NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-9
| Q1.When a Mutual Fund investor invests in the pool of funds, it is called ____. |
| a fraction in the Mutual Fund scheme |
| a unit of the Mutual Fund scheme |
| a share in the total pool |
| stock in the pool |
| Q 2. Who provides the information of beneficial owners to the R&T agents? |
| The Stock Exchange |
| Depository |
| Depository Participant |
| Investors |
| Q 3.A private placement of shares made by a listed company is called a ____ of shares. |
| special allotment |
| preferential allotment |
| firm allotment |
| private equity |
| Q 4. The depository will provide the details of beneficial owners as on the __ for corporate action. |
| Ex-Date |
| Record Date |
| Cum Date |
| Freeze Date |
| Q5.The dividends given to Preference Shareholders are ____. |
| same as that of equity shareholders |
| at a fixed rate mentioned at the time of the issue of the preference shares |
| at a rate that is higher than that paid to equity shareholders |
| at a rate as decided by the board annually |
| Q6.____ is for perpetuity from the point of view of the company. |
| Equity capital |
| Debt |
| Debenture |
| All of the above |
| Q7.A company has to follow the regulations laid down by Stock Exchanges for the issue of capital. |
| True |
| False |
| Q8.All public issues have to get a credit rating done - State True or False? |
| True |
| False |
| Q 9. As per the SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993, the net worth requirement for a category I applicant is ___ . |
| Rs. 25 Lakh |
| Rs. 50 Lakh |
| Rs. 75 Lakh |
| Rs. 1 crore |
| Q10.Brokers to an issue are responsible for building demand for the share in the secondary market - State True or False? |
| True |
| False |