NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-6
| Q1.___ have to be submitted to the DP by the selling investor for settlement of market trades. |
| Delivery Instrument Slips |
| Depository Instruction Slips |
| Delivery Instruction Slips |
| Depository Information Slips |
| Q2.A Deep Discount Bond ( Zero Coupon Bond ) is issued at __ and redeemed at ___. |
| premium, face value |
| discount, face value |
| face value, premium |
| face value, par |
| Q 3.A request for dematerialization is liable to be rejected if ____. |
| Certificates are fake, stolen or for which duplicates have been issued. |
| Securities stand in a different name(s) from that mentioned in the DRF. |
| The signature of the holders does not tally with the records of the R&T agent. |
| All of the above |
| Q4.According to the SEBI (Intermediaries) Regulations, 2008, the intermediaries have to redress investor grievance within 15 days from receipt of such complaint and to maintain records of the same - State True or False? |
| True |
| False |
| Q5.In which way can a company NOT buy back its shares? |
| By privately negotiated deals |
| by a tender offer |
| through a book-building process |
| From odd-lot holders |
| Q 6. The public issue will be open for a minimum of _ working days and a maximum of __ days. |
| 2 , 5 |
| 3 , 5 |
| 3 , 7 |
| 7 , 10 |
| Q 7. The non-convertible portion of a partly convertible debenture is __ on maturity. |
| converted into long term debt |
| is repaid in cash |
| is converted into equity |
| is converted into preferential equity |
| Q 8. When shares are listed on a stock exchange, a minimum continuous public holding of __ percent of the total number of issued shares of every class of security listed is to be maintained |
| 10 |
| 15 |
| 20 |
| 25 |
| Q9.Which of the below-mentioned option is NOT an objective of SEBI? |
| Ensuring Investor Protection |
| Managing stock index movements to reasonable levels |
| Helping the growth of market mechanism |
| Encourage developing of the securities market and its participants |
| Q10.Are R&T agents considered as intermediaries under the SEBI (Intermediaries) Regulations, 2008? |
| Yes |
| No |