SEBI Officer GRADE ‘A’ Recruitment 2018-19

Jobs & Careers
513

SECURITY MARKET QUESTIONS


  

1. First country to ban insider trading - 

2. Minimum net tangible assets for Research analyst registered as individual/partnership - Rs.1 lakhs

3. Interest warrant above Rs.1500 is payable by speed post

4. Rights issue in ICDR 2018 is in Chapter III of the regulations

5. Which of the following is Not true about Fccb – 1) They need not adhere to ECB regulations 2) They are unsecured ???

6. Lodr came effect - 1st December 2015

7. Sat members - One presiding officer and 2 members as notified by Central Govt

8. NSIM- SEBI

9. Centre for financial education - RBI, SEBI, IRDA, PFRDA

10. Pvt company how many members - 2 persons

11. Funds and securities of foreign investors are kept in custody of - Custodian

12. Category 1 RTA minimum networth - Rs.50 lakhs

13. What is the limit of acquisition above which open offer in required - 25% 

14. Chairman of SEBI - Ajay tyagi

15. When can one start trading after submission of trading plan - 6 months

16. Committee for insider trading - Sodhi committee

17. Maximum acquisition from open market under Buyback - 15%

18. Maximum buyback - 25% of reserves and capital

19. Director and KMP have to disclose their shareholding within how many days of appointment - 7 days

20. Category 1 Merchant bank underwriting committement - 5% of 25 lakhs

21. SE/Depository/Insurance company can hold how much % in a Stock exchange - 15%

22. Chairman of Stakeholder relationship committee must be a - SEBI act came into effect on - 30th january 1992

23. Rights issue is open for a period of - 15-30 days

24. NSCCL is the Clearing corporation of - NSE

25. Which of the following is a Depository - CDSL

26. Registration of FPI is through whom (who gives on behalf of SEBI) - DDP

27. What % of shareholding in a SE should be with public - 51%

28. Chairman of SE/Depsoitory should be ___ and elected from ____ - PID elected by shareholders and approved by SEBI

29. If listing of securities is refused, appeal to - SAT

30. Penalty where no other penalty has been provided - 1 lakhs to 1 crore

31. What is safety net arrangement - Buyback of shares if market price becomes less than issue price

32. What shall be the issue price for a share of face value Rs.10 - Rs.500

33. What is the allocation to non-institutional investors in book building method in an IPO - 15%

34. A stock broker is registered with - SEBI

35. SCORES is a platform operated by - SEBI

36. An investor can submit a complaint in SCORES which is unresolved for - within 3 years from cause of complaint 

37. Definition of contract note


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This is from whatever i could recollect. There will be mistakes, please correct them. Please add other questions which i've left out.... I thought the paper was easy but my guesses haven't helped me :-(

514

Hi friends, in today exam, under English section, I forgot to mention the subquestion number for ESSAY. Is there any chance that the examiner would consider that..?

515

Companies act say one person company is also private companY. So what’s the ans? 1

516

Anyone from legal stream? Are you clearing sectional cutoff in FM?

517

any1 ..who has confidence of cleaelring sectional of IT 😂😂

518

Please anyone send the memory based questions asked in Securities paper

519

In ESI&FM, question in which they asked which is not the theory of needs,all the options were the needs of Maslow theory, right ?

520

When will the results be declared?

521

Does anyone remember in which esi question were the options ibrd, ifc, wb, imf and adb?

522

Why is there so much of silence? No one is talking about exam and its level. Strange!!

523

Any SC candidates here

524

Want to know level of difficulty in IT stream?

525

How is the paper on finance in IT stream

526

Can anybody remember the derivative based questions asked in SM part?

527

For generalist position, guys can we come out of our attempts in ASM and ESI & FM section ? Mine is 41 in former and 36 in latter.

