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Exam Review

Key Facts: SPK Dar Kapsamlı Mevzuat Exam

25

Official examination multiple-choice questions

SPL Sınav Kılavuzu

45 min

Examination duration

SPL e-LS

50 / 60

Passing thresholds (min 50 module, 60 average)

SPK Tebliğ VII-128.7

TRY 748

2026 Examination sitting fee

SPL Fee Schedule

Independent English-language MCQ study adaptation for SPL Module 1001 Dar Kapsamlı Mevzuat. The official assessment has 25 five-option questions in 45 minutes covering Capital Markets Law No. 6362, public disclosure rules, corporate governance, mutual funds, and TSPB ethics. Passing requires at least 50/100 on the module and a composite average of 60/100 across licence subjects.

Sample SPK Dar Kapsamlı Mevzuat Practice Questions

Try these sample questions to review concepts for the SPK Dar Kapsamlı Mevzuat exam. Each question includes a detailed explanation. Start the interactive quiz above for the full 24+ question experience with AI tutoring.

1Which institution regulates and supervises Türkiye's capital markets under Sermaye Piyasası Kanunu No. 6362?
A.Merkezi Kayıt Kuruluşu A.Ş. (MKK)
B.Sermaye Piyasası Kurulu (SPK)
C.İstanbul Takas ve Saklama Bankası A.Ş. (Takasbank)
D.Sermaye Piyasası Lisanslama Sicil ve Eğitim Kuruluşu A.Ş. (SPL)
Explanation: SPK is the capital markets regulator and supervisor. MKK, Takasbank, and SPL perform infrastructure or professional licensing functions within that framework.
2An investor subscribes for newly issued shares and later sells them to another investor. Which transaction directly supplies new financing to the issuer?
A.Both transactions
B.Only the later resale
C.Neither transaction
D.Only the subscription for newly issued shares
Explanation: The subscription is a primary-market transaction supplying funds to the issuer. The secondary sale pays the existing investor for an already issued security.
3An advertisement says SPK's approval of an izahname guarantees the investment's return. How should the claim be assessed?
A.Approval is neither an investment recommendation nor a return guarantee
B.The claim is accurate if an audit report is included
C.The guarantee lasts throughout prospectus validity
D.The guarantee applies only to primary-market purchasers
Explanation: Prospectus approval concerns the applicable disclosure requirements. It does not guarantee all issuer information or insure investment returns.
4A prospectus contains a misleading issuer forecast and a separately prepared audit report. Which statement best describes responsibility for the misleading prospectus information?
A.SPK becomes primarily liable on approval
B.The auditor alone is primarily liable for every statement
C.The issuer is primarily liable; other participants' responsibilities depend on the applicable rules and their contribution
D.Purchasers bear all disclosure risk because share prices fluctuate
Explanation: The issuer is primarily responsible for damage from false, misleading, or incomplete prospectus information. Separate rules address other participants and specialist reports; an audit does not transfer all issuer responsibility to the auditor.
5A director uses unpublished, price-sensitive acquisition information to buy shares and obtain a benefit. Which concept is most directly engaged?
A.Bilgi suistimali (insider dealing)
B.A routine disclosure delay
C.A pre-emptive subscription right
D.Permitted trading solely because the execution price was public
Explanation: Insider dealing concerns obtaining a benefit by trading using relevant non-public information. A public execution price does not make the use of inside information permissible.
6Orders are entered to create a false impression of demand rather than express genuine trading interest. Which classification is most relevant?
A.Ordinary diversification
B.A prospectus supplement
C.Transaction-based market manipulation
D.A dividend reinvestment
Explanation: Transaction-based manipulation addresses misleading impressions created through trades or orders. Genuine investment and liquidity provision must be distinguished from deceptive order activity.
7For subsequent offerings using an existing izahname, what is the general period from first publication during which approved supplements and amendments can keep it usable?
A.Six months
B.Twelve months
C.Twenty-four months
D.Until the issuer changes its board
Explanation: The general period is twelve months from first publication. Required updates and approvals still apply, so stale disclosure cannot simply be reused.
8A company plans a non-public issue solely to qualified investors. It claims that avoiding a full prospectus also avoids issuance-document requirements. Which correction is best?
A.Qualified-investor sales always require a retail prospectus
B.An audit opinion replaces every issuance document
C.No document can be required without a public offer
D.A non-public issue can use an ihraç belgesi; the prospectus distinction does not remove applicable issuance requirements
Explanation: The framework distinguishes the public-offering prospectus from the issuance document for non-public issues. A qualified-investor issue is not automatically outside the regulatory issuance process.
9Which combination supports delaying disclosure of inside information under Özel Durumlar Tebliği II-15.1?
A.Management preference and a scheduled results meeting
B.Auditor consent alone
C.Legitimate interests, no misleading of investors, and maintained confidentiality
D.Confidentiality even if the delay misleads investors
Explanation: The conditions for delay are cumulative. Protecting a legitimate interest does not excuse misleading investors or losing confidentiality.
10An issuer validly delayed an acquisition announcement, but detailed information has leaked and confidentiality cannot be maintained. What should it do?
A.Wait for completion
B.Make the required public disclosure promptly
C.Notify selected analysts instead
D.Continue relying on the initial delay decision
Explanation: A valid initial delay does not continue after its conditions fail. Public disclosure is required when confidentiality can no longer be maintained.

