NISM Series II B - Registrar and Transfer Agents (MF) Certification Exam -16
NISM Series II B: Registrar and Transfer Agents (MF) Certification Exam -16
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Q 1. ____________ 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
Q 2. ____________ is the person called who executes the Power of Attorney (PoA).
Initiator
Recipient
Attorney
Agent
Q 3. ____________ tax will be applicable if the investor sells his equity investments within one year of purchase.
Long-term Capital Gain
Long-term Capital Gain
Short-Term Capital Gain
Average Term Capital Gain Tax
Q 4. _____________ are financial instruments that represent shares of a local company but are listed and traded on a stock exchange outside the country.
REITs
InvITs
Depository receipts
FCCB
Q 5. _____________ funds invest in securities of other markets.
Stable Funds
Mixed Funds
Foreign security firm
Domestic Funds
Q 6. _____________ is a person who's been given the right to sign documents on behalf of the authorizing organization.
Team Leader
Accountant
Authorized signatories
Chairman
Q 7. _____________ is also called the plain vanilla bonds.
Inflation indexed bonds
Zero coupon bonds
Fixed rate bonds
Floating rate bonds
Q 8.
A closed-end fundnbsp;
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.
Q 9. _______________ is a proof of investment for the investor.
SAI
SID
SoA
KIM
Q 10. ________________ refers to the total number of shares issued by the company to its investors.
Preference shares
Cumulative shares
Outstanding shares
None of these
Q 11. ______________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
Q 12. ?At par cheque? is _______.
not the type of cheque
a cheque from private banks
a local check
None of these
Q 13. A ________- is a redemption and purchase transaction rolled into one.
Transfer
Investment
Switch
None of these
Q 14. A _________________ means a process or plan of action employed for transfer of the entire operations of the QRTA to an alternative RTA/QRTA registered with SEBI that would take over the operations of the QRTA in scenarios such as erosion of net wor
Risk management policy
Business Continuity Plan
Wind-down plan
None of these
Q 15. A company decides 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, Rs. 5 a
40 crore
Rs. 30 crore
Rs. 20 crore
Rs. 10 crore
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