RTA Corporate Certification Exam Pattern | NISM Series (II-A)

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NISM Series (II-A) RTA Corporate Certification Examination Pattern

NISM RTA Corporate Exam Pattern

NISM Series (II-A) RTA Corporate Certification Examination Pattern
Exam FeesRs. 1500 +
Test Duration2 Hours (120 Minutes)
Total Questions100 Questions
Maximum Marks100 marks
Passing Marks50% (50 Marks)
Negative Marking– 25% of the marks assigned to the question

NISM RTA Corporate Exam Syllabus Outline

UnitsChapter Name
Unit 1Introduction to Securities
Unit 2Characteristics of Equities
Unit 3Characteristics of Other Securities
Unit 4Characteristics of Debt Instruments
Unit 5Basics of Mutual Funds
Unit 6SEBI’s Role and Relevant Regulations
Unit 7Public Offer of Securities -Features
Unit 8Private Placement of Shares
Unit 9Public Offer of Securities -Processes
Unit 11Depository Services
Unit 12Process related to Depositories
Unit 13Investor Servicing Processes
Unit 14Role of stock exchanges and other participants in the secondary market

1 / 10

All application forms have to be accompanied by the abridged prospectus.

2 / 10

All public issues have to get a credit rating done.

3 / 10

Demat credit of shares or unblocking of funds should be completed within 6 working days of the closure of the issue.

4 / 10

In a fixed price issue the price of the shares is decided according to the formula defined by SEBI.

5 / 10

SEBI’s rules for underwriting and minimum subscription does not apply to Offers for sale.

6 / 10

A company has to refund the monies collected in a public issue if the issue does not garner _______ subscription in the issue.

7 / 10

A company must make a minimum public issue of __________ of the post issue capital.

8 / 10

The due diligence certificate is signed by Lead Manager.

9 / 10

There is a __________ lock‐in on the sale of shares allotted to a QIB in a preferential allotment.

10 / 10

A 3:4 rights issue of shares means the investor is entitled to

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