About the SPK Dar Kapsamlı Mevzuat Exam

Dar Kapsamlı Sermaye Piyasası Mevzuatı ve Meslek Kuralları (Module 1001) is the foundational regulatory subject examination required for multiple Turkish capital market licences, including Düzey 1, Gayrimenkul Değerleme, and Konut Değerleme. OpenExamPrep provides an independent English-language MCQ study adaptation, not an official translation or a simulation of the Turkish exam's language environment.

Exam sponsor: Sermaye Piyasası Lisanslama Sicil ve Eğitim Kuruluşu A.Ş. (SPL). The requirements and fees below concern the certification or admission exam, separate from our free practice resources.

Assessment

Single 45-minute computer-based electronic licensing examination (e-LS) session of 25 multiple-choice questions administered at SPL test centers.

Time Limit

45 minutes

Passing Score

Minimum 50 out of 100 on the module, and an arithmetic average of at least 60 across all modules required for the candidate's target licence

Exam / Certification Fees

TRY 748 per subject sitting; eligible university students pay TRY 548, or TRY 456 under SPL cooperation protocols.

Exam sponsor website

Fees, eligibility, and exam policies can change. Confirm them with the exam sponsor before applying or paying.

Official sources

  • SPL Sınav Konuları ve Alt Konu Başlıkları · Source checked 2026-10-21Official curriculum specifications for Module 1001 Dar Kapsamlı Sermaye Piyasası Mevzuatı ve Meslek Kuralları.
  • SPL 2026 Elektronik Lisanslama Sınavları Kılavuzu · Source checked 2026-10-21Official e-LS guide: 25 items, 45 minutes, TRY 748 standard fee, and scoring rules.
  • SPL Dar Kapsamlı Mevzuat Çalışma Notu — 1001 · Source checked 2026-10-21Official study-note index links this file for legislation, disclosure, governance, fund rules, and TSPB ethics. The internal cover says 31 December 2025 despite the index's 30 June 2026 update label; use the published sitting cutoff and applicable official rules rather than infer currency from the filename alone.
  • SPL Mevzuat Kesim Tarihi · Source checked 2026-10-21For sittings from 16 July to 31 December 2026, the published legislative cutoff is 30 June 2026.

Our practice resources: topics covered

We aim to reflect publicly available exam outlines and topic information in our study resources. Coverage, format, and difficulty may differ from the actual exam, and we cannot guarantee that every detail is accurate or current. Confirm exam requirements, fees, and policies with the official exam sponsor.

