Law of Investments and Securities · Semester 6

Law of Investments and Securities · January 2012 (5-YDC)

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Study aid only. Confirm statute numbers with the current bare Act and the official OU LL.B. (3-YDC) 2024–25 syllabus PDF.

Official previous-year question paper (PDF scan) labelled 5-YDC in the source scan. Stored with Year 3 Semester 2 as provided.

Osmania University · Faculty of Law

Law of Investments and Securities · January 2012 (5-YDC)

January (5-YDC) 2012 · Law of Investments and Securities · Semester 6

FACULTY OF LAW
LAW Paper - IV (d) : Optionals (d) LAW OF INVESTMENTS AND SECURITIES
LL.B. (5 YDC) V Year IX Semester (New) Examination, January 2012
Code No. 1147
Time : 3 Hours Max. Marks : 80

PART - A (5 x 6 = 30 Marks)
Answer any FIVE of the following:
1. Share Capital.
2. Transfer of Share.
3. Investment Companies.
4. Listing of Securities.
5. Investors Protection.
6. SEBI.
7. NBFC's.
8. Dividends.

PART - B (2 x 15 = 30 Marks)
Answer any TWO of the following:
9. Explain the constitution and functions of the Securities Appellate Tribunal established under the SEBI Act,
1992.
10. Explain about the non-banking financial institutions in India.
11. Explain the law relating to A.P. protection of Depositories Act, 1999.
12. Discuss the law relating to recognition of stock exchanges under the Securities Contracts (Regulation)
Act, 1956.

PART - C (2 x 10 = 20 Marks)
Answer any TWO of the following:
13. A company was in great need of further capital. The majority, representing 98% of the share capital,
were willing to provide the capital if they could buy up the two percent minority. The majority passed a
resolution altering the articles and enabling them to purchase the minority shares. Examine the legality of
the alteration.

14. The name of 'X' is found entered in the register of a company. But X contends that he is not a member
of the company. The company maintains that 'X' had orally agreed to become a member and so his name
was entered in the register. Is the contention of the company valid? Discuss.
15. 'X' holds 100 partly paid up shares of PQR Ltd. 'X' wants to transfer these partly paid up shares to 'Z'.
Advise 'X' about the formalities to transfer these shares in the name of 'Z'.
16. In a private company, after the death of Mr. 'X', the entire capital of the company is held by his son 'Y'.
Decide whether 'Y' can continue the business of the Co. with a single shareholder.

Part A · 6 marks

  1. Share Capital.
    Year and frequency →
  2. Transfer of Share.
    3× in bank Topics: Pledge, transfer and SEBI's role in the depository system
    Year and frequency →
  3. Investment Companies.
    3× in bank
    Year and frequency →
  4. Listing of Securities.
    2× in bank Topics: Recognised stock exchanges and listing; Contracts in securities and prohibition of undesirable bargains
    Year and frequency →
  5. Investors Protection.
    3× in bank
    Year and frequency →
  6. SEBI.
    2× in bank
    Year and frequency →
  7. NBFC's.
    4× in bank
    Year and frequency →
  8. Dividends.
    Year and frequency →

Part B · 15 marks

  1. Explain the constitution and functions of the Securities Appellate Tribunal established under the SEBI Act, 1992.
    Topics: Contracts in securities and prohibition of undesirable bargains
    Year and frequency →
  2. Explain about the non-banking financial institutions in India.
    Year and frequency →
  3. Explain the law relating to A.P. protection of Depositories Act, 1999.
    Year and frequency →
  4. Discuss the law relating to recognition of stock exchanges under the Securities Contracts (Regulation) Act, 1956.
    Topics: Recognised stock exchanges and listing; Contracts in securities and prohibition of undesirable bargains
    Year and frequency →

Part C · 10 marks

  1. A company was in great need of further capital. The majority, representing 98% of the share capital, were willing to provide the capital if they could buy up the two percent minority. The majority passed a resolution altering the articles and enabling them to purchase the minority shares. Examine the legality of the alteration.
    Year and frequency →
  2. The name of 'X' is found entered in the register of a company. But X contends that he is not a member of the company. The company maintains that 'X' had orally agreed to become a member and so his name was entered in the register. Is the contention of the company valid? Discuss.
    Year and frequency →
  3. 'X' holds 100 partly paid up shares of PQR Ltd. 'X' wants to transfer these partly paid up shares to 'Z'. Advise 'X' about the formalities to transfer these shares in the name of 'Z'.
    Topics: Pledge, transfer and SEBI's role in the depository system
    Year and frequency →
  4. In a private company, after the death of Mr. 'X', the entire capital of the company is held by his son 'Y'. Decide whether 'Y' can continue the business of the Co. with a single shareholder.
    Year and frequency →