Investor Protection Measures MCQs

1. Which body in India is primarily responsible for investor protection in securities markets?
(A) RBI
(B) SEBI
(C) IRDAI
(D) NABARD

2. Which of the following is an investor protection measure introduced by SEBI?
(A) Investor Protection Fund
(B) Corporate Governance Code
(C) Disclosure Requirements
(D) All of the above

3. Which fund is set up to compensate investors in case of broker default?
(A) Mutual Fund
(B) Investor Protection Fund
(C) Pension Fund
(D) Hedge Fund

4. Which of the following ensures fair disclosure by listed companies?
(A) Clause 49
(B) Insider Trading Regulation
(C) SEBI Listing Regulations
(D) All of the above

5. Which mechanism allows small investors to resolve disputes with listed companies?
(A) Lok Adalat
(B) Arbitration under stock exchange
(C) Company Tribunal
(D) Ombudsman Scheme

6. Which of these is a SEBI initiative for investor education?
(A) SCORES
(B) IEPF
(C) SMARTs
(D) All of the above

7. What does SCORES stand for?
(A) SEBI Complaint Redress System
(B) Securities Corporate Resolution System
(C) Stock Complaint Registry System
(D) None of the above

8. Which Act provides for Investor Education and Protection Fund (IEPF)?
(A) Companies Act, 1956
(B) Companies Act, 2013
(C) SEBI Act, 1992
(D) Depositories Act, 1996

9. The main purpose of IEPF is to:
(A) Collect taxes
(B) Refund unclaimed dividends and shares
(C) Promote exports
(D) Regulate brokers

10. Which of these measures protect investors from fraudulent IPOs?
(A) Due diligence by merchant bankers
(B) Disclosure of prospectus
(C) SEBI approval of offer documents
(D) All of the above

11. Which is an online complaint redressal system of SEBI?
(A) SMARTs
(B) SCORES
(C) CRISIL
(D) BSE Portal

12. Which of the following is a proactive investor protection measure?
(A) Financial literacy programs
(B) Stock exchange awareness sessions
(C) SEBI guidelines on advertisements
(D) All of the above

13. Investor grievances against brokers are handled by:
(A) RBI
(B) SEBI
(C) IRDAI
(D) Ministry of Finance

14. Which body regulates investor education in mutual funds?
(A) RBI
(B) SEBI
(C) AMFI
(D) PFRDA

15. Which is NOT an investor protection measure?
(A) Audit of companies
(B) Insider trading restrictions
(C) Market manipulation
(D) Investor education

16. Which of the following is a SEBI measure against insider trading?
(A) SEBI Insider Trading Regulations
(B) SEBI Takeover Code
(C) SEBI Listing Regulations
(D) FEMA

17. Which authority monitors unfair trade practices in securities?
(A) RBI
(B) SEBI
(C) MCA
(D) NABARD

18. Which measure helps retail investors diversify risk?
(A) Mutual funds
(B) Derivatives
(C) Buyback
(D) Arbitrage

19. The primary purpose of corporate governance norms is:
(A) Protect company profits
(B) Protect investor interests
(C) Increase exports
(D) Reduce taxes

20. Which authority administers the IEPF?
(A) SEBI
(B) MCA
(C) RBI
(D) IRDAI

21. Which of these provides arbitration for investor grievances?
(A) SEBI
(B) Stock exchanges
(C) RBI
(D) IRDAI

22. Investor education programs are mandated under:
(A) SEBI Regulations
(B) RBI Act
(C) Companies Act
(D) FEMA

23. Investor complaints in India are filed through:
(A) RBI Complaint Portal
(B) SCORES
(C) MCA 21
(D) NSDL Portal

24. Which of these is designed to reduce settlement risk for investors?
(A) Clearing Corporation
(B) Depositories
(C) T+1 Settlement
(D) All of the above

25. Investor protection against false company statements is ensured through:
(A) Mandatory disclosures
(B) Company audits
(C) SEBI surveillance
(D) All of the above

