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Exam Review

Key Facts: SPK Geniş 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 1002 Geniş Kapsamlı Mevzuat. The official assessment has 25 five-option questions in 45 minutes covering Capital Markets Law No. 6362, public disclosure rules, corporate governance, collective investment schemes (REITs, ETFs, private equity/real estate funds, portfolio managers), and TSPB ethics. Passing requires at least 50/100 on the module and a composite average of 60/100 across licence subjects.

Sample SPK Geniş Kapsamlı Mevzuat Practice Questions

Try these sample questions to review concepts for the SPK Geniş Kapsamlı Mevzuat exam. Each question includes a detailed explanation. Start the interactive quiz above for the full 100+ question experience with AI tutoring.

1Which institution has the statutory authority to regulate and supervise Turkish capital markets under Capital Markets Law No. 6362?
A.Merkezi Kayıt Kuruluşu A.Ş. (MKK)
B.Türkiye Sermaye Piyasaları Birliği (TSPB)
C.Sermaye Piyasası Kurulu (SPK)
D.Borsa İstanbul A.Ş. (BIST)
Explanation: Sermaye Piyasası Kurulu (SPK / Capital Markets Board) is the sole public regulatory and supervisory authority for capital markets in Turkey under Law No. 6362. Borsa İstanbul is the stock exchange, MKK is the central securities depository, and TSPB is the self-regulatory professional association.
2Under Capital Markets Law No. 6362, what is the legal effect of SPK approving a public offering prospectus (izahname)?
A.It exempts the issuer and underwriters from future liability for erroneous disclosures
B.It represents a state guarantee of the issuer's financial solvency
C.It certifies that statutory disclosure requirements have been satisfied without providing any return or quality guarantee
D.It acts as an official endorsement of the offered securities for retail investors
Explanation: SPK reviews the prospectus under the statutory disclosure process, including completeness, consistency, and comprehensibility. Approval does not certify that every statement is true, guarantee repayment or returns, or recommend the investment.
3For how long does an approved prospectus remain valid from first publication, provided its information is kept current as required?
A.6 months
B.24 months
C.12 months
D.36 months
Explanation: The prospectus is valid for twelve months from first publication if kept current under the applicable rules. Expiry of that period and a material update during it are different issues; approval does not freeze the facts for a year.
4Who bears primary civil liability for damages incurred by investors due to false, misleading, or incomplete information in an approved prospectus?
A.The independent audit firm that audited the historical financial statements
B.Sermaye Piyasası Kurulu officials who signed the approval decision
C.The lead underwriter acting as intermediary in the offering
D.The issuer company itself
Explanation: Article 10 places primary prospectus liability on the issuer, with specified additional liability for other responsible offering parties. Audit, rating, and valuation providers are separately responsible within the scope of their reports; their professional-report liability should not be indiscriminately described as secondary issuer liability.
5A senior executive of a listed company executes trades in the company's shares using non-public information about an impending merger, generating substantial personal profit. Which statutory violation under Law No. 6362 has been committed?
A.Örtülü kazanç aktarımı (Disguised profit distribution)
B.Usulsüz halka arz (Unauthorized public offering)
C.Bilgi suistimali (Insider dealing)
D.Piyasa dolandırıcılığı (Market manipulation)
Explanation: Article 106 addresses obtaining benefit through dealing based on the specified non-public price-sensitive information. The executive's use of merger information for personal profit fits that conduct rather than a public-offering or related-party asset-transfer violation.
6A group of traders repeatedly enters, amends, and cancels large buy and sell orders on Borsa İstanbul to give the false impression of vigorous market interest without intending to execute. Under Law No. 6362, this conduct is classified as:
A.Haksız rekabet (Unfair competition under the commercial code)
B.Algorithmic market making (Piyasa yapıcılığı)
C.İşleme dayalı piyasa dolandırıcılığı (Transaction-based market manipulation)
D.Bilgiye dayalı piyasa dolandırıcılığı (Information-based market manipulation)
Explanation: Article 107(1) covers transactions, orders, and cancellations intended to create false or misleading impressions of market supply, demand, or price. The scenario uses deceptive orders rather than false published reports, distinguishing transaction-based from information-based manipulation.
7A person obtains TRY 400,000 through transaction-based market manipulation. Under Article 107(3) of Law No. 6362, how much must that person pay to the Treasury before the investigation starts to qualify for effective repentance (etkin pişmanlık), assuming the other conditions are met?
A.TRY 400,000
B.TRY 500,000
C.TRY 1,200,000
D.TRY 800,000
Explanation: Article 107(3) requires twice the benefit obtained or caused, subject to a TRY 500,000 minimum. Twice TRY 400,000 is TRY 800,000, which exceeds that floor. Payment before the investigation starts has a different consequence from payment during investigation or prosecution.
8What is the primary role of Merkezi Kayıt Kuruluşu A.Ş. (MKK) within the Turkish capital markets infrastructure?
A.Operating central-bank payment accounts for commercial banks
B.Administering professional licensing exams for investment firm employees
C.Acting as the Central Securities Depository maintaining dematerialized securities and beneficial ownership records
D.Serving as the Central Counterparty (CCP) guaranteeing clearing settlement for exchange trades
Explanation: MKK is the central securities depository (Merkezi Kaydi Sistem - MKS) established under Law No. 6362 to hold all dematerialized capital market instruments and record investor entitlements electronically.
9When a public joint-stock company increases its share capital within the registered capital system (kayıtlı sermaye sistemi), which corporate body is authorized to resolve on the capital increase?
A.The Audit Committee (Denetim Komitesi)
B.The Capital Markets Board (SPK) directly
C.The Board of Directors (Yönetim Kurulu)
D.The General Assembly of Shareholders (Genel Kurul) exclusively
Explanation: In the registered capital system, the board can increase issued capital within the registered ceiling while its authorization remains valid. The ceiling and period of authority constrain this power; it is not unlimited authority to change capital.
10Under Communiqué II-27.3, what voting-rights threshold normally establishes controlling-shareholder status for squeeze-out and sell-out rights, subject to the communiqué's exceptions?
A.75%
B.90%
C.95%
D.98%
Explanation: Communiqué II-27.3 sets the threshold at 98% of voting rights, including holdings of persons acting together. This creates squeeze-out and corresponding sell-out rights subject to the prescribed procedures and exceptions; it does not itself cancel minority shares.

