NISM SERIES II A – REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-10

Q 1.A public issue has to be kept open for a minimum of _ days.
 2
 3
 5
 7

 

Q2.Mutual Funds gives their investors high flexibility in terms of ____.
 portfolio choice
 period of investment
 place of investment
 price of investment

 

Q3.Red Herring Prospectus contains ____.
 the price band for bidding
 the average price for bidding
 only the lowest bid price
 only the highest bid price

 

Q4.Debits to a beneficiary account by the DP can be initiated only on receipt of ____
 DPA
 DOT
 DIS
 DAA

 

Q 5.Warrants give the debenture holders the right to buy the ___ of the company in the future.
 debentures
 equity shares
 preference shares
 All of the above

 

Q 6. When shares are listed on a stock exchange, a minimum continuous public holding of 10 percent of the total number of issued shares of every class security listed is to be maintained – State True or False?
  True
  False

 

Q7.Brokers to an issue should collect ___.
 the IPO application forms
 the payment instruments
 both the IPO application forms and payment instruments
 KYC of the investors

 

Q8.Convertible debentures when converted into equity shares will increase the floating stock in the market – State True or False?
  True
  False

 

Q 9.The Reserve Bank of India is responsible for the primary issue of ____.
 securities of PSUs
shares of government-controlled companies
 securities of Navratna PSUs only
 Government securities

 

Q10.A Depository Receipt can be equivalent to either one share or more than one share – State True or False?
  True
  False

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