NISM Series II A: Registrars and Transfer Agents (Corporate) Certification Exam
23rd Mar 2024
Myonlineprep
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Understanding the NISM Series II A: Registrars and Transfer Agents (Corporate) Certification Exam
The NISM Series II A: Registrars and Transfer Agents (Corporate) Certification Exam is a crucial benchmark for individuals working within registrars and share transfer for corporate sectors. This exam ensures that professionals have the necessary foundational knowledge to manage and execute tasks related to securities issuance and transfer for listed companies efficiently.
Why Take the NISM Series II A: R&T Agents – Corporate Exam?
Achieving a passing score on the NISM Series II A: Registrars and Transfer Agents (Corporate) Certification Exam demonstrates a professional's comprehensive understanding of the securities market, the pivotal role and functions of Registrars and Transfer Agents, and the regulatory landscape in which they operate in India. This expertise is vital for effectively dealing with investor interactions, application processing, corporate actions management, grievance redressal, compliance with securities laws, and more.
NISM Series II A: R&T Agents (Corporate): Objectives
The exam aims to ensure candidates:
- Understand the fundamentals of securities and securities markets.
- Are familiar with the roles and functions of Registrars and Transfer Agents in the corporate securities issuance and transaction processes.
- Have a solid grasp of the regulatory framework governing Registrars and Transfer Agents in India.
Important Information
- Software Proficiency: Test centers provide workstations equipped with Microsoft Excel or OpenOffice Calc. Candidates should be proficient in these software programs for numerical computations.
- Sample Questions: The book includes sample caselets and multiple-choice questions for reference. The actual examination may have a varying level of difficulty.
To learn more and register for the NISM Series II-A: Registrars to an Issue and Share Transfer Agents – Corporate Certification Examination, please visit www.nism.ac.in.
How to Register for the NISM Series II A: R&T Agents (Corporate)
Prospective candidates can register for the NISM Series II A: Registrars and Transfer Agents (Corporate) Certification Exam by visiting the official NISM website at www.nism.ac.in. The site provides detailed instructions for registration.
Syllabus Overview and Weightages for the NISM Series II A: R&T Agents (Corporate) Certification Exam
NISM Series II A: R&T Agents (Corporate): Chapterwise Weightage
| Chapter No. | Chapter Name | Weightage (%) | Attempt NISM Mock Tests |
|---|---|---|---|
| 1 | Introduction to Securities | 3 | Click Here |
| 2 | Characteristics of Equity Shares | 6 | Click Here |
| 3 | Characteristics of Debt Securities | 6 | Click Here |
| 4 | Characteristics of Other Securities | 3 | Click Here |
| 5 | Basics of Mutual Funds | 3 | Click Here |
| 6 | SEBI- Role and Regulations | 14 | Click Here |
| 7 | Public Offer of Securities | 5 | Click Here |
| 8 | Modes of allotment of shares other than Public Offers | 2 | Click Here |
| 9 | Processes related to Public Offering of shares | 8 | Click Here |
| 10 | Roles and Responsibilities in a Public Issue | 6 | Click Here |
| 11 | Depository Services | 6 | Click Here |
| 12 | Processes related to Depositories | 16 | Click Here |
| 13 | Investor interface with the R&T Agent | 10 | Click Here |
| 14 | Secondary Market Transactions | 5 | Click Here |
| 15 | Client Servicing | 7 | Click Here |
Exam Pattern and Marks for the NISM Series II A: R&T Agents (Corporate) Certification Exam
| Aspect | Details |
|---|---|
| Number of Questions | 100 |
| Question Type | 1 mark per question |
| Total Marks | 100 marks |
| Duration | 2 hours |
| Passing Score | 50% (50 marks out of 100) |
| Negative Marking | 25% deduction for each incorrect answer |
Syllbaus of the NISM Series II A: R&T Agents (Corporate) Certification Exam
| Unit No. | Chapter Name | Topic Name |
|---|---|---|
| Chapter 1 | Introduction to Securities | Introduction to Equity and Debt |
| Features of Equity Capital and Benefits to Equity Investors | ||
| Features of Debt Capital and Benefits to Debt Investors | ||
| Hybrid Structures | ||
| Chapter 2 | Characteristics of Equity Shares | Investors in Equity Shares |
| Rights of a Shareholder | ||
| Risks in Equity Investing | ||
| Equity Terminology | ||
| Corporate Actions | ||
| Reduction of Share Capital | ||
| Preference Shares | ||
| Rights Issue of Shares | ||
| Preferential Issue | ||
| Chapter 3 | Characteristics of Debt Securities | Features of a Debt Security |
| Market Value of a Debt Security | ||
| Yield from Debt Instruments | ||
| Types of Debt Securities | ||
| Classification of Debt Market | ||
| Credit Rating | ||
| Money Market Instruments | ||
| Chapter 4 | Characteristics of Other Securities | Warrants |
| Convertible Debentures | ||
| Depository Receipts | ||
| Foreign Currency Convertible Bonds | ||
| Exchange Traded Funds and Index Funds | ||
| Investment Trusts | ||
| Alternate Investment Funds (AIFs) | ||
