Total No. of Questions 10] [Total No. of Pages 02
LL.M. (Final) DEGREE EXAMINATION, MAY 2018
Second Year
CORPORATE AND SECURITIES LAW
Securities Law and Investor Protection
Time 3 Hours Maximum Marks 70
Answer any five questions
All questions carry equal marks
Q1) Define 'Security' as per Contract Regulation Act, 1956. Explain the Rules for
recognition of a Stock Exchange.
Q2) What is the objective of Depositories Act, 1996? Explain the procedure followed under this
Act in dealing with Securities.
Q3) "Insider-Trading is contrary to the protection of interest of Investors". Discuss the
Regulations issued by SEBI in 1992 in this regard.
Q4) Who is an Investor? Discuss the various measures that has to be undertaken by the
Companies in this regard.
Q5) Explain 'Securities Lending Scheme" and SEBI Regulation, 1992 in this regard to Stock
Brokers and Sub-brokers.
Q6) Who are underwriters? Discuss the SEBI Regulations in this aspect.
Q7) What is Venture Capital Fund? Who is eligible to operate a Venture Capital Fund?
Explain the procedure for Registration of Venture Capital Fund.
W-1502 4
Q8) Discuss the meaning, function of Collective Investment Schemes. Explain the SEBI
Regulations in this regard.
Q9) Define as per the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating
to Securities Markets) Regulation, 1996. List the dealings that are prohibited under this
Regulation.
Q10) Answer any TWO of the following:
SEBI (Custodian of Securities) Regulation, 1996.
Obligations of a Merchant Banker.
Role of NBFC's.
SEBI Guidelines for Preferential Allotment.