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1.1 Place of Residence

1.2 Sex: Male □ Female □

1.3 Age

1.4 Marital Status Unmarried □ Married □

1.5 Educational Qualification

1.6 Occupation:

1.7 Monthly Income Upto Rs. 10,000 □ Rs.l 0,001 -20,000 1

Above Rs.20,001 □
1.8 Total Family Income
(per month) : Upto Rs. 10,000 □ Rs.l 0,001 -20,00
Rs.20,001-30,000 □ Rs 30,001 - 40,000
Rs. Above 40,001 □

1.9 No. of Dependents : 1 □ 2d 3 □ <* □ Above 4 □

1.10 Savings (per month) : Upto Rs. 1,000 □ Rs. 1,001-2,000 □

Rs. 2,001-3,000 □ Rs.3,001-4,000 □

Above Rs.4,001 □

1.11 Communication Facility Yes No

Telephone □ □
Fax □ □
Cell □ □
E- mail □ □

Newspapers you read : The New Indian Express □ Business Line □

Economic Times □ The Hindu □
Financial Express □ Others (specify) □
Magazines you go
through with reference
to investment : Business India □ Intelligent Investor □
Business World □ Investment Week □
Dalai Street □ Capital Market □
Others (specify) □
Reading habit of investment
column in news papers and
magazines : Regular □ Occasional □ Not at all □

Viewing investment-related T.V Internet

programmes / Websites
Regular □ □
Occasional □ □
Not at all □ □

2.5 State how much amount you spend for collecting investment-related information
- per month .(approx.)

2.6 While investing in shares, do you go through the prospectus?

Always □ Occasionally □ Not at all □

2.7 Do you go through the following before making investment in a company ?

Yes No
Annual report □ □
Half-yearly report □ □
Quarterly report □ □

2.8 State the frequency of attending annua! general meetings ( AGMs)

Regularly □ Occasionally □ Not at all □
2.9 Do you get the required amount of information from the company ?
To the maximum extent □ To some extent □ Not at the required level □

2.10 Are you a member of any investor forum?

Yes □ No □

2.11 If yes, how long have you been associated with it?
Less than 1 year □ More than a year but less than 3 years □

More than 3 years □

2.12 State your opinion on the services you normally get from the investor forum

Highly Satisfied Satisfied Not Satisfied

Investment scenario □ □ □

Latest issues □ □ □

Redressal of grievances □ □ □

Any other (specify) □ □ □

2.13 Are you generally satisfied with the services you get from the stock brokers?
Highly Satisfied Satisfied Not Satisfied
As to consultancy service □ □ □
As to execution of orders □ □ □

2 .14 State your opinion on the transparency of transactions of brokers.

Very much transparent □ Transparent □ Not so □


3.1 When did you first start investing in shares?

3.2 Who/ What prompted you to buy shares?

Self □ Spouse □ Parents □ Relatives □
Friend /Co -Worker □ Investment column in newspaper □
Company report □ Brokers □ Others (specify) □
3.3 Are you a regular investor ?
Yes □ No □

3.4 State the motive of your investment:

Short-term capital gain □ Long-term capital gain □
Dividend □ Others (specify) □

3.5 Through which market do you invest ?

Primary market □ Secondary market □ Both □

3.6 Specify the time you normally spend for taking a decision to invest in shares
Quickly □
Within few days □
Within a Week □
More than a Week □

3.7 Sources utilised for investment in shares

Own savings □ Out of business income □
Out of capital gains □ Borrowings □
Inherited property □ Others (specify) □

3.8 What proportion of your wealth is in shares?

Upto 10 % □ 11 % - 20 % □ 21 % - 30% □ 31 - 40 % □ Above 40 % □

3.9 State the other forms of investment you have.

Mutual Fund □ Real Estates □ Jewels □
Bank Deposit □ Others (specify) □

3.10 In which industries do you possess shares ?

3.11 State the number of companies in which you hold shares. No. :
3.12 State your annual value of trading
Upto Rs. 25,000 □ Rs. 25,001-50,000 □ Above Rs. 50,001 □

