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Securities Market Intermediaries – Quiz !

Securities Market Intermediaries

The market Regulator, SEBI regulates various intermediaries in the primary and secondary markets through its
Regulations for these intermediaries. SEBI has defined the role of each of the intermediary, the eligibility criteria
for granting registration, their functions and responsibilities and the code of conduct to which they are bound.

These Regulations also empower SEBI to inspect the functioning of these intermediaries and to collect fees from them and to impose penalties on erring entities. As per Section 11 of SEBI Act, it is the duty of SEBI to register and regulate the working of stock brokers, sub-brokers, share transfer agents, bankers to an issue, trustees of trust deeds, registrars to an issue, merchant bankers, underwriters, portfolio managers, investment advisers and such other intermediaries who may be associated with securities market in any manner.

Here is a quiz on Intermediaries.

Take This Challenge !

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