounts or order property of any intermediary or any person associated with the securities market

Any person aggrieved by the order of the SEBI may prefer an appeal before the

The accounts of the SEBI shall be examined by

Who are not required to obtain Certificate of Registration from the SEBI

The SEBI may for the protection of investors

For regulating the business in stock exchange and securities market, the SEBI shall have the same powers as are vested in a

The Securities Appellate tribunal (SAT) shall

All sums realised by way of penalties under the SEBI Act shall be credited to the

Who may appear before the SAT

Name the authority which prohibits the use or employ any manipulative or deceptive device in connection with the issue, purchase or sale of any securities listed on a recognised stock exchange

The duty of SEBI towards the capital marks as prescribed in the SEBI ACT is

Any person aggrieved by any decision or order of the SAT may file an appeal to the Supreme Court within ____ from the date of communication of the decision or order of the SAT to him on any question of law arising out of such order.

If any person who is registered as a stock broker with SEBI fails to issue contract notes, he shall be liable to a penalty which shall not be less than one lakh rupees but which may extend to _________ for which the contract note was required to be issued by that broker.

Every search and seizure made by the SEBI during the course of investigation u/s 11(c) shall be carried out in accordance with the provisions of the _____ relating to search or seizures made under that code.

The amount lying in the SEBI General Fund can be utilized for

Where the SEBI has reasonable ground to believe that the transaction in the securities market are being dealt with in a manner detrimental to the investor, it may investigate into the matter and the investigating official may keep in its custody any book or document for __________ and thereafter he shall return it back to such person.

If any person, who is registered as an intermediary and is required under this Act or any rules or regulations made thereunder to enter into an agreement with his client, fails to enter into such agreement, he shall be liable to a penalty which shall not be less than one lakh rupees but which may extend to one lakh rupees for each day during which such failure continues subject to a maximum of ____

While exercising the powers of attachment, the SEBI can attach the property of any person involved in violation of any provision of the SEBI Act, what type of properties can be attached.

If any person indulges in fraudulent and unfair trade practices relating to securities, he shall be liable to a penalty which shall not be less than _________ but which may extend to 25 crore rupees or three times the amount of profits may out of such practices, whichever is higher.

Which among the following is termed as collective investment scheme

A listed company, after having been called upon by the SEBI to redress the grievance of investors, fails to redress such grievance within the specified time, such company shall be liable to a penalty which shall ______ but which may extend to one lakh rupees for each day during which such failure continues subject to a maximum of one crore rupees.

Whoever fails to comply with any provision of the SEBI Act, the rules or the regulations made or direction issued by the SEBI thereunder for which no separate penalty has been provided, shall be liable to a penalty which shall not be less than _____ but which may extend to one crore rupees.

If any person, who is required under the SEBI Act / Rule / Regulations to furnish any document, return or report to the Board, fails to furnish or furnishes false, incorrect or incomplete information, return, he shall be liable to a penalty which shall not be less than one lakh rupees but which may extend to _________ during which such failure continues subject to a maximum of one crore rupees.

Which among the following is a Collective Investment Scheme

If any insider who either on his own behalf or on behalf of any other person, deals in securities of a body corporate listed on any stock exchange on the basis of any unpublished price – sensitive information shall be liable to a penalty which shall

Spot delivery contract means a contract which provides for actual delivery of securities and the payment of a price

Recognised Stock Exchange means a stock exchange which is for the time being recognised by

Which offences under the SCRA cannot be compoundable

If in the opinion of the Central Government an emergency has arisen, it may direct a recognised stock exchange to suspend such of its business for such period

Any person aggrieved by the order of the recognised stock exchange may prefer an appeal before

The provisions of the SCRA shall not apply to

The rules of a recognised stock exchange shall be amended only after the approval of

The power of the SEBI shall not apply on

Derivative means a contract which derives its value from the prices, or index of prices, of

The recognised Stock Exchange shall be

The cognizance of any offence punishable under the SCRA can be taken on a complaint made by

Which is not “Security” among the following

If any issuer dematerialises securities more than the issued securities of a company, he shall be liable to a penalty which ______ but which may extend to twenty-five crore rupees

Every recognised stock exchange shall furnish _____ with a copy of the annual report, and such annual report shall contain such particulars as may be prescribed

Any person aggrieved by any decision or order of the SAT may file an appeal to the Supreme Court ______ from the date of communication of the decision or order of the SAT to him on any question of law arising out of such order

Without prejudice to any award of penalty by the adjudicating officer or the SEBI under the SCRA, if any person contravenes, for which no punishment is provided elsewhere in the SCRA, he shall be punishable with imprisonment for a term which may extend to _____ or with fine, which may extend to ____ or with both

Any stock Exchange desirous of being recognised, may make application to

When a contract in derivative shall be legal and valid