NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-6
Q1.___ have to be submitted to the DP by the selling investor for settlement of market trades. |
Delivery Instrument Slips |
Depository Instruction Slips |
Delivery Instruction Slips |
Depository Information Slips |
Q2.A Deep Discount Bond ( Zero Coupon Bond ) is issued at __ and redeemed at ___. |
premium, face value |
discount, face value |
face value, premium |
face value, par |
Q 3.A request for dematerialization is liable to be rejected if ____. |
Certificates are fake, stolen or for which duplicates have been issued. |
Securities stand in a different name(s) from that mentioned in the DRF. |
The signature of the holders does not tally with the records of the R&T agent. |
All of the above |
Q4.According to the SEBI (Intermediaries) Regulations, 2008, the intermediaries have to redress investor grievance within 15 days from receipt of such complaint and to maintain records of the same - State True or False? |
True |
False |
Q5.In which way can a company NOT buy back its shares? |
By privately negotiated deals |
by a tender offer |
through a book-building process |
From odd-lot holders |
Q 6. The public issue will be open for a minimum of _ working days and a maximum of __ days. |
2 , 5 |
3 , 5 |
3 , 7 |
7 , 10 |
Q 7. The non-convertible portion of a partly convertible debenture is __ on maturity. |
converted into long term debt |
is repaid in cash |
is converted into equity |
is converted into preferential equity |
Q 8. When shares are listed on a stock exchange, a minimum continuous public holding of __ percent of the total number of issued shares of every class of security listed is to be maintained |
10 |
15 |
20 |
25 |
Q9.Which of the below-mentioned option is NOT an objective of SEBI? |
Ensuring Investor Protection |
Managing stock index movements to reasonable levels |
Helping the growth of market mechanism |
Encourage developing of the securities market and its participants |
Q10.Are R&T agents considered as intermediaries under the SEBI (Intermediaries) Regulations, 2008? |
Yes |
No |