NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-11
| Q 1.When an investor service request involves physical certificates, the request has to be accompanied by the Delivery Instruction Slips when sent to the R&T agent - State True or False? |
| True |
| False |
| Q 2.A company may not declare a dividend even if there are profits - State True or False? |
| True |
| False |
| Q 3.A convertible debenture issue does not have to be credit-rated since it is going to be converted into shares. |
| True |
| False |
| Q4.Private placement of shares by a listed company is called a __ of shares and these shares are locked in for __. |
| special allotment, 2 year |
| preferential allotment, 1 year |
| preferential allotment, 3 year |
| special allotment, 3 year |
| Q5.A/An ___ is a method of issue of shares to the public where the money raised does not add to the equity of the company. |
| Offer for Sale |
| IPO |
| Rights Issue |
| All of the above |
| Q6.All issues made through the Book Built route have to be issued only as dematerialized shares - State True or False? |
| True |
| False |
| Q 7.In a book-built issue only the Retail investor can bid at the cut-off price - State True or False? |
| True |
| False |
| Q8.The KYC norms are optional formalities imposed by market participants to protect themselves - State True or False? |
| False |
| True |
| Q9.The Rematerialisation request has to be processed within _ days by the R&T agent. |
| 15 |
| 30 |
| 45 |
| 60 |
| Q 10. To be a valid request, the Demat Requisition form has to be routed through __. |
| Brokers |
| Banks |
| R&T agents |
| Depository Participants |