NISM Series II B - Registrar and Transfer Agents (MF) Certification Exam -15

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Q1.  ____________ is a popular and extensively used method for computing the return on a bond investment.

Sharpe ratio

Treynor ratio

Yield to Maturity

None of these

Q2.  ____________ is the person called who executes the Power of Attorney (PoA).

Initiator

Recipient

Attorney

Agent

Q3.  ____________ tax will be applicable if the investor sells his equity investments within one year of purchase.

Extended term Capital Gain

Long-term Capital Gain

Short-Term Capital Gain

Average Term Capital Gain Tax

Q4.  _____________ are financial instruments that represent shares of a local company but are listed and traded on a stock exchange outside the country.

REITs

Invites

Depository receipts

FCCB

Q5.  _____________ funds invest in securities of other markets.

Stable Funds

Mixed Funds

Foreign security firm

Domestic Funds

Q6.  _____________ is a person who's been given the right to sign documents on behalf of the authorizing organization.

Team Leader

Accountant

Authorized signatories

Chairman

Q7.  _____________ is also called the plain vanilla bonds.

Inflation-indexed bonds

Zero coupon bonds

Fixed-rate bonds

Floating rate bonds

Q8.A closed-end fund

represents the best investment opportunity when purchased as an IPO

is another name for an exchange-traded fund

is more liquid than an open-end fund

can be sold at a discount or a premium to NAV

Q9. _______________ is a proof of investment for the investor.

SAI

SID

So A

KIM

Q10.  ________________ refers to the total number of shares issued by the company to its investors.

Preference shares

Cumulative shares

Outstanding shares

None of these

Q12.  ?At par cheque? is _______.

not the type of cheque

a cheque from private banks

a local cheque

None of these

Q11. ______________refers to the tax that has to be paid at the time of redemption or switch to other schemes or sale of units of equity-oriented mutual funds, whether sold on a stock exchange or otherwise.

Dividend Distribution Tax

Tax Deducted at Source

Securities Transaction Tax

None of the above

Q13.  A ________- is a redemption and purchase transaction rolled into one.

Transfer

Investment

Switch

None of these

Q14.  A _________________ means a process or plan of action employed for the transfer of the entire operations of the QRTA to an alternative QRTA/QRTA registered with SEBI that would take over the operations of the QRTA in scenarios such as erosion of net wealth.

Risk Management Policy

Business Continuity Plan

Wind-down plan

None of these

Q15.  A company decides that the maximum equity capital it needs is Rs. 40 crore. In the initial stages, the need is Rs. 20 crore. It issues equity shares of Rs. 10 face value at par. Investors are required to pay Rs. 5 per share with the application of Rs. 5 a

40 crore

Rs. 30 crore

Rs. 20 crore

Rs. 10 crore

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