Regulatory Bodies (SEBI, SEC, etc.) MCQs

by
50 Score: 0 Attempted: 0/50 Subscribe
1. The Securities and Exchange Board of India (SEBI) was established in which year?





2. SEBI was given statutory powers through which Act?





3. The main objective of SEBI is to:





4. The U.S. Securities and Exchange Commission (SEC) was formed in which year?





5. Which regulatory body monitors insider trading in India?





6. SEC in the USA was established after which event?





7. Which of the following is NOT a function of SEBI?





8. The head office of SEBI is located in:





9. Who appoints the Chairman of SEBI?





10. SEC is headquartered in:





11. Which of the following bodies regulates mutual funds in India?





12. Which body regulates stock exchanges in India?





13. The U.S. SEC was created under which Act?





14. Which of the following is NOT under SEBI’s regulation?





15. Which Indian regulatory body governs banking activities?





16. SEBI regulates which of the following intermediaries?





17. Which of the following is a self-regulatory organization (SRO)?





18. Which of these is the U.K.’s financial regulatory body?





19. The International Organization of Securities Commissions (IOSCO) is headquartered in:





20. Which body ensures fair disclosure in U.S. markets?





21. In India, depositories are regulated by:





22. Which of the following is the U.S. self-regulatory authority for brokers?





23. Which regulatory body governs commodity markets in India?





24. SEC primarily protects:





25. Which Act empowers SEBI to regulate securities contracts?





26. Who was the first Chairman of SEBI?





27. Which U.S. body regulates futures and options in commodities?





28. Which of the following is NOT regulated by SEC in the USA?





29. SEBI regulates takeovers under:





30. Which global body monitors systemic risk in the financial system?





31. Which of the following powers does SEBI NOT have?





32. Which regulatory body registers and regulates credit rating agencies in India?





33. Which of the following agencies regulates pension funds in India?





34. Who is known as the watchdog of the Indian securities market?





35. Which of these regulates corporate governance norms for listed companies?





36. SEC enforces rules under which U.S. Act?





37. Which body regulates collective investment schemes in India?





38. The SEBI Board consists of:





39. Which U.S. Act gave more power to SEC after 2008 crisis?





40. Who regulates the insurance sector in India?





41. Which of the following regulates clearing corporations in India?





42. SEC requires listed companies in the USA to file annual reports on:





43. Who regulates credit rating agencies in the USA?





44. Which of these bodies regulates debt markets in India?





45. Which Indian law regulates depositories?





46. Which international body sets accounting standards?





47. The SEBI Code for corporate governance is based on:





48. SEC requires companies to disclose insider trades on:





49. In India, takeover and mergers are regulated primarily by:





50. Which of the following is the primary role of SEC?





Leave a Comment

All copyrights Reserved by MCQsAnswers.com - Powered By T4Tutorials