NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Certification Examination
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1. The denomination in which equity capital is issued is called_______.
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2. Debt capital has fixed ________.
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3. Companies prefer equity capital because it is less expensive. State TRUE or FALSE.
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4. The Authorised capital of the company can be raised if the company wants to increase the capital once it is fixed. State TRUE or FALSE.
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5. A 20% dividend declared on face value of Rs 10 and market price of Rs 120 translates into a dividend payout of Rs. _____.
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6. When market price goes up dividend yield ______.
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7. The price of at which rights shares are issued are decided by ________
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8. Retail investors usually participate in the equity of a company at its inception stage. State TRUE or FALSE.
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9. A company may not declare a dividend even if there are profits. State TRUE or FALSE.
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10. Warrants are usually issued along with _________.
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11. The non-convertible portion of a partly convertible debenture is ________ on maturity.
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12. The underlying stocks of a DR issue are held by a __________.
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13. Warrants have to be compulsorily exercised by the holder on the specified date. State TRUE or FALSE.
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14. Convertible debentures may be fully or partly converted into equity shares. State TRUE or FALSE.
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15. A sponsored DR issue has existing shareholders offering their shares for conversion into DRs. State TRUE or FALSE.
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16. Call and put options modify the _________ of the bond.
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17. The government uses ______________ to borrow for the short-term
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18. Fixed deposits raised by companies are unsecured but rated borrowings. State TRUE or FALSE.
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19. The corporate bond market is dominated by public issues of bonds. State TRUE or FALSE.
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20. The YTM of a bond is the yield that investors will earn on holding a bond to maturity. State TRUE or FALSE.
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21. The type of expenses that can be charged to a fund and the limit is decided by _______.
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22. Mutual funds have lower risks because of ________ .
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24. The unit capital of a fund is the number of units issued x NAV of the fund. State TRUE or FALSE.
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25. The funds of each scheme are maintained in a separate bank account. State TRUE or FALSE.
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26. The Apex regulator of the securities markets is ________.
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27. The RBI is responsible for the issue of __________.
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28. Insider trading is controlled by the regulations of __________.
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29. The IEPF is funded by unpaid dividends remaining unclaimed for at least_________.
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30. SEBI’s guidelines apply to government securities. State TRUE or FALSE.
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31. IRDA regulates the activities of the insurance industry only. State TRUE or FALSE.
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32. The protection of investor interest is a secondary objective of SEBI. State TRUE or FALSE.
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33. A company has to follow the guidelines laid down by _______ for the issue of capital.
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34. A ________ issue can be made only by a listed company.
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35. Only a listed company can make a public issue of shares. State TRUE or FALSE.
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36. SEBI’s regulation does not consider the financial performance of a company in specifying the eligibility norms for a public issue. State TRUE or FALSE.
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37. Privately placed shares are locked-in for ______.
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38. A QIP can be only made by a company that has been listed on a stock exchange for ________.
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39. A _______ issue of shares is made to existing share holders.
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40. A private placement of shares is not regulated by SEBI or the Companies Act. State TRUE or FALSE.
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