SEBI - Investor Certification Examination
SEBI - Investor Certification Examination
Q 1. What is SEBI's main purpose?
Regulating banks
Protecting investors and regulating the securities market
Managing insurance companies
Controlling inflation
Q 2. When did SEBI start its operations?
1985
1988
1990
1995
Q 3. Which of the following cities is NOT a regional office location for SEBI?
Mumbai
Delhi
Kolkata
Bangalore
Q 4. Who needs to be registered with SEBI to function in the securities market?
Insurance companies
Stockbrokers
Non-banking financial companies
Cooperative banks
Q 5. What are mutual funds required to disclose as per SEBI regulations?
The salaries of fund managers
Details of the investment scheme and fees charged
The names of all investors
Annual profits of SEBI
Q 6. What is the full form of SEBI?
Securities and Exchange Board of India
Securities and Exchange Board of India
Securities and Equities Board of India
Securities and Exchange Board of India
Q 7. Which of the following is a function of SEBI?
Issuing licenses to insurance companies
Regulating the mutual fund industry
Managing the pension system
Overseeing the operations of public-sector banks
Q 8. Where is the headquarters of SEBI located?
Delhi
Kolkata
Mumbai
Chennai
Q 9. Which authority regulates unit-linked insurance plans?
SEBI
IRDAI
RBI
MCA
Q 10. Who should you contact first if you have a grievance with a company in the securities market?
SEBI directly
The concerned company, exchange, or broker
Local police station
Ministry of Finance
Q 11. What type of intermediaries does SEBI regulate?
Bank tellers
Stock exchanges, brokers, and depositories
Car Insurance Agents
Real estate agents
Q 12. What services does SEBI provide through its toll-free helpline?
Legal advice
Investment tips
Assistance in the securities market
Banking services
Q 13. What is required for an investor to complain to the SCORES platform?
A physical visit to SEBI's office
Registration on the SCORES platform
Contact a local broker first
Filing a case in court
Q 14. What does SEBI not regulate?
Stock exchanges
Mutual funds
Insurance companies
Portfolio Managers
Q 15. How can investors check the status of their complaints on SCORES?
By sending a letter to SEBI
By logging into their account on the SCORES platform
By calling their stockbroker
By visiting a SEBI regional office