NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-13
Q 1. The investorís interface with the depository is through ___. |
the R&T agent |
the Issuer |
the Depository Participant |
Directly |
Q2.The shares can be dematerialized only at the time of public issue - State True or False? |
True |
False |
Q 3.When the Buy Back offer is through a tender, the offer for buyback shall remain open for a period of __ working days. |
7 |
10 |
15 |
30 |
Q 4.A fresh issue of shares results in _____. |
an increase in the share capital of the company |
a decrease in the share capital of the company |
no change in the share capital of the company |
None of the above |
Q 5. The two main stock exchanges in India are __. |
NSE and MCX-NX |
BSE and MCX-NX |
NSE and CSE |
BSE and NSE |
Q6.To register a Power of Attorney (PoA) in the books of R&T agents will require __. |
confirmation of the court |
personal verification of the attorney |
attestation by the attorney's bank |
scanning the signature of the attorney |
Q7.Bonds that provide the investor with the right to seek redemption from the issuer, prior to the maturity date, are called CALLABLE bonds - StateTrue or False? |
True |
False |
Q 8.The draft prospectus has to be approved by ____ to get the security listed on the stock exchange. |
the shareholders |
the clearinghouse of the exchange |
the Stock Exchange |
the brokers of the exchange |
Q9.The service requests of investors with respect to their Demat accounts are usually serviced electronically by the ___. |
R&T Agent |
Depositories |
Depository Participants (DPs) |
SEBI |
Q 10. Registering a Power of Attorney (PoA) by the R&T agent involves updating the details of the holder and the attorney in the R&T Books - State True or False? |
True |
False |