NISM Series II A - Registrars to an Issue and Share Transfer Agents (Corp) Paper 16
| Q1.DP's require supporting documents for effecting investor service requirements - State True or False? |
| True |
| False |
| Q 2.Deep discount bonds are ___ whereas Treasury bills are ____ instruments. |
| Government, Private |
| Not credit rated, Credit Rated |
| Long Term, Short Term |
| Short Term. Long Term |
| Q 3.When a transaction is done off-market, the cash settlement is done ____. |
| through the clearinghouse |
| through the stock exchange |
| by the buyer directly to the seller |
| by the depository participant |
| Q4.___ stands guarantee for trades done on the stock exchange. |
| Stock Exchange |
| Stock Broker |
| Clearing corporation |
| SEBI |
| Q5.A clearing member account is an account through which the settlement of off-market trades is done - State True or False? |
| True |
| False |
| Q6.All the information on beneficial owners is provided to the R&T agent by the Depository Participant - State True or False? |
| True |
| False |
| Q7.Bonds are segmented as long and short term based on their ___. |
| coupons |
| discounting factor |
| term to maturity |
| None of the above |
| Q8.Companies prefer private placement because it gives cost and time benefits - State True or False? |
| True |
| False |
| Q9.In a public offer of shares, the due diligence certificate is signed by ___. |
| Lead Manager |
| SEBI |
| Bankers to the Issue |
| Issuer |
| Q10.Powers to regulate stock exchange were given to SEBI by___. |
| FEMA |
| RBI |
| SARA |
| IRDA |