About the SPK Geniş Kapsamlı Mevzuat Exam

Geniş Kapsamlı Sermaye Piyasası Mevzuatı ve Meslek Kuralları (Module 1002) is the advanced securities regulation subject examination required for Düzey 2, Düzey 3, Derivatives, and Corporate Governance Rating licences. In addition to core securities law and public disclosure, it encompasses comprehensive communiqués on collective investment institutions (GYO, MKYO, GSYO, mutual funds, ETFs, real estate and venture capital funds, and portfolio management companies) and TSPB ethics. OpenExamPrep provides an independent English-language MCQ study adaptation, not an official translation or simulation of the Turkish exam 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 1002 Geniş 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 Geniş Kapsamlı Mevzuat Çalışma Notu — 1002 · Source checked 2026-10-21The current index labels this note 30 June 2026, but its internal cover says 30 December 2026, a future date at the 21 October check. This discrepancy is unresolved. Use the official outline and the applicable 30 June 2026 legislative cutoff; do not infer that future rules are effective.
  • SPK listed-company obligations · Source checked 2026-10-21Primary regulator guidance on disclosure thresholds and deadlines, related-party valuation, and governance obligations.
  • SPK transaction-based manipulation · Source checked 2026-10-21Article 107(3) effective repentance uses twice the benefit with a TRY 500,000 floor.
  • 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

Kamunun Aydınlatılması ve Kurumsal Yönetim

Özel Durumlar Tebliği II-15.1 (material events and KAP disclosures), Kurumsal Yönetim Tebliği II-17.1 (board structure and independence), and related party transactions.

Official topic; percentage not published

Kolektif Yatırım Kuruluşları Düzenlemeleri

Comprehensive regulatory regime for investment companies (GYO III-48.1, MKYO III-48.5, GSYO III-48.3), portfolio management firms (PYŞ III-55.1), and investment funds (mutual funds III-52.1, ETFs III-52.2, GYF III-52.3, GSYF III-52.4).

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 Geniş 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 100 available questions
  • Review every answer and explanation
  • Track weak areas and revisit them
  • Use our AI tutor for tough concepts

SPK Geniş Kapsamlı Mevzuat: Suggested Study Strategy

1Review the portfolio composition constraints and operational restrictions for real estate investment trusts (GYO III-48.1) and mutual funds (III-52.1).
2Learn the exact capital requirements, organizational structure, and licensing prerequisites for portfolio management companies (PYŞ III-55.1).
3Understand the conditions and procedures for delaying public disclosure under Özel Durumlar Tebliği (II-15.1) and insider list obligations.
4Memorize the board independence criteria, mandatory board committees, and related party transaction rules under Kurumsal Yönetim Tebliği (II-17.1).

Frequently Asked Questions

What is the SPK Geniş Kapsamlı Mevzuat (1002) exam?

Module 1002 is an advanced regulatory examination covering Capital Markets Law No. 6362, public disclosure, corporate governance, collective investment institutions (funds and investment companies), portfolio management companies, and TSPB professional conduct rules. It is required for advanced licences including Düzey 2, Düzey 3, and Türev Araçlar.

Does passing Geniş Kapsamlı Mevzuat count for Dar Kapsamlı Mevzuat?

Yes. Under SPL's official licensing guidelines, successfully passing Geniş Kapsamlı Mevzuat (Module 1002) satisfies the requirement for Dar Kapsamlı Mevzuat (Module 1001) across all relevant licences.

How does Module 1002 differ from Module 1001?

While Module 1001 focuses on basic securities law, disclosure, and standard mutual funds, Module 1002 substantially expands the scope to include specialized collective investment entities: real estate investment trusts (GYO), venture capital trusts (GSYO), securities trusts (MKYO), exchange-traded funds (BYF), real estate funds (GYF), venture capital funds (GSYF), and portfolio management companies (PYŞ).

How is the Module 1002 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 on the module, and achieve an overall arithmetic mean of 60 points across all subjects required for their target licence.

Can I sit Module 1002 independently?

Yes. SPL's e-LS system allows each subject to be booked, scheduled, and scored independently. A subject pass remains valid toward qualifying licences according to SPL's examination validity regulations.

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 preserved for context.