NISM SERIES II A – REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-7

Q1.The holding in the register of members along with the pending dematerialization and rematerialization requests should be equal to the holding in the ____ along with the pending dematerialization and rematerialization requests.
 Depository
 Depository Participant A/c
 Stock Broker A/c
 SEBI A/c

 

Q 2. The portion of the issued capital that has been fully subscribed and paid by the allottees in the __ of the company.
 Subscribed Capital
 Paid Up Capital
 Allotted Capital
Authorized Capital

 

Q3.The R&T agent is required to give all information and cooperation during an inspection by SEBI – State True or False?
  True
  False

 

Q4.The SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 regulations govern the constitution, capital adequacy, _ & _, inspection and reporting norms that the R&T agent has to abide by.
 obligations and rights
 obligations & responsibilities
 rights and responsibilities
 obligations and rewards

 

Q5.When shares are converted from demat form into physical form, it is called as ____.
 Physicalisation
 Certification
Dematerialization
Rematerialization

 

Q6.___ do not directly participate in the management of the company?
 Promoters
 Venture Capitalist
 Larger shareholders
 Public investors

 

Q 7.A simple complaint from an investor cannot be enough ground for SEBI to inspect the books of R&T agents – State True or False?
  True
  False

 

Q 8. As per the SEBI (Intermediaries) Regulations, 2008 – one common requirement which applies to all intermediaries is ___.
a common procedure for action in case of default
a common procedure for the collection of information from Govt. websites
a common procedure for filing complaints
a common procedure for ordering / tendering office supplies

 

Q 9.As per SEBI (Intermediaries) Regulations- 2008. the registration granted to intermediaries has been made permanent subject to the compliance of the SEBI Act, regulations, updation of relevant disclosures, and payment of fees – State True or False?
  True
  False

 

Q10.As per SEBI regulations – The certificate granted to an intermediary CANNOT be revoked if it fails to comply with the requirement of the regulations or any other guidelines issued from time to time – State True or False?
  True
  False

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