Online Mock Test- NISM Series II A Registrars to an Issue and Share Transfer Agents - Corporate NISM Exam Preparation

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

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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)

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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)


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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

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Who this course is 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.
  • 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

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