DISTANCE EDUCATION
B.B.A. B.B.A. (Lateral) DEGREE EXAMINATION,
DECEMBER 2017.
CAPITAL MARKET LAWS
(2005 Onwards)
Time Three hours Maximum 100 marks
SECTION A — x 8 40 marks)
Answer any FIVE questions.
1. What are the functions of a good financial system?
2. Explain the major objectives of capital market.
3. Who is Merchant Banker?
4. What is an Investment Adviser?
5. Who is Merchant Brokers and explain their duties.
6. Explain the objectives of OCTEI.
7. Explain the benefits of OTC exchange.
8. Explain the features of NSE.
Sub. Code
31
DE-2454
2
Sp 1
SECTION B — × 15 60 marks)
Answer any FOUR questions.
9. What are the needs for Capital market?
10. Explain the market intermediaries that are involved in
the Securities Market.
11. Differentiate the roles of Stock Brokers and sub-brokers.
12. Enumerate the functions of Banker to an issue in the
securities market.
13. Discuss the penalty provisions relating to the violation of
regulations by the merchant brokers.
14. Why OTCEI has been de-recognized by SEBI?
15. Explain the objectives of trading on NSE.