As per the Securities Contracts Regulation Act, 1956, the definition of securities includes
which of the following?

Certificates of deposit are_________.

SEBI Act is applicable to which of the following?

Matters related to prospectus of the company are specified in _______.

Listing Agreement is the Agreement required to be entered into _________________ to
admission of securities to dealings in Stock Exchange.

SEBI (Substantial Acquisition of Shares and Takeovers) Regulations applies to __________.

SEBI (ICDR) Regulations are applicable to:

Connected persons as per the SEBI Insider Trading Regulations means any connected person
during the ___________ prior to an act of insider trading.

SEBI (Issue and Listing of Securitized Debt Instruments and Security Receipts) Regulations,
2008 applies to ________.

Compliance Officer's job involves _________.

For listing of new shares on the Stock Exchanges, the Compliance Officer is required to
compile information regarding_________.

Who are internal stakeholders of the Company?

Company's policies have a direct or indirect impact on _____________.

Compliance Officer is required to notify ________ once the trading plan is approved.

Compliance Officer is required to monitor the email address of the ___________________
division of the listed entity for registering complaints by investors.

In case of takeovers, the target company shall furnish to the acquirer within ________
working days from the identified date, a list of shareholders as per the register of members
of the target company.

Regulation 32 of the SEBI Listing Regulations i.e. the requirement for monitoring the deviation
in utilisation of proceeds is an example of ___________.

Capital once raised from whom enhances the credibility of the Company?

Before deciding on the method of raising money, it is necessary to ensure that a balance is
maintained between:

In the book built process, the gap between floor price and the cap cannot be more than ____
percent.

According to the ICDR Regulations, eligibility to list on innovators growth platform is
conditional on a certain percentage of the pre-issue capital being held by a regulated entity
having a pooled investment fund with minimum assets under management of ___________
USD.

SR equity shares is same as shares with Differential Voting Rights. State True or False?

Once the management takes the decision to raise an IPO, the ______________ plays an
important role in facilitating an appropriate decision.

Eligibility conditions to be fulfilled by an issuer for making an initial public offer on the Main
Board is specified in _______________.

No issuer can make a public issue of specified securities if __________.

Nomination and Remuneration Committee must comprise of at least __________ directors.

Since the Insider Trading Regulations would be applicable to the company as soon it is listed,
it is therefore advisable to put a model Insider Trading Code in place before the company files
the draft Offer Document with SEBI. State TRUE or FALSE.

Legitimate Purpose Policy made by the issuer company must be approved by _________.

As per SEBI Listing Regulations, the criteria for making payments to ______________ is
required to be disclosed on the website of the company, if it is not disclosed in the annual
report.

Marketing of the issue can be assigned to one of the lead managers if there are more than
one managers to the Issue. State True or False?

Any promoters’ holding in excess of minimum contribution shall be locked-in for a period of
___________ from the date of allotment in the initial public offer.

The prospectus registered with the Registrar of Companies MUST contain a price band. State
TRUE or FALSE.

In respect of all public communications, issue advertisements and publicity materials, the
issuer is required to obtain approval from the ______________.

The allotment of specified securities to each retail individual investor shall not be less than
the minimum bid lot in an IPO. State True or False?

The issue price in case of a rights issue is required to be decided before determining which of
the following?

The subscription for additional shares in a rights issue by a promoter is exempt from the SEBI
(Substantial Acquisition of Shares and Takeovers) Regulations, 2011. State TRUE or FALSE.

_____________ issue means shares issued to existing shareholders of the company free of
cost.

Board Meeting resolution is adequate for making a preferential issue of shares and no
resolution of shareholders is required. State TRUE or FALSE.

Minimum of _______ % of the eligible securities is required to be allotted to mutual funds in
case of Qualified Institutions Placement.

According to ICDR Regulations, a Body Corporate with net worth of _________ is eligible to
be considered as accredited investor in Innovators Growth Platform.

Depository Receipts issued in the which of the following countries are called Global Depository Receipts?

The quarterly return for the amount raised through ADR/GDR mechanism is required to be
submitted till ____________.

FEMA applies for joint ventures between two Indian Companies. State True or False

SEBI Buyback Regulations specify that the buyback can be made through ________.

For the purposes of SEBI Regulations, small shareholders means a shareholder who holds
shares whose market value on the basis of closing price as on record date is not more than
________.

The listed entity shall submit to the stock exchange(s) a statement showing holding of
securities and shareholding pattern separately for each class of securities, in the format
specified by the Board from time to time on a quarterly basis within ______ days from the
end of the Quarter.

SEBI (Prohibition of Insider Trading) Regulations requires that every listed company, market
intermediary and other persons formulating a code of conduct shall identify and designate a
__________ to administer the code of conduct and other requirements under these
regulations.

Channels for disseminating information shall provide for equal, ____________ and
____________ to relevant information by investors.

A transaction involving a corporation and one of its transaction is an example of __________.

SEBI Act prescribes the penalty for failure to furnish any document or report to SEBI which
shall not be less than Rs.________.