NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-10
| Q 1.A public issue has to be kept open for a minimum of _ days. |
| 2 |
| 3 |
| 5 |
| 7 |
| Q2.Mutual Funds gives their investors high flexibility in terms of ____. |
| portfolio choice |
| period of investment |
| place of investment |
| price of investment |
| Q3.Red Herring Prospectus contains ____. |
| the price band for bidding |
| the average price for bidding |
| only the lowest bid price |
| only the highest bid price |
| Q4.Debits to a beneficiary account by the DP can be initiated only on receipt of ____ |
| DPA |
| DOT |
| DIS |
| DAA |
| Q 5.Warrants give the debenture holders the right to buy the ___ of the company in the future. |
| debentures |
| equity shares |
| preference shares |
| All of the above |
| Q 6. When shares are listed on a stock exchange, a minimum continuous public holding of 10 percent of the total number of issued shares of every class security listed is to be maintained - State True or False? |
| True |
| False |
| Q7.Brokers to an issue should collect ___. |
| the IPO application forms |
| the payment instruments |
| both the IPO application forms and payment instruments |
| KYC of the investors |
| Q8.Convertible debentures when converted into equity shares will increase the floating stock in the market - State True or False? |
| True |
| False |
| Q 9.The Reserve Bank of India is responsible for the primary issue of ____. |
| securities of PSUs |
| shares of government-controlled companies |
| securities of Navratna PSUs only |
| Government securities |
| Q10.A Depository Receipt can be equivalent to either one share or more than one share - State True or False? |
| True |
| False |