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CA Final SEBI Act and Listing Regulations — practice questions — page 2

Explore 82 free SEBI Act and Listing Regulations questions in CA Final Law. Open each question or exercise to read its content, reference answers and available explanation.

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SEBI Act and Listing Regulations questions and exercises with answers

Showing questions 31–60 of 82.

What does an order under section 11D require a violator to do?Read the answer and worked solution →Under section 12(1), a broker may deal only with what?Read the answer and worked solution →Section 12(1) proviso: grace period for unregistered intermediaries?Read the answer and worked solution →Section 12A(f) prohibits acquiring control of a listed company in breach of what?Read the answer and worked solution →Grants to SEBI under section 13 follow due appropriation by whom?Read the answer and worked solution →The form of SEBI's annual accounts is prescribed in consultation with whom?Read the answer and worked solution →Under section 15(4), audited accounts go yearly to whom?Read the answer and worked solution →Section 15A penalises failure to do what?Read the answer and worked solution →Section 15B penalises a registered intermediary who fails to do what?Read the answer and worked solution →Section 15HA lays down a penalty for which conduct?Read the answer and worked solution →Who sets up the Securities Appellate Tribunal under section 15K?Read the answer and worked solution →An adjudicating officer's order is appealable to which forum?Read the answer and worked solution →Time limit to file a SAT appeal under section 15T(3) is:Read the answer and worked solution →SAT may hear a late appeal under section 15T if the delay shows:Read the answer and worked solution →SAT should try to dispose of an appeal finally within what period?Read the answer and worked solution →Which law applies to appeals before SAT, as far as may be, per section 15W?Read the answer and worked solution →A SAT order can be appealed to the Supreme Court within how many days under section 15Z?Read the answer and worked solution →Under section 16(1), SEBI is bound by Central Government directions on what?Read the answer and worked solution →Under section 16(2), who finally decides a policy question?Read the answer and worked solution →SEBI must submit its yearly activity report to the Centre within how many days of year-end?Read the answer and worked solution →Maximum imprisonment under section 24(1) for contravening the SEBI Act is:Read the answer and worked solution →Failing to pay an adjudicating officer's penalty attracts jail of at least:Read the answer and worked solution →Who may compound an offence under section 24A?Read the answer and worked solution →Who qualifies as a Special Court judge under section 26A(3)?Read the answer and worked solution →Under section 27(1), an officer escapes liability by proving:Read the answer and worked solution →Section 27(2) also fixes liability on a director where the offence arises from:Read the answer and worked solution →Regulation 17(1)(a): minimum non-executive directors share?Read the answer and worked solution →With a non-executive chairperson, Regulation 17(1)(b) requires what independent share?Read the answer and worked solution →If the non-executive chairperson is a promoter, what independent share does Regulation 17 need?Read the answer and worked solution →A non-executive director past which age needs a special resolution under Regulation 17(1A)?Read the answer and worked solution →

Worked practice questions

What does an order under section 11D require a violator to do?

  1. Appoint auditors
  2. Pay dividends
  3. Sell all assets
  4. Cease and desist
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Correct answer: D. Cease and desist

Section 11D lets the Board order a violator to cease and desist from the violation.

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Under section 12(1), a broker may deal only with what?

  1. A court-issued licence
  2. A bank guarantee deed
  3. Certificate of registration
  4. A company charter deed
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Correct answer: C. Certificate of registration

Section 12(1) bars intermediaries from dealing except under a certificate of registration obtained from the Board.

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Section 12(1) proviso: grace period for unregistered intermediaries?

  1. One month
  2. Six months
  3. One year
  4. Three months
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Correct answer: D. Three months

The proviso lets them continue for three months from establishment, or until their registration application is disposed of.

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