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?

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