NISM SERIES II A – REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-9

Q1.When a Mutual Fund investor invests in the pool of funds, it is called ____.
 a fraction in the Mutual Fund scheme
 a unit of the Mutual Fund scheme
 a share in the total pool
stock in the pool

 

Q 2. Who provides the information of beneficial owners to the R&T agents?
 The Stock Exchange
 Depository
 Depository Participant
 Investors

 

Q 3.A private placement of shares made by a listed company is called a ____ of shares.
 special allotment
 preferential allotment
 firm allotment
 private equity

 

Q 4. The depository will provide the details of beneficial owners as on the __ for corporate action.
Ex-Date
 Record Date
 Cum Date
 Freeze Date

 

Q5.The dividends given to Preference Shareholders are ____.
same as that of equity shareholders
 at a fixed rate mentioned at the time of the issue of the preference shares
at a rate that is higher than that paid to equity shareholders
 at a rate as decided by the board annually

 

Q6.____ is for perpetuity from the point of view of the company.
 Equity capital
 Debt
 Debenture
 All of the above

 

Q7.A company has to follow the regulations laid down by Stock Exchanges for the issue of capital.
  True
  False

 

Q8.All public issues have to get a credit rating done – State True or False?
  True
  False

 

Q 9. As per the SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993, the net worth requirement for a category I applicant is ___ .
 Rs. 25 Lakh
 Rs. 50 Lakh
 Rs. 75 Lakh
 Rs. 1 crore

 

Q10.Brokers to an issue are responsible for building demand for the share in the secondary market – State True or False?
  True
  False

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