NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-7
| Q1.The holding in the register of members along with the pending dematerialization and rematerialization requests should be equal to the holding in the ____ along with the pending dematerialization and rematerialization requests. |
| Depository |
| Depository Participant A/c |
| Stock Broker A/c |
| SEBI A/c |
| Q 2. The portion of the issued capital that has been fully subscribed and paid by the allottees in the __ of the company. |
| Subscribed Capital |
| Paid Up Capital |
| Allotted Capital |
| Authorized Capital |
| Q3.The R&T agent is required to give all information and cooperation during an inspection by SEBI - State True or False? |
| True |
| False |
| Q4.The SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 regulations govern the constitution, capital adequacy, _ & _, inspection and reporting norms that the R&T agent has to abide by. |
| obligations and rights |
| obligations & responsibilities |
| rights and responsibilities |
| obligations and rewards |
| Q5.When shares are converted from demat form into physical form, it is called as ____. |
| Physicalisation |
| Certification |
| Dematerialization |
| Rematerialization |
| Q6.___ do not directly participate in the management of the company? |
| Promoters |
| Venture Capitalist |
| Larger shareholders |
| Public investors |
| Q 7.A simple complaint from an investor cannot be enough ground for SEBI to inspect the books of R&T agents - State True or False? |
| True |
| False |
| Q 8. As per the SEBI (Intermediaries) Regulations, 2008 - one common requirement which applies to all intermediaries is ___. |
| a common procedure for action in case of default |
| a common procedure for the collection of information from Govt. websites |
| a common procedure for filing complaints |
| a common procedure for ordering / tendering office supplies |
| Q 9.As per SEBI (Intermediaries) Regulations- 2008. the registration granted to intermediaries has been made permanent subject to the compliance of the SEBI Act, regulations, updation of relevant disclosures, and payment of fees - State True or False? |
| True |
| False |
| Q10.As per SEBI regulations - The certificate granted to an intermediary CANNOT be revoked if it fails to comply with the requirement of the regulations or any other guidelines issued from time to time - State True or False? |
| True |
| False |