NISM Series II A – Registrars to an Issue and Share Transfer Agents (Corp) Paper 16

Q1.DP’s require supporting documents for effecting investor service requirements – State True or False?
  True
  False

 

Q 2.Deep discount bonds are ___ whereas Treasury bills are ____ instruments.
Government, Private
Not credit rated, Credit Rated
Long Term, Short Term
Short Term. Long Term

 

Q 3.When a transaction is done off-market, the cash settlement is done ____.
through the clearinghouse
 through the stock exchange
 by the buyer directly to the seller
 by the depository participant

 

Q4.___ stands guarantee for trades done on the stock exchange.
 Stock Exchange
 Stock Broker
 Clearing corporation
 SEBI

 

Q5.A clearing member account is an account through which the settlement of off-market trades is done – State True or False?
  True
  False

 

Q6.All the information on beneficial owners is provided to the R&T agent by the Depository Participant – State True or False?
  True
  False

 

Q7.Bonds are segmented as long and short term based on their ___.
 coupons
 discounting factor
 term to maturity
 None of the above

 

Q8.Companies prefer private placement because it gives cost and time benefits – State True or False?
  True
  False

 

Q9.In a public offer of shares, the due diligence certificate is signed by ___.
 Lead Manager
 SEBI
 Bankers to the Issue
 Issuer

 

Q10.Powers to regulate stock exchange were given to SEBI by___.
 FEMA
 RBI
SARA
 IRDA

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