NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-13
| Q 1. The investorís interface with the depository is through ___. |
| the R&T agent |
| the Issuer |
| the Depository Participant |
| Directly |
| Q2.The shares can be dematerialized only at the time of public issue - State True or False? |
| True |
| False |
| Q 3.When the Buy Back offer is through a tender, the offer for buyback shall remain open for a period of __ working days. |
| 7 |
| 10 |
| 15 |
| 30 |
| Q 4.A fresh issue of shares results in _____. |
| an increase in the share capital of the company |
| a decrease in the share capital of the company |
| no change in the share capital of the company |
| None of the above |
| Q 5. The two main stock exchanges in India are __. |
| NSE and MCX-NX |
| BSE and MCX-NX |
| NSE and CSE |
| BSE and NSE |
| Q6.To register a Power of Attorney (PoA) in the books of R&T agents will require __. |
| confirmation of the court |
| personal verification of the attorney |
| attestation by the attorney's bank |
| scanning the signature of the attorney |
| Q7.Bonds that provide the investor with the right to seek redemption from the issuer, prior to the maturity date, are called CALLABLE bonds - StateTrue or False? |
| True |
| False |
| Q 8.The draft prospectus has to be approved by ____ to get the security listed on the stock exchange. |
| the shareholders |
| the clearinghouse of the exchange |
| the Stock Exchange |
| the brokers of the exchange |
| Q9.The service requests of investors with respect to their Demat accounts are usually serviced electronically by the ___. |
| R&T Agent |
| Depositories |
| Depository Participants (DPs) |
| SEBI |
| Q 10. Registering a Power of Attorney (PoA) by the R&T agent involves updating the details of the holder and the attorney in the R&T Books - State True or False? |
| True |
| False |