528

ASM questions I can remember:


1. Stock broker deal - power of attorney

2. Trade deal slip - contract note

3 (NEW). Buyback odd lot from open market - 15%

4. SAST regulation - 25%

5. Director disclosure after appointment - w/i 7 days

6. PIT committee - Sodhi

7 Rights issue - Chapter 3

8. Bookbuilding NII - 15% reservation

9. SAT - 1 PO and 2 members appointed by CG

10. NISM - SEBI

11. SEBI act - 30 Jan/4 April (?)

12. LODR date - 2 Sept/1 Dec (?)

13. Stakeholder committee chairman - NE director

14. PID director - max 7 companies

15. Stock exchange shareholding - 15%

16. Buyback - upto 25%

17. ESPS - 1 year lock-in

18. SEBI chairman - Ajay Tyagi

19. Research assistant - 1 lakh wet worth

20. Sending by speedpost - above Rs. 1500

21. 3-in-one account: Saving+Trading+demat

22. Currency and interest rate derivate: Swap

23 (NEW). Not a derivative: Stock swap arrangement/forward rate arrangment (?)

24. Which one is wrong for FCCB: ECB/not secured (?)

25. When no specific penalty mentioned: 1 lakh to 100 lakh.

26. Private company: 1+/2+ members (?)

27. FPI registers with - DDP

28. Holder (?) or security and money - MB/Trustee/Custodian (?)

29. SCORES - 3 years from complaint to company/resultion (?)

30. SCORES - by SEBI

31. RTA cat I registration fee - 50 lakh

32. 1st country to bring law on PIT - US

33. Merchant banker commitment: 5/10% or 50 lakh whichever is higher/lower (?)

34. Aggrieved company against stock exchange: appeals to SAT

35. Face value Rs. 10 - maximum issue price Rs 500

36 (NEW). S in SWOT - Strength

37. Shelf prospectus validity - 1 year

38. Stock broker registration - with SEBI

39. %age SH of public in Stock exchange - 51%

40. Which is depository - CDSL

41. What is NSCCL - Clearing corp of NSE

42. Trading plan for insider starts after - 6 months

43 (NEW). Chairperson of SE - PID, appointed by SEBI


FM questions (from ASM)

1. NCFE - SEBI, RBI, PFRDA, IRDAI

2. EPS - Earning per share

3. Derivative question

4. Safety net arrangement - Promise to buy back


Please remind of rest 7* questions if you remember.

529

One all the questions they asked, I liked this one the most.

Who is the Chairman of SEBI?

Atleast you should know your ultimate boss 😄 

530

What was the answer of book value question?

531

Now that you have a rough idea of the 100 questions of phase 2 .. how much are you scoring out of 200 ? 

  • 116-130
  • 160+
  • 131-145
  • 100-115
  • Poll check
  • 146-160
  • Below 100

0 voters

532

aurelius dumbledore: 1. TBill maturing 26 Jan 2. FD limits bank duration 3. Black shoales formula 4. 6 year maturity of bank portfolio 5. Bullish view sell buy positive negetive beta 6. Beta of a stock meaning 7. 1% stock down. Negative beta MF 8. PSL target & agriculture PSL 9. 35000 call put 10. Call put 2nd question 10k-11k value? 11. Money market MF 12. Gold ETF 13. Safety net scheme 14. 80C 80E housing 15. 80C 80E education 16. 110,000 profit 17. 300,000 profit 18. 144540 MF exit load 19. CIBIL 20. In the money options Spot 7100 21. CRR SLR limits 3,20,_,40 22. CRR SLR Acts RBI,BRA 23. Daily CRR 90 24. What can be put in CRR? Cash Current Account with RBI 25. Term insurances 26. Remittance limits. 27. Foreign currency NRO/RFCD 28. SHG max members 29. Masala Bond risk 30. Spot/Tom 31. Preferential Share 32. FII RBI 33. YTM current yield 34. FD/GDP and inflation rate INR vs USD 35. CMB by gov what happens ? M3/WMA/.. 36. Pension fund taxation exempt 37. Types of NBFC. Ponzi/AFC/.. 38. ECB risk 39. Non tax receipt 40. 71.10/71.16 41. 2000 Cr capital/1000 cr capital 42. Which risk in CP 91? Shift 2 questions