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

Q 1. The investorís interface with the depository is through ___.
 the R&T agent
 the Issuer
 the Depository Participant
 Directly

 

Q2.The shares can be dematerialized only at the time of public issue – State True or False?
  True
  False

 

Q 3.When the Buy Back offer is through a tender, the offer for buyback shall remain open for a period of __ working days.
 7
 10
 15
 30

 

Q 4.A fresh issue of shares results in _____.
 an increase in the share capital of the company
a decrease in the share capital of the company
 no change in the share capital of the company
 None of the above

 

Q 5. The two main stock exchanges in India are __.
 NSE and MCX-NX
 BSE and MCX-NX
 NSE and CSE
 BSE and NSE

 

Q6.To register a Power of Attorney (PoA) in the books of R&T agents will require __.
 confirmation of the court
 personal verification of the attorney
 attestation by the attorney’s bank
 scanning the signature of the attorney

 

Q7.Bonds that provide the investor with the right to seek redemption from the issuer, prior to the maturity date, are called CALLABLE bonds – StateTrue or False?
  True
  False

 

Q 8.The draft prospectus has to be approved by ____ to get the security listed on the stock exchange.
 the shareholders
the clearinghouse of the exchange
 the Stock Exchange
 the brokers of the exchange

 

Q9.The service requests of investors with respect to their Demat accounts are usually serviced electronically by the ___.
 R&T Agent
Depositories
 Depository Participants (DPs)
 SEBI

 

Q 10. Registering a Power of Attorney (PoA) by the R&T agent involves updating the details of the holder and the attorney in the R&T Books – State True or False?
  True
  False

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