3.13 State your expected rate of return.:

(Dividend as well as Capital appreciation)

3.14 Specify the form of dividend you prefer.

Cash Dividend □ Bonus Shares □ Both □

3.15 How do you make use of your dividend income? Yes No

For reinvestment in shares in the same company □ □
For reinvestment in other company shares □ □
For meeting family expenses □ □
Any other (specify) □ □

3.16 To what extent are you prepared to assume risk ?

To a great extent □ To some extent □ Not at all □

3.17 Have you incurred any loss during the past period ?
Yes □ No □

3.18 If yes, the specify the reason.

High amount of speculation □
Fall in price □
Any other (specify) □

3.19 Specify the factors you consider while buying shares.

No. FACTORS Put * mark

I Debt-Equity position
ii Return on investment
iii Dividend policy
iv Nature of industry

v Management
vi General business condition
No. FACTORS Put * mark
vii Liquidity of shares

viii Expected earnings of the coy.,

ix Price /Earnings ratio

X Growth prospect of the coy.,

xi Risk factors



Tick the appropriate answer for the following

Are you aware that Aware Doubtful Not aware
a) the Companies Act 1956 governs the
companies ?
b) the investors who are not allotted
shares can get back their money ?
c) you are eligible to receive an amount
of interest in case you are not allotted
shares within a specified time ?
d) you are eligible to receive interest
for delay in refund of allotment money ?
e) you have the right to receive notice
of meetings from the company ?
f) you are eligible to receive audited
report from the company ?
g) you have the right to inspect the
minutes of the meetings ?
h) in case of request for transfer or sale
of shares, the company has to transfer
shares within 2 months ?
i) the company has to start the process of
issue of shares only after the receipt of
minimum subscription amount ?
j) the company has to send the allotment
letter and refund order to investors only
through registered post ?
k) the company has to attach an abridged
prospectus along with application form ?
1) the company has to maintain an interval
of 12 months period between two issues
of equity shares ?
Tick the appropriate answer for the following

Are you aware of Aware Doubtful Not Aware

a) the number of Stock Exchanges in India ?
b) the method of computing Stock Exchange
Index ?
c) the functioning of the OTCEI ?
d) the functioning of National Stock Exchange ?
e) the rate of commission charged by the broker
for buying and selling of shares ?
0 the maximum period for settlement of a deal
in CSX ?
g) the introduction of Bad Delivery Cell which
solves the problems of delivery ?
h) the recent changes regarding the setting up of
Clearing Houses in Stock Exchanges ?
i) the Grievance Cell which is attached to a
Stock Exchange for solving investors’
problems ?
j) the fact that financial losses of an investor can
be minimised by Investors’ Protection Fund
maintained in a Stock Exchange ?


Tick the appropriate answer for the following

Are you aware that the SEBI Aware Doubtful Not Aware
a) has been given comprehensive authority to
regulate Stock Exchanges?
b) is the sole authority for new capital issues?
c) has the right to regulate stock market
d) has issued norms for recording the amount
of brokerage in the broker’s contract note -
book separately?
Are you aware that the SEBI Aware Doubtful Not Aware
e) has instructed the brokers to keep their
clients’ money in a separate bank a/c?
f) has banned the preferential allotment of
shares at discount?
g) has fixed a lock- in period for promoters’
quota of shares?
h) has granted a new right to shareholders to
decide about the amount of premium?
i) has introduced a new scheme of DEMAT
for solving major problems of paper work?
j) has taken proper steps to educate the
investors through recognised Investor’s
Association & Stock Exchanges?
k) has introduced buy- back scheme ?


5.1 Do you find any difficulty in buying / selling shares?

Yes □ No □

5.2 If yes, point out the difficulties

Delay in transfer of shares □
High amount of commission □
Delay in getting payment □
Others (specify) □

5.3 Suggest measures to improve investor awareness.

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