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CS Executive · Capital Market and Securities Laws · Listing Obligations and Disclosure Requirements

Under Section 11A(1)(a) of the SEBI Act, 1992, what can SEBI specify by regulations for the protection of investors?

Section 11A(1)(a) lets SEBI specify by regulations the matters relating to issue of capital, transfer of securities and incidental matters, along with the manner in which companies must disclose those matters. This supports disclosure-based governance regulation of listed companies.

  1. AOnly the penalties payable by directors of listed companies
  2. BThe matters relating to issue of capital, transfer of securities and incidental matters, and the manner of their disclosure by companiesCorrect
  3. COnly the rates of brokerage payable to stock brokers
  4. DThe eligibility of persons to be appointed as auditors of companies

Explanation

Section 11A(1)(a) empowers SEBI to specify by regulations the matters relating to issue of capital, transfer of securities and other incidental matters, and the manner in which companies disclose them. Penalties, brokerage and auditor eligibility are not covered by this clause.

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