NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-13
| Q1.Why are warrants usually attached to a debenture issue? |
| To adhere to the rules of stock exchange listing |
| To follow the SEBI rules on debenture issue |
| To make it attractive to investors |
| This is as per Banking rules |
| Q2.Does a sponsored DR issue have existing shareholders offering their shares for conversion into DRS - State True or False? |
| True |
| False |
| Q 3.An investor opens a Demat account with ___. |
| Depository |
| Depository Participant |
| Stock Exchange |
| SEBI |
| Q4.Does fungibility mean that the certificate number, distinctive numbers, and folio numbers of dematerialized shares are preserved - State True or False? |
| True |
| False |
| Q5.In a fixed price issue, an application form is rejected if the bank account details are missing - State True or False? |
| True |
| False |
| Q6.In Rematerialisation of Securities, the __ will print certificates in the name of the investor and dispatch them directly to the shareholder |
| Depository |
| Depository Participant |
| Stock Broker |
| R&T agent |
| Q7.The authorized capital of a company ____. |
| is the average capital it plans to have |
| is the maximum capital it plans to have |
| is the minimum capital it plans to have |
| is the minimum capital it plans to issue |
| Q8.The IPO market is known as ___. |
| Public Issue Market |
| Stock Market |
| Primary Market |
| Secondary Market |
| Q9.The trading and settlement cycle of a stock exchange is decided by ____ |
| the Stock Exchange itself |
| SEBI |
| Ministry of Finance |
| Investors |
| Q10.Warrants resemble ____. |
| Put Options |
| Call Options |
| Delta Options |
| Arbitrage Options |