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QUESTION BANK
PART – A (4 Marks)
1. Dematerialization of Securities.
2. Shares & Debentures
3. Predatory Pricing.
4. Discriminatory Pricing
5. Dominant Position.
6. Beneficial Owner.
7. Collector
8. Confiscation
9. Securities
10. Recognized Stock Exchange
11. Depository Participants
12. Mergers.
13. Capital Account Transactions.
14. Authorized Person.
15. Registration of Stock Brokers.
PART – B (6 Marks)
1. Explain the procedure, powers & function of the securities appellate. Tribunal under
SEBI Act, 1992.
2. Explain the provisions relating to regulation of Combinations under the Competition Act,
2002.
3. Enumerate the various penalties which can be imposed under the SEBI, Act, 1992 for
various failures, defaults, non disclosure and other offences.
4. Discuss the powers of the CCI, to enquire into agreements and dominant position of
enterprise, under theCompetition Act, 2002.
5. Discuss the establishment, composition & term of office of the chairperson & other
members of Competition Commission under the Competition Act, 2002.
6. There is difference in seizure & confiscation of commodities under the Act. How can the
sale proceeds of confiscated commodities be utilized? What is the procedure for
disposal of confiscated goods?
7. Define ‘Securities’. Discuss the evolution and relevance of Stock Exchanges.
8. Discuss the powers of SEBI and Appeal to Securities appellate Tribunal and Supreme
Court under The Depositories Act, 1996.
9. Explain the composition and procedure of hearing appeals by the Appellate Tribunals
under SEBI Act, 1992.
10. Define the term ‘Depositories’, ‘Beneficial Owner’ and ‘Depository Participants’. What a
short note on Certificate of Commencement of business under the Depositories Act.