NISM SERIES II A – REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-3

Q1.The government uses ____ to borrow for the short-term.
 Treasury Bills
 Commercial Paper
 Certificates of Deposit
CBA

 

Q2.To whom is the Rights Issue of shares made?
 To HNI shareholders only
 To the promoters only
 To the existing shareholders only
 To new shareholders only

 

Q3.Under the Depository Act, the physical securities that are dematerialized are required to be destroyed by the __.
 R&T Agent
 Depository
 Depository Participant
 Investor

 

Q4.When an investor opens a depository account with a DP, which of the below options is NOT possible?
 receiving regular statements on their holdings in the account
 transacting in securities
 receiving dividend and interest
 None of the above

 

Q5.A Debenture that was issued at a face value of Rs 500 has a current market value of Rs 580. The coupon rate is 10% pa. Calculate the half-yearly interest the debenture holder will receive.
 Rs 58
 Rs 29
 Rs 50
 Rs 25

 

Q6.Anchor Investors are Qualified Institutional Buyers who make an application for a value of ___ rupees or more in a public issue made through the book-building process.
 One crore
 Two crore
 Five crore
 Ten crore

 

Q7.The credit of Demat shares or dispatch of refund order should be completed within 7 working days of the closure of the public issue – State True or false ?
  True
  False

 

Q8.FCCB means Foreign Currency Convertible Bond – State True or False?
  True
  False

 

Q9.In a decreasing interest rate scenario, callable bonds are a safer option for the issuers – State True or False ?
  True
  False

 

Q 10. On dematerialization, the name of the ____ is entered in the Register of Members.
 Investor
 Depository
 Depository Participant
 Issuer

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