NISM Registrar to an Issue Share Transfer Agents Mock Test

NISM Registrar to an Issue & Share Transfer Agents Mock Test, available at $44.99, 6 quizzes, and has 4 subscribers.

You will learn about 1000+ Question Bank covering all RTA (Corp) Test Objectives, Learning Outcomes outlined by NISM Detail Explanations given for each correct answer to strengthen your preparation Knowledge Area from where the question is coming also given at end of each test to strengthen further the weak area Detail of additional learning resources available for this module also given under welcome message. This course is ideal for individuals who are The examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: ? dealing or interacting with the investors or issuers; ? dealing, collecting or processing applications from the applicants; ? dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; ? handling redressal of investors’ grievances; ? responsible for internal control and risk management; ? responsible for any compliance of securities laws; ? responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993. or Associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations or R&T agents or Stock Market Professionals or Professionals working with Depositories and Participants or Students or MBA Finance Students or Depositories and Participants or Share Transfer Agents or Professionals Registrar and Transfer Agency It is particularly useful for The examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: ? dealing or interacting with the investors or issuers; ? dealing, collecting or processing applications from the applicants; ? dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; ? handling redressal of investors’ grievances; ? responsible for internal control and risk management; ? responsible for any compliance of securities laws; ? responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993. or Associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations or R&T agents or Stock Market Professionals or Professionals working with Depositories and Participants or Students or MBA Finance Students or Depositories and Participants or Share Transfer Agents or Professionals Registrar and Transfer Agency.

Enroll now: NISM Registrar to an Issue & Share Transfer Agents Mock Test

Summary

Title: NISM Registrar to an Issue & Share Transfer Agents Mock Test

Price: $44.99

Number of Quizzes: 6

Number of Published Quizzes: 6

Number of Curriculum Items: 6

Number of Published Curriculum Objects: 6

Number of Practice Tests: 6

Number of Published Practice Tests: 6

Original Price: ?999

Quality Status: approved

Status: Live

What You Will Learn

1000+ Question Bank covering all RTA (Corp) Test Objectives, Learning Outcomes outlined by NISM

Detail Explanations given for each correct answer to strengthen your preparation

Knowledge Area from where the question is coming also given at end of each test to strengthen further the weak area

Detail of additional learning resources available for this module also given under welcome message.

Who Should Attend

The examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: ? dealing or interacting with the investors or issuers; ? dealing, collecting or processing applications from the applicants; ? dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; ? handling redressal of investors’ grievances; ? responsible for internal control and risk management; ? responsible for any compliance of securities laws; ? responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993.

Associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations

R&T agents

Stock Market Professionals

Professionals working with Depositories and Participants

Students

MBA Finance Students

Depositories and Participants

Share Transfer Agents

Professionals Registrar and Transfer Agency

Target Audiences

The examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: ? dealing or interacting with the investors or issuers; ? dealing, collecting or processing applications from the applicants; ? dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; ? handling redressal of investors’ grievances; ? responsible for internal control and risk management; ? responsible for any compliance of securities laws; ? responsible for any other activity performed under the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993.

Associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations

R&T agents

Stock Market Professionals

Professionals working with Depositories and Participants

Students

MBA Finance Students

Depositories and Participants

Share Transfer Agents

Professionals Registrar and Transfer Agency

NISM Series II A Registrars to an Issue and Share Transfer Agents – Corporate Exam Prep Mock Test  with 1000+ Question

ABOUT THIS MOCK TEST

This NISM Exam Prep mock test aims to test your conceptual understanding of all test objectives & learning outcomes outlined by NISM for NISM Series II A Registrars to an Issue and Share Transfer Agents – Corporate Exam. This Mock Test is part of our Printed Exam Prep Guide Book (With 1750+ Question Bank along with additional learning resources)

BOOK NAME: NISM Series II A Registrars to an Issue and Share Transfer Agents – Corporate Exam Preparation Guide with 1750+ Question Bank

The printed book is available on all major eCom platforms, however if you get it directly from publisher it available with FREE SHIPPING Offer. (Visit Author’s Website GurukulOnRoad for more information)

NISM TEST OBJECTIVES, LEARNING OUTCOMES, & KNOWLEDGE AREA COVERED ON THIS MOCK TEST

1. Introduction to Securities

Concept of Equity and Debt

Features of Debt Capital and Benefits to Debt Investors

Features of Equity Capital and Benefits to Equity Investors

Hybrid Structures

2. Characteristics of Equity Shares

Corporate Actions

Equity Terminology

Investors in equity shares

Reduction of Share Capital & Preference Shares

Rights Issue of Shares & Preferential Issue

Rights of a Shareholder

Risks in Equity Investing

3. Characteristics of Debt Securities

Classification of Debt Market

Credit Rating

Features of Debt Security

Market Value & Yield from Debt Instruments

Money Market Instruments

Types of Debt Securities

4. Characteristics of Other Securities

Alternate Investment Funds (AIFs) & Corporate FD

Convertible Debentures

Depository Receipts

Exchange Traded Funds and Index Funds

Foreign Currency Convertible Bonds

Investment Trusts

Warrants

5. Basics of Mutual Funds

Advantages of Mutual Funds

Assets under Management (AUM)

Collective Investment Vehicle with proportionate ownership

Net Assets

Open Ended and Close Ended Mutual Funds

6. SEBI – Role and Regulations

Code of Conduct for RTAs

Investor Education and Protection Fund (IEPF) Authority

SEBI (Depositories and Participants) Regulations, 2018

SEBI (Intermediaries) Regulations, 2008

SEBI Regulations for Registrars and Transfer Agents

SEBI Regulations specifically aimed at Investor Protection

SEC Act, 1992 and Role of SEBI

7. Public Offer of Securities

Buy Back of Securities

Eligibility for Initial Public Offer of Shares

Further Public Offer

Initial Public Offer

Issuing Equity Capital

Public Offer of Shares

Reservations

8. Modes of allotment of shares other than Public Offers

Conversion of Convertible Debentures/Bonds into shares

Employee Stock Options (ESOPs)

Private Placement of Shares

Qualified Institutions Placement

Rights Issue

9. Processes related to Public Offering of Shares

Green Shoe Option

IPO by SME

Methods of Making a Public Issue of Shares

Post-Issue Work

Pre-issue Work

Red Herring Prospectus

Terms and Concepts in Public Issue of Shares

Underwriting

10. Roles and Responsibilities in a Public Issue

ABSA

Registrar and Transfer Agents

Sponsor Bank & Bankers to the Issue

UPI Mechanism

11. Depository Services

Constituents of the Depository System

Dematerialisation

Investor’s Interface with the Depository

12. Processes Related to Depositories

Beneficial Owner Reporting

Corporate Actions

Crediting shares to IEPF Account

Dematerialisation of Securities

Reconciliation

Rematerialisation of Securities

Trading and Settlement

13. Investor Interface with the R&T Agent

Annual General Meeting

E Voting

Issue of Duplicate Certificate for Securities

Recording Change in Investor Information

Responsibilities of RTA during Annual General Meetings (AGM)

SOP for Change of Address

SOP for Transmission of securities

Stop Transfers

Transfer of Securities

Transmission

14. Secondary Market Transactions

Listing of Securities

Participants in the Stock Markets

SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 (LODR)

Stock markets

15. Client Servicing

Investor in context of RTA organisation & First Time Right FTR

Principles of Client Servicing

Service etiquettes of RTA organisations in Client Servicing

Course Curriculum

Instructors

P Anshu
Banking Financial Services & Insurance (BFSI) Domain Trainer

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