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Which among the following categories of investors need to obtain a certificate of registration from SEBI in order to buy, sell or deal securities?
A. Portfolio manager
B. Stock broker
C. Retail investor
D. Investment adviser
- a)A and B only
- b)B and C only
- c)C and D only
- d)A, B and D only
- e)B, C and D only
Correct answer is option 'D'. Can you explain this answer?
Most Upvoted Answer
Which among the following categories of investors need to obtain a ce...
The retail investors are not required to obtain a certificate of registration from SEBI in order to buy, sell or deal securities. No stockbroker, sub-broker, share transfer agent, banker to an issue, trustee of trust deed, registrar to any issue, merchant banker, etc. who may be associated with the securities market shall buy, sell, or deal in securities, except under and in accordance with the conditions of a certificate of registration obtained from SEBI in accordance with the regulations made under the Act.
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Which among the following categories of investors need to obtain a ce...
Understanding SEBI Registration Requirements
The Securities and Exchange Board of India (SEBI) regulates various categories of investors in the securities market. Certain investors must obtain a certificate of registration to legally buy, sell, or deal in securities.
Categories of Investors Requiring Registration
- Portfolio Managers: These professionals manage investment portfolios on behalf of clients and must register with SEBI to ensure compliance with regulations.
- Stock Brokers: They facilitate the buying and selling of securities for clients and are required to obtain registration to operate legally in the market.
- Investment Advisors: These individuals offer guidance and advice on investments and must also register with SEBI to provide their services legally.
Non-Registered Investors
- Retail Investors: This category includes individual investors who buy and sell securities for their own accounts. Retail investors do not need to register with SEBI as they are not providing services to others or managing funds.
Conclusion
In summary, the correct answer is option 'D' (A, B, and D only). Portfolio managers, stock brokers, and investment advisors must obtain registration from SEBI, while retail investors are not subject to this requirement. This regulation helps maintain market integrity and protects the interests of investors.
The Securities and Exchange Board of India (SEBI) regulates various categories of investors in the securities market. Certain investors must obtain a certificate of registration to legally buy, sell, or deal in securities.
Categories of Investors Requiring Registration
- Portfolio Managers: These professionals manage investment portfolios on behalf of clients and must register with SEBI to ensure compliance with regulations.
- Stock Brokers: They facilitate the buying and selling of securities for clients and are required to obtain registration to operate legally in the market.
- Investment Advisors: These individuals offer guidance and advice on investments and must also register with SEBI to provide their services legally.
Non-Registered Investors
- Retail Investors: This category includes individual investors who buy and sell securities for their own accounts. Retail investors do not need to register with SEBI as they are not providing services to others or managing funds.
Conclusion
In summary, the correct answer is option 'D' (A, B, and D only). Portfolio managers, stock brokers, and investment advisors must obtain registration from SEBI, while retail investors are not subject to this requirement. This regulation helps maintain market integrity and protects the interests of investors.
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