NISM SERIES II A – REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-11

Q 1.When an investor service request involves physical certificates, the request has to be accompanied by the Delivery Instruction Slips when sent to the R&T agent – State True or False?
  True
  False

 

Q 2.A company may not declare a dividend even if there are profits – State True or False?
  True
  False

 

Q 3.A convertible debenture issue does not have to be credit-rated since it is going to be converted into shares.
  True
  False

 

Q4.Private placement of shares by a listed company is called a __ of shares and these shares are locked in for __.
special allotment, 2 year
preferential allotment, 1 year
preferential allotment, 3 year
special allotment, 3 year

 

Q5.A/An ___ is a method of issue of shares to the public where the money raised does not add to the equity of the company.
 Offer for Sale
 IPO
 Rights Issue
 All of the above

 

Q6.All issues made through the Book Built route have to be issued only as dematerialized shares – State True or False?
  True
  False

 

Q 7.In a book-built issue only the Retail investor can bid at the cut-off price – State True or False?
  True
  False

 

Q8.The KYC norms are optional formalities imposed by market participants to protect themselves – State True or False?
  False
  True

 

Q9.The Rematerialisation request has to be processed within _ days by the R&T agent.
 15
 30
 45
 60

 

Q 10. To be a valid request, the Demat Requisition form has to be routed through __.
 Brokers
 Banks
 R&T agents
 Depository Participants

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