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?


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


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


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


Q7.Bonds are segmented as long and short term based on their ___.
 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?


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


Q10.Powers to regulate stock exchange were given to SEBI by___.

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