Official topic; percentage not published

Sermaye Piyasası Kanunu (Law No. 6362)

Statutory definitions, public offerings, prospectuses, issuer liabilities, market manipulation, insider dealing, and administrative fines.

Official topic; percentage not published

Sermaye Piyasası Tebliğleri ve Düzenlemeleri

Özel Durumlar Tebliği II-15.1 (material events and KAP disclosures), Kurumsal Yönetim Tebliği II-17.1 (board structure and independence), and Yatırım Fonları Tebliği III-52.1.

Official topic; percentage not published

TSPB Meslek Kuralları ve Etik İlkeler

Turkish Capital Markets Association professional conduct standards, customer transaction priority, conflict of interest policies, and employee ethics.

Preparing for the SPK Dar Kapsamlı Mevzuat Exam

What You Need to Know

  • Passing score: Minimum 50 out of 100 on the module, and an arithmetic average of at least 60 across all modules required for the candidate's target licence
  • Assessment: Single 45-minute computer-based electronic licensing examination (e-LS) session of 25 multiple-choice questions administered at SPL test centers.
  • Time limit: 45 minutes
  • Exam / certification fees: TRY 748 per subject sitting; eligible university students pay TRY 548, or TRY 456 under SPL cooperation protocols. Official sources

Using Our Practice Resources

  • Work through all 24 available questions
  • Review every answer and explanation
  • Track weak areas and revisit them
  • Use our AI tutor for tough concepts

SPK Dar Kapsamlı Mevzuat: Suggested Study Strategy

1Review the thresholds and mandatory procedures for public disclosures under Özel Durumlar Tebliği (II-15.1), including delayed public disclosure conditions and insider lists.
2Memorize the independent board member criteria and board committee requirements under Kurumsal Yönetim Tebliği (II-17.1).
3Understand the legal definitions of market manipulation (piyasa dolandırıcılığı) and insider trading (bilgi suistimali) under Law No. 6362, along with effective repentance (etkin pişmanlık) provisions.
4Learn the core fiduciary rules governing mutual funds (yatırım fonları) under Communiqué III-52.1, including fund separation from founder assets.

Frequently Asked Questions

Does this bank cover the entire official outline?

This focused bank has 24 independently written English-language four-option MCQ study questions. It samples legislation, disclosure, governance, funds, and professional ethics; use the complete official outline and current study notes for broader preparation. It is not an official translation, official-format simulation, or a guarantee of examination coverage.

What is the SPK Dar Kapsamlı Mevzuat (1001) exam?

Module 1001 is a mandatory subject assessment in Turkish capital markets covering essential securities law, disclosure communiqués, corporate governance, fund rules, and professional ethics. It is a shared requirement for Düzey 1, Real Estate Appraisal, Residential Appraisal, and Information Systems Independent Audit licences.

How does Dar Kapsamlı Mevzuat differ from Geniş Kapsamlı Mevzuat?

Dar Kapsamlı Mevzuat (1001) focuses on core securities law, public disclosure, corporate governance, mutual funds, and TSPB ethics. Geniş Kapsamlı Mevzuat (1002) is a broader syllabus required for Düzey 2, Düzey 3, and Derivatives licences that adds collective investment schemes, portfolio management companies, and specialized capital market regulations. Under SPL rules, passing Geniş counts for Dar.

How is the Module 1001 exam scored?

The official exam has 25 questions in 45 minutes, scored on a scale of 0 to 100 (4 points per question). A candidate must score at least 50 points (at least 13 correct answers) on the module, and achieve an overall arithmetic mean of 60 points across all subjects required for their target licence.

Can I sit Module 1001 independently?

Yes. SPL's e-LS system allows each subject to be booked, scheduled, and scored independently. The guide also sets score-validity and renewal-training rules; a subject result alone does not award a licence.

Is this practice bank an official translation?

No. OpenExamPrep provides an independent English-language MCQ study adaptation with four options per question. Official SPL e-LS examinations are administered in Turkish with five options. Turkish statutory titles and legal terminology are retained where relevant for authentic learning.