SEBI Grade A 2018 – Phase 1 – Securities Market Questions

SEBI Grade A 2018 Phase 1 Examination was held on 17th November 2018. This article with provide you the SEBI grade A 2018 question paper & SEBI grade A previous year paper. This will help you with the SEBI grade A paper analysis for SEBI Grade A 2019 paper.

The examination had 5 Sections of 40 Questions each:

  1. Quantitative Aptitude
  2. Reasoning
  3. General Awareness
  4. English
  5. Securities Market

I am providing here with the total 40 Questions of Securities Market Section.

Q.1) Prospectus allotment of securities rules 2014 relates to-

Answer- Private Placement

 

Q.2) SEBI act 1992 sec4(1) how many members excluding chairman?

Answer- 8 members

 

Q.3) Foreign currency exchangeable bond – Which one is FALSE?

Answer- Exchangeable into equity shares (FALSE)

 

Q.4) Authority to investigate intermediary under which section of SEBI act 1992-

Answer- 11C

 

Q.5) Which of the following are incorrect with regard to Preference Shares-

The investor is creditor(false)

 

Q.6) Anchor investor minimum application of the value of-

Answer- 10 crores

 

Q.7) Recognised stock exchange refuses to list a security, appeal to be made to-

Answer- SAT

 

Q.8) Which of the following is not a common issuer of securities-

Answer- SEBI (banks, mutual funds, CG)

 

Q.9) What is an FCCB (Foreign Currency Convertible Bonds)-

Answer- Hybrid Instruments

 

Q.10) Identify the false statement of the SAT:

Answer- SAT cannot review its own decision (FALSE)

 

Q.11) Which act is not covered under Securities laws-

Answer- Indian Contract Act 1872

 

Q.12) Keeping Securities in D-mat Form is covered under-

Answer- SEBI Act 1992

 

Q.13) Segregation of ownership and Management is-

Answer- Demutualization

 

Q.14) w.r.t Bonds, identify the incorrect statement-

Answer- Bonds price falls, yield goes down. (FALSE)

 

Q.15) Finance Commission-

Answer- A 280

 

Q.16) Frequently traded shares have a turnover of-

Answer- 12Months;  10%

 

Q.17) ADR’s Listed in-

Answer- America(US)

 

Q.18) Commercial paper-

Answer- Debt Instrument (Money market)

 

Q.19) Mode of borrowing by CG-

Answer- T-bills

 

Q.20) Depository-

Answer- Provides facility for conversion of securities in electronic mode.

 

Q.21) Commercial Paper- Duration-

Answer- 1 year

 

Q.22) Listing Agreement between-

Answer- listed entity and Stock exchange

 

Q.23) Parliament Act for securities trading and running of Stock Exchange-

Answer- SEBI Act 1992

 

Q.24) Minimum Maturity of FCCB-

Answer- 3 years

 

Q.25) Meaning of Contract under SCRA Act-

Answer- Purchase and sale of securities

 

Q.26) Sweat equity Shares-

Answer- Equity shares to directors and employees at a discount for intellectual property rights.

 

Q.27) Retail Individual Investor has a maximum limit of-

Answer- 2 lakhs

 

Q.28) Unpublished Price Sensitive Information-

Answer- Recruitment of Officers (FALSE)

 

Q.29) Government Securities managed by-

Answer- RBI

 

Q.30) SEBI ICDR regulations will come into force when-

Answer- 16th day from 9th Nov (publication in official gazette)

 

 Q.31) Service Sector contribution to GDP-

Answer- 53% (More than 50%)

 

Q.32) 15th Finance commission Chairman-

Answer- N.K Singh

 

Q.33) Securities derive meaning from Sec 2 of –

Answer- SCRA 1956

 

Q.34) The total return anticipated on a bond if the bond is held until it matures is called as

Answer- Yield to Maturity

 

Q.35) Not a revenue Receipt-

Answer- Money received through the Small saving scheme in a post office (LOAN)

 

Q.36) Which of the following is not a money market security

Answer- shares of government in public sector enterprises

 

Q.37) Call risk?

Answer- Risk faced by a holder that issuer would call the bond before maturity.

 

Q.38) Foreign Currency Exchangeable bond notified by-

Answer- RBI

 

Q.39) Commercial Deposits Issued by-

Answer- Commercial banks

 

Q.40) Committee on Insider Trading-

Answer- Sodhi Committee

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