100+ Free CS Executive Capital Market & Securities Laws Practice Questions
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Key Facts: CS Executive Capital Market & Securities Laws Exam
100
Marks in Paper 5
ICSI Executive Programme Syllabus
3 hours
Exam Duration
ICSI Examination Rules
~20% MCQ
Objective Component
ICSI New Syllabus 2022
25%
SAST Open-Offer Trigger
SEBI SAST Regulations 2011
26%
Minimum Open-Offer Size
SEBI SAST Regulations 2011
40% / 50%
Passing Criteria
ICSI Passing Rules
ICSI CS Executive Paper 5 (Capital Market & Securities Laws) is a 3-hour, 100-mark offline pen-paper exam with roughly 20% objective/MCQ-type and 80% descriptive questions and no negative marking. It spans the basics of the capital market, the SEBI Act 1992, SCRA 1956, ICDR 2018, LODR 2015, SAST 2011, PIT 2015, buy-back, the Depositories Act 1996, mutual funds, the debt market, and SEBI intermediaries/investor protection. ICSI passing criteria require 40% in the paper and 50% aggregate in the module. This free bank offers 100 MCQ-style questions grounded in the current syllabus and SEBI regulations.
Sample CS Executive Capital Market & Securities Laws Practice Questions
Try these sample questions to test your CS Executive Capital Market & Securities Laws exam readiness. Each question includes a detailed explanation. Start the interactive quiz above for the full 100+ question experience with AI tutoring.
1Which institution is the statutory regulator of the securities market in India?
2The capital market is broadly divided into which two segments?
3Under the SEBI Act, 1992, which is NOT one of SEBI's three main functions?
4An open offer under the SEBI (SAST) Regulations, 2011 is triggered when an acquirer crosses which shareholding/voting-rights threshold in a target company?
5On triggering a mandatory open offer under SAST 2011, what minimum size of open offer must the acquirer make to public shareholders?
6Under the 'creeping acquisition' provision of SAST 2011, a person holding 25% or more but less than the maximum permissible non-public shareholding may acquire how much additional voting rights in a financial year without triggering an open offer?
7The SEBI (Prohibition of Insider Trading) Regulations, 2015 primarily prohibit trading on the basis of which type of information?
8Which regulations govern the initial public offering (IPO) and further public offering process by listed/to-be-listed companies in India?
9A document inviting the public to subscribe to the securities of a company, containing prescribed disclosures, is called a:
10Under the SCRA, 1956, the term 'securities' includes which of the following?
About the CS Executive Capital Market & Securities Laws Exam
Paper 5 of the ICSI CS Executive Programme (New Syllabus 2022) covers Capital Market and Securities Laws, testing the SEBI Act, SCRA, ICDR, LODR, SAST, PIT, buy-back, depositories, mutual funds, the debt market, and investor protection. The offline 100-mark paper mixes objective and descriptive questions with no negative marking.
Assessment
Question count not published by the exam provider
Time Limit
3 hours
Passing Score
40% in the paper and 50% aggregate in the module/group, per ICSI rules
Exam Fee
Module/group examination fee payable to ICSI per the current fee structure (Institute of Company Secretaries of India (ICSI))
CS Executive Capital Market & Securities Laws Exam Content Outline
Basics of Capital Market
Structure of the capital market, primary vs secondary market, money market vs capital market instruments, market participants, and the regulatory framework.
Securities and SEBI Act, 1992
SEBI's establishment, objectives, protective/regulatory/developmental functions, powers, penalties, Securities Appellate Tribunal, and disgorgement.
Primary Market and ICDR Regulations
Public issues, IPO/FPO, prospectus and red herring prospectus, book building, promoters' contribution, ASBA, QIP, rights and bonus issues.
Secondary Market and SCRA, 1956
Definition of securities, stock exchange recognition, listing, derivatives, settlement, circuit breakers, delisting, and clearing corporations.
LODR Regulations, 2015
Continuous listing obligations, corporate governance, audit committee, compliance officer, minimum public shareholding, periodic and material-event disclosures.
SAST (Takeovers) Regulations, 2011
Open-offer triggers, creeping acquisition, open-offer size and pricing, control, exemptions, disclosures, and the committee of independent directors.
PIT (Insider Trading) Regulations, 2015
UPSI, insider and connected person, trading window, structured digital database, legitimate purpose, disclosures, and penalties.
Buy-back of Securities
Buy-back methods, limits and sources under the Companies Act and SEBI Buy-Back Regulations, specified securities, and post-buy-back restrictions.
Mutual Funds and Collective Investment
Mutual fund trust structure, AMC, NAV, open/closed-ended schemes, ETFs, index funds, collective investment schemes, and alternative investment funds.
Depositories and Debt Market
Depositories Act 1996, NSDL/CDSL, dematerialisation, beneficial owner, fungibility, pledge, debentures, debenture trustees, and money-market instruments.
SEBI Intermediaries and Investor Protection
Merchant bankers, registrars, credit rating agencies, FPIs, PFUTP, SCORES grievance redressal, and prospectus disclosure-based investor protection.
How to Pass the CS Executive Capital Market & Securities Laws Exam
What You Need to Know
- Passing score: 40% in the paper and 50% aggregate in the module/group, per ICSI rules
- Assessment: Question count not published by the exam provider
- Time limit: 3 hours
- Exam fee: Module/group examination fee payable to ICSI per the current fee structure
Keys to Passing
- Work through all 100 available questions
- Review every answer and explanation
- Track weak areas and revisit them
- Use our AI tutor for tough concepts
CS Executive Capital Market & Securities Laws Study Tips from Top Performers
Frequently Asked Questions
What is ICSI CS Executive Paper 5?
Paper 5 of the ICSI CS Executive Programme (New Syllabus 2022) is Capital Market & Securities Laws. It is a 100-mark offline paper covering the SEBI Act, SCRA, ICDR, LODR, SAST, PIT, buy-back, depositories, mutual funds, and investor protection.
Is the CS Executive securities laws paper objective or descriptive?
Paper 5 is a mix: roughly 20% objective/MCQ-type questions and 80% descriptive questions, carrying 100 marks in total. There is no negative marking, and the exam is conducted offline in pen-and-paper mode over 3 hours.
What is the passing criteria for CS Executive Paper 5?
Under ICSI rules, a candidate must secure at least 40% marks in the paper and 50% marks in aggregate across the module/group to pass, subject to exemption and registration rules.
Which SEBI regulations are most important for this paper?
The ICDR Regulations 2018, LODR Regulations 2015, SAST Regulations 2011, and PIT Regulations 2015 are core, along with the SEBI Act 1992, SCRA 1956, Depositories Act 1996, Buy-Back Regulations, and mutual fund norms.
What is the open-offer trigger under SEBI SAST 2011?
Acquiring shares or voting rights of 25% or more (with persons acting in concert) triggers a mandatory open offer under SAST 2011, and the open offer must be for at least 26% of the target's shares.
Are these practice questions free?
Yes. This bank of 100 MCQ-style practice questions for CS Executive Paper 5 is completely free, with explanations for each correct and incorrect option to support exam preparation.