| Corporate Fixed Deposits | ||
| Chapter 5 | Basics of Mutual Funds | Introduction to Mutual Funds |
| Advantages of Mutual Funds | ||
| Open Ended and Close Ended Mutual Funds | ||
| Assets under Management (AUM) | ||
| Net Assets | ||
| Chapter 6 | SEBI - Role and Regulations | Securities and Exchange Board of India Act, 1992 and Role of SEBI |
| SEBI Regulations specifically aimed at Investor Protection | ||
| SEBI (Prohibition of Insider Trading) Regulations, 2015 | ||
| SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003 | ||
| Investor Education and Protection Fund (IEPF) Authority | ||
| SEBI Regulations for Registrars and Transfer Agents | ||
| SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993 | ||
| SEBI (Intermediaries) Regulations, 2008 | ||
| SEBI (Depositories and Participants) Regulations, 2018 | ||
| Investor Education and Protection Fund (IEPF) Authority | ||
| Chapter 7 | Public Offer of Securities | Issuing Equity Capital |
| Public Offer of Shares | ||
| Reservations | ||
| Initial Public Offer | ||
| Eligibility for Initial Public Offer of Shares | ||
| Further Public Offer | ||
| Buy Back of Securities | ||
| Chapter 8 | Modes of Allotment of Shares Other than Public Offers | Private Placement of Shares |
| Qualified Institutions Placement | ||
| Rights Issue | ||
| Employee Stock Options (ESOPs) | ||
| Conversion of Convertible Debentures/Bonds into Shares | ||
| Chapter 9 | Process Related to Public Offering of Shares | Pre-Issue Work |
| Post-Issue Work | ||
| Terms and Concepts in Public Issue of Shares | ||
| Prospectus | ||
| Red Herring Prospectus | ||
| Underwriting | ||
| Green Shoe Option | ||
| Methods of Making a Public Issue of Shares | ||
| Initial Public Offer (IPO) by Small and Medium Enterprises (SME) | ||
| Chapter 10 | Roles and Responsibilities in a Public Issue | Registrar and Transfer Agents |
| Sponsor Bank | ||
| Bankers to the Issue | ||
| Brokers to the Issue/Syndicate Members/Designated Intermediaries | ||
| Chapter 11 | Depository Services | Dematerialisation |
| Constituents of the Depository System | ||
| Investor’s Interface with the Depository | ||
| Chapter 12 | Processes Related to Depositories | Dematerialisation of Securities |
| Rematerialisation of Securities | ||
| Trading and Settlement | ||
| Beneficial Owner Reporting | ||
| Corporate Actions | ||
| Reconciliation | ||
| Crediting Shares to IEPF Account | ||
| Chapter 13 | Investor Interface with the R&T Agent | Transfer of Securities |
| Recording Change in Investor Information | ||
| Issue of Duplicate Certificate for Securities | ||
| Stop Transfers | ||
| Transmission | ||
| Timelines Pertaining to Investor Services Provided by RTA | ||
| Online Processing of Investor Service Requests and Complaints by RTAs | ||
| Annual General Meeting | ||
| E Voting | ||
| Responsibilities of RTA during Annual General Meetings (AGM) | ||
| Standard Operating Procedure for Change of Address | ||
| Standard Operating Procedure for Issuance of Duplicate Share Certificate | ||
| Chapter 14 | Secondary Market Transaction | Participants in the Stock Markets |
| Listing of Securities | ||
| SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 (LODR) | ||
| Chapter 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 |
Mock Test for the NISM Series II A: R&T Agents (Corporate)
Candidates are encouraged to take mock tests available on the Myonlineprep website to prepare. These mock tests simulate the exam environment and are beneficial for candidates to familiarize themselves with the question format.
Download Study Material for the NISM Series II A: R&T Agents (Corporate)
Detailed study materials that delve into each syllabus chapter are available for candidates aiming to enhance their exam preparation. These resources offer in-depth insights, aiding in a thorough understanding of the topics.
NISM Series II A: R&T Agents (Corporate): FAQs
Q1: What is the passing score for the NISM Series II-A: Registrars to an Issue and Share Transfer Agents – Corporate exam?
A1: The passing score is 50%, which means candidates need to secure at least 50 marks out of 100.
Q2: Is there negative marking in the NISM Series II-A: Registrars to an Issue and Share Transfer Agents – Corporate exam?
A2: Yes, there is a 25% deduction for each incorrect answer.
Q3: What topics are covered in the NISM Series II-A: Registrars to an Issue and Share Transfer Agents – Corporate exam?
A3: The exam covers topics related to securities basics, equity and debt securities, mutual funds, SEBI regulations, public offerings, depository services, and investor interfaces.
Q4: How long is the NISM Series II-A: Registrars to an Issue and Share Transfer Agents – Corporate exam?
A4: The exam duration is 2 hours.
Q5: What are the software tools provided at the test centers for the NISM Series II-A: Registrars to an Issue and Share Transfer Agents – Corporate exam?
A5: The test centers are equipped with Microsoft Excel or OpenOffice Calc for numerical computations. Candidates should be well-versed in using these tools.
23rd Mar 2024
Myonlineprep
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