NISM SERIES II A - REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS (CORP) EXAM-7
Q1.The holding in the register of members along with the pending dematerialization and rematerialization requests should be equal to the holding in the ____ along with the pending dematerialization and rematerialization requests. |
Depository |
Depository Participant A/c |
Stock Broker A/c |
SEBI A/c |
Q 2. The portion of the issued capital that has been fully subscribed and paid by the allottees in the __ of the company. |
Subscribed Capital |
Paid Up Capital |
Allotted Capital |
Authorized Capital |
Q3.The R&T agent is required to give all information and cooperation during an inspection by SEBI - State True or False? |
True |
False |
Q4.The SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 regulations govern the constitution, capital adequacy, _ & _, inspection and reporting norms that the R&T agent has to abide by. |
obligations and rights |
obligations & responsibilities |
rights and responsibilities |
obligations and rewards |
Q5.When shares are converted from demat form into physical form, it is called as ____. |
Physicalisation |
Certification |
Dematerialization |
Rematerialization |
Q6.___ do not directly participate in the management of the company? |
Promoters |
Venture Capitalist |
Larger shareholders |
Public investors |
Q 7.A simple complaint from an investor cannot be enough ground for SEBI to inspect the books of R&T agents - State True or False? |
True |
False |
Q 8. As per the SEBI (Intermediaries) Regulations, 2008 - one common requirement which applies to all intermediaries is ___. |
a common procedure for action in case of default |
a common procedure for the collection of information from Govt. websites |
a common procedure for filing complaints |
a common procedure for ordering / tendering office supplies |
Q 9.As per SEBI (Intermediaries) Regulations- 2008. the registration granted to intermediaries has been made permanent subject to the compliance of the SEBI Act, regulations, updation of relevant disclosures, and payment of fees - State True or False? |
True |
False |
Q10.As per SEBI regulations - The certificate granted to an intermediary CANNOT be revoked if it fails to comply with the requirement of the regulations or any other guidelines issued from time to time - State True or False? |
True |
False |