NISM SERIES II A – REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-13

Q1.Why are warrants usually attached to a debenture issue?
 To adhere to the rules of stock exchange listing
 To follow the SEBI rules on debenture issue
 To make it attractive to investors
 This is as per Banking rules

 

Q2.Does a sponsored DR issue have existing shareholders offering their shares for conversion into DRS – State True or False?
  True
  False

 

Q 3.An investor opens a Demat account with ___.
 Depository
 Depository Participant
 Stock Exchange
 SEBI

 

Q4.Does fungibility mean that the certificate number, distinctive numbers, and folio numbers of dematerialized shares are preserved – State True or False?
  True
  False

 

Q5.In a fixed price issue, an application form is rejected if the bank account details are missing – State True or False?
  True
  False

 

Q6.In Rematerialisation of Securities, the __ will print certificates in the name of the investor and dispatch them directly to the shareholder
 Depository
 Depository Participant
 Stock Broker
 R&T agent

 

Q7.The authorized capital of a company ____.
 is the average capital it plans to have
 is the maximum capital it plans to have
 is the minimum capital it plans to have
is the minimum capital it plans to issue

 

Q8.The IPO market is known as ___.
 Public Issue Market
 Stock Market
 Primary Market
 Secondary Market

 

Q9.The trading and settlement cycle of a stock exchange is decided by ____
 the Stock Exchange itself
 SEBI
 Ministry of Finance
 Investors

 

Q10.Warrants resemble ____.
 Put Options
 Call Options
 Delta Options
 Arbitrage Options

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