NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-1
| Q1.In the case of Transfer of Securities, the details of the transferee are endorsed on the ___. |
| Transfer Deed |
| Certificate. |
| Brokers Books |
| None of the above |
| Q2.Mutual funds have lower risks because of __ & __. |
| Fundamental & Technical Analysis |
| Market Tips & Professional management |
| Interaction with promoters & access to inside information |
| Portfolio diversification & Professional management |
| Q3.SEBI has laid down a list of mandatory collection centers for public issues - State True or False? |
| TRUE |
| FALSE |
| Q4.The date of execution of a transfer deed should be ___ the date of presentation to the prescribed authority (in the transfer of physical securities). |
| after |
| before |
| same date as |
| None of above |
| Q 5. The paid-up capital of a company can be higher than its issued capital - State True or False? |
| TRUE |
| FALSE |
| Q6.There is a one-year lock-in on the sale of shares allotted to a QIB in a preferential allotment - State True or False? |
| TRUE |
| FALSE |
| Q7.When shares are bought and sold on a recognized stock exchange, the settlement of trades requires __. |
| (a) SEBI approval (b) Bank permission |
| (a) movement of securities from sellers Demat account to clearing account of delivering broker (b) movement of securities from clearing account of receiving brokers to the buyers' account |
| (a) movement of securities from clearing account of receiving brokers to buyers account (b) SEBI approval |
| None of the above |
| Q 8. A 2:3 rights issue of shares means the investor is entitled to ____. |
| Two shares for every three shares held |
| Three shares for every two shares held |
| Five shares for every three shares held |
| Two shares for every five shares held |
| Q9.Bankers to an issue are appointed by the ____. |
| Stock Exchange in which the shares will be listed |
| SEBI |
| Clearing House |
| Issuer |
| Q10.Every time there is a bonus or rights issue a new ISIN is created by the depository - State True or False? |
| TRUE |
| FALSE0 |