Online Mock Test NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents –Mutual Funds Exam Preparation with 1200 Question Bank

NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents –Mutual Funds Exam Prep Online Mock Test with 1200 Question Bank

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NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents –Mutual Funds Exam Prep Online Mock Test

This NISM Exam Prep mock test aims to test your conceptual understanding of all test objectives & learning outcomes outlined by NISM-Series-II-B: Registrars to an Issue and Share Transfer Agents –Mutual Funds Exam.

This Mock Test is part of our Printed Exam Prep Guide Book (With 1700+ Question Bank along with additional learning resources 5 Mastery Assessment Test)

BOOK NAME: NISM Series II A Registrars to an Issue and Share Transfer Agents - Mutual Funds Exam Preparation Guide with 1700+ Question Bank

The printed book & eBook also 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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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

Characteristics of Equity Shares

Corporate Actions

Equity Terminology

Investors in equity shares

Preference Shares

Rights Issue of Shares & Preferential Issue

Rights of a Shareholder

Risks in Equity Investing

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Characteristics of Debt Securities

Classification of Debt Market

Credit Rating

Features of a Debt Security

Market Value & Yield from Debt Instruments

Types of Debt Securities

Unrated Bonds & Money Market Instruments

Characteristics of Other Securities

Convertible Debentures

Depository Receipts

Exchange Traded Funds and Index Funds

Foreign Currency Convertible Bonds

Investment Trusts


SEBI - Role and Regulations

Investor Education and Protection Fund (IEPF)

SEBI Act, 1992 and Role of SEBI

SEBI Regulations specifically aimed at Investor Protection

Basics of Registrars and Transfer Agents

FIP to AA & & Industry Overview

Importance and Need for RTA


Qualified Registrar and Transfer Agents (QRTAs)

Role of Registrar and Transfer Agents (RTAs)

RTA and Depository Interface

Registrar and Transfer Agents Regulations

Code of Conduct for RTAs

Cyber Security and Cyber Resilience Framework for QRTAs

Enhanced Monitoring Guidelines for QRTAs

Guidelines under SEBI (LODR) Regulations 2015

SEBI RTA Regulations 1993

Systems Audit Framework

Ultimate Beneficial Owner & RTA inter-operable Platform

Basics of Mutual Funds

Advantages of Mutual Funds

Collective Investment Vehicle with proportionate ownership

Net Assets

Open Ended and Close Ended Mutual Funds

Total Expense Ratio

Mutual Fund Structure and Constituents

Constituents and Service Providers

Registrar and Transfer Agents

Regulation of Mutual Funds

Structure of a Mutual Fund

Mutual Fund Products

Features of Mutual Fund Products

Product Creation Process

Product Differentiation

Product Labelling

Strategy-based Classification

Types of Mutual Fund Plans

Types of Mutual Funds

Operational Concepts of Mutual Funds

Applicable NAV, Time Stamping and Risk Control

Computation of Net Asset Value (NAV)

Cut Off Time

Investing in Mutual Funds through Stock Exchanges

New Fund Offer (NFO)

Reporting Requirements to CBDT

Role of RTA in Tax Computation

Segregated Portfolios

Investors in Mutual Funds

FATCA and CRS Compliance & Investor Charter

Individual Investors

Institutional Investors

Investor Information and Documentations

Know Your Customer (KYC) Norms

Power of Attorney & Nomination

Banking Operations in Mutual Funds

Bank Accounts maintained by Mutual Funds

Electronic Clearing Mechanisms

Payment Mechanism

Role of RTAs in Banking Operations

Third Party Verification (TPV) and Payment to Valid Account

Financial Transactions

Account Statements for Investments

Application Form Vs Transaction Slip

Purchase Transactions


Role of RTA in Commission Payment


Systematic Transactions

Turn-around-times for various Financial Transactions with Mutual Funds

Non-Financial Transactions

Change in Corporate Name or Status

Change in Option

Change in/ Updation of Other Details

Change of Address

Change of Bank Details

Changes in Investor Details

Investor Grievance Redressal

Minor becoming Major & Registration of POA

Pledge and Lien Marking

Registration of Nominee

Timelines pertaining to various services provided by RTAs

Transmission of Units

Value Added services by RTAs

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Who this course is for:

  • The examination seeks to create a common minimum knowledge benchmark for persons working in Registrars to an Issue and Share Transfer Agents (R&T Agent) organizations in the mutual fund R&T function, in order to enable better quality investor service, operational process efficiency and risk controls.
  • Mutual Fund Professionals
  • Compliance Professionals in Mutual Fund Industry
  • Registrars to an Issue and Share Transfer Agents
  • RTAs
  • Professionals in R&T function
  • MBA Finance Students
  • Students
  • Employee of Mutual Fund

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