Unit study guide · NISM Series II-B
SEBI- Role and Regulations
6 questions in this unit
What this unit covers
- Which Indian regulator supervises the securities market?
- Which activity is within SEBI's investor-protection role?
- Which legislation established SEBI's statutory powers?
- Which behaviour is the main concern of insider-trading rules?
- Which action would normally support investor grievance redressal?
- As of 2026, which SEBI regulations form the updated RTA regulatory framework?
Key ideas
From the practice bank · 1
Which Indian regulator supervises the securities market?
SEBI is India's statutory securities market regulator.
Hint Recall the regulator formed under the securities regulator law.
II-B-025From the practice bank · 2
Which activity is within SEBI's investor-protection role?
SEBI registers and supervises intermediaries to support orderly markets and investor protection.
Hint Think about oversight rather than profit promises.
II-B-026From the practice bank · 3
Which legislation established SEBI's statutory powers?
The SEBI Act, 1992 supplies the regulator's statutory mandate.
Hint Identify the law named after the regulator.
II-B-027From the practice bank · 4
Which behaviour is the main concern of insider-trading rules?
Insider-trading controls target misuse of unpublished price-sensitive information.
Hint Ask whether material price-sensitive information is public.
II-B-028From the practice bank · 5
Which action would normally support investor grievance redressal?
Documented complaints, follow-up and escalation support fair grievance resolution.
Hint Think about traceable handling and escalation.
II-B-029From the practice bank · 6
As of 2026, which SEBI regulations form the updated RTA regulatory framework?
SEBI notified Registrars to an Issue and Share Transfer Agents Regulations, 2025 to update the dedicated RTA framework.
Hint Check whether a newer RTA regulation has been notified.
II-B-030