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Question 1 reset
A stock Broker when dealing with a client must disclose whether it is acting as a Principal /agent.
Question 2 reset
Category I and II Alternative Investment Funds shall invest what portion of the corpus in one Investee Company?
Question 3 reset
The SEBI (Merchant Banking) Regulations, 1992 provide for
Question 4 reset
The applicant for merchant banker should have necessary infrastructure like
Question 5 reset
The applicant for merchant banker should necessarily fulfil the capital adequacy requirement as specified in the SEBI (Merchant Bankers) Regulation.
Question 6 reset
In case of buy-back, the company shall ensure that all the securities bought back are extinguished within ________ days of the last date of completion of buy-back.
Question 7 reset
Post issue activities, generally co-ordinated by Lead Merchant Banker, include which of the following?
Question 8 reset
As per SEBI (ICDR) Regulation, only audited and consolidated financial statements need to be prepared in accordance to GAAP.
Question 9 reset
As per SEBI (ICDR) Regulations, the minimum subscription to be received in an issue must be atleast ______ of the offer through offer document.
Question 10 reset
As per SEBI (ICDR) Regulation, an advertisement may be issued giving any impression that the issue has been fully subscribed or oversubscribed during the period the issue is open for subscription, with prior intimation to SEBI.

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