26. Which is a global initiative for investor protection?
(A) IOSCO standards
(B) IMF guidelines
(C) World Bank programs
(D) All of the above

27. Which type of fraud is SEBI especially alert against?
(A) Insider trading
(B) Price rigging
(C) Mis-selling of securities
(D) All of the above

28. Investors can get their unclaimed dividends through:
(A) SEBI Fund
(B) RBI Scheme
(C) IEPF Authority
(D) Stock Exchange

29. Which of the following is a regulatory measure for investor protection?
(A) Circuit breakers
(B) Margin requirements
(C) KYC compliance
(D) All of the above

30. Which is an investor protection measure against volatility?
(A) Circuit breakers
(B) Insider trading
(C) Short-selling
(D) Arbitrage

31. Which body protects insurance policyholders in India?
(A) SEBI
(B) IRDAI
(C) RBI
(D) PFRDA

32. Investor awareness campaigns are conducted by:
(A) SEBI
(B) Stock exchanges
(C) AMFI
(D) All of the above

33. Which fund protects investors of stock exchanges from defaults?
(A) Investor Protection Fund
(B) Mutual Fund
(C) Hedge Fund
(D) Provident Fund

34. Which of these is a SEBI initiative for investor grievance handling?
(A) SCORES
(B) NACH
(C) RTGS
(D) SWIFT

35. Which Indian law provides investor protection provisions?
(A) SEBI Act, 1992
(B) Companies Act, 2013
(C) Depositories Act, 1996
(D) All of the above

36. Which of these is a preventive measure for investor protection?
(A) Continuous disclosure norms
(B) Forensic audits
(C) Stock surveillance
(D) All of the above

37. Which measure protects investors from stock price manipulation?
(A) Surveillance by SEBI and stock exchanges
(B) RBI Monetary Policy
(C) IRDAI Regulations
(D) None of the above

38. Investor protection in mutual funds is ensured through:
(A) SEBI Regulations
(B) AMFI guidelines
(C) Trustee supervision
(D) All of the above

39. Which of the following promotes financial literacy for investors?
(A) SEBI
(B) RBI
(C) Stock Exchanges
(D) All of the above

40. Which type of disclosure protects investors before buying shares?
(A) Prospectus disclosure
(B) Dividend declaration
(C) Annual general meeting
(D) Buyback announcement

41. Who ensures investor protection during IPO allotments?
(A) RBI
(B) SEBI
(C) MCA
(D) IRDAI

42. Which authority can penalize companies for misleading investors?
(A) RBI
(B) SEBI
(C) NABARD
(D) IRDAI

43. Which of the following is the last resort for investor grievance redressal?
(A) SEBI
(B) Consumer Courts
(C) NCLT
(D) High Court

44. Which SEBI initiative promotes transparency in advertisements?
(A) Fair Advertisement Code
(B) Investor Protection Fund
(C) Listing Agreement
(D) SCORES

45. Which of these is an investor grievance redressal authority under Companies Act?
(A) NCLT
(B) SEBI
(C) RBI
(D) IRDAI

46. Which of these is a SEBI-mandated investor protection tool in stock markets?
(A) Margin requirements
(B) Circuit filters
(C) Trade halts
(D) All of the above

47. Investor protection against default of clearing members is ensured by:
(A) Investor Protection Fund
(B) Settlement Guarantee Fund
(C) RBI Scheme
(D) IEPF

48. Which authority maintains details of investor complaints in India?
(A) SEBI
(B) RBI
(C) MCA
(D) NSE

49. Which of the following ensures long-term investor protection?
(A) Corporate governance norms
(B) Timely disclosures
(C) Fair practices code
(D) All of the above

50. Which is the ultimate aim of investor protection measures?
(A) Ensure transparency and trust in markets
(B) Increase government revenue
(C) Protect company profits
(D) Prevent foreign investment