NISM Series II-B (RTA Mutual Fund) Practice Questions - NISM-Series-II-B Registrars and Transfer Agents (Mutual Fund) Certification Examination Exam - NISM Series II-B (RTA Mutual Fund) Practice Questions - NISM-Series-II-B Registrars and Transfer Agents (Mutual Fund) Certification Examination Exam

Question 1

Which of the following describes the primary difference between the primary market and the secondary market?

Securities are traded only among investors in the primary market, while issuers sell directly in the secondary market. The primary market deals with the first-time issuance of securities by companies, whereas the secondary market deals with trading of already issued securities. Only equity shares are traded in the primary market, while debt instruments are traded in the secondary market. The secondary market has no regulatory oversight, whereas the primary market is regulated by SEBI.

Correct Answer:

The primary market deals with the first-time issuance of securities by companies, whereas the secondary market deals with trading of already issued securities.

Question 2

What is the primary role of a Clearing Corporation in the securities market settlement process?

To act as a central counterparty, guaranteeing the settlement of all executed trades. To on-board clients and perform their KYC verification. To provide trading terminals and maintain order matching engines. To hold the physical share certificates of listed companies in safe custody.

Correct Answer:

To act as a central counterparty, guaranteeing the settlement of all executed trades.

Question 3

The process of converting physical security certificates into electronic balances in an investor's depository account is known as:

Rematerialization Dematerialization Securitization Transmutation

Correct Answer:

Dematerialization

Question 4

Stock exchanges perform which of the following vital functions for retail and institutional investors?

They guarantee that every investor will earn a profit on their equity investments. They provide a continuous, liquid, and transparent platform for price discovery and trade execution. They manage the individual mutual fund portfolios of retail investors. They act as the main bankers for distributing retail loan products.

Correct Answer:

They provide a continuous, liquid, and transparent platform for price discovery and trade execution.

Question 5

Which of the following is a key right enjoyed by equity shareholders of a listed company in India?

The right to receive fixed, predetermined interest payments monthly. The right to vote on key corporate resolutions and participate in the growth of the company. The right to demand refund of capital from the company at any time before liquidation. The right of priority in payment over creditors and depositors during winding up.

Correct Answer:

The right to vote on key corporate resolutions and participate in the growth of the company.

Question 1

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Prepare with the NISM Series II-B (RTA Mutual Fund) Practice Questions - NISM-Series-II-B Registrars and Transfer Agents (Mutual Fund) Certification Examination Exam practice quiz. This question bank includes 100 questions covering fund, mutual, sebi, primary, and market. Use it to review important concepts, identify knowledge gaps, and build confidence for the related exam, course, or assessment.

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NISM Series II-B (RTA Mutual Fund) Practice Questions - NISM-Series-II-B Registrars and Transfer Agents (Mutual Fund) Certification Examination Exam

This practice set contains 100 questions from the matching question bank and focuses on fund, mutual, sebi, primary, and market. Work through each question carefully, review the provided solutions, and revisit topics that need more study before your next attempt.

This is an independent study resource intended for practice and review; it is not an official examination or an endorsement by any organization named in the title.

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NISM Series II-B (RTA Mutual Fund) Practice Questions - NISM-Series-II-B Registrars and Transfer Agents (Mutual Fund) Certification Examination Exam

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