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NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate

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NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate

The NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate certification from the National Institute of Securities Markets (NISM) certifies your skills and knowledge to perform the roles and responsibilities of the Registrars to an Issue or as the Share Transfer Agents (RTAs) for listed companies in Indian stock exchange. The certification is required to be engaged or employed in Registrars or Share Transfer Agents. The certification assess the processes and regulations to manage the issue and transfer of securities, including various corporate actions which includes issue of dividends, refunds, bonus issues and repurchase of securities etc. The certification is reviewed annually and updated version is available usually by November of every year.
Why is NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate important?

  • Recognized certificate well accepted by financial services industry in India.
  • Certifies your knowledge of SEBI regulations for the role of RTAs at Registrars or Share Transfer Agents.
  • Attests to your skills of various corporate actions and their processing.
  • Helps professionals gain expertise in managing records of securities ownership.
  • Validates your understanding of of the issuance and transfer of securities.
  • Focuses on the skills needed for addressing the investor grievances.
  • Boosts your employability in roles in the securities market.
  • Verifies your capabilities for regulatory audits and reviews by authorities.
  • Enhances your professional skills to ensure effective and efficient management of corporate actions like dividends and stock splits.

Who should take the NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Exam?

  • Registrar to an Issue
  • Share Transfer Agent
  • Corporate Compliance Officer
  • Securities Market Professional
  • Investor Relations Manager
  • Back Office Executive in Capital Markets
  • Custodian Services Executive
  • Corporate Actions Manager
  • Regulatory Compliance Professional
  • Operations Manager in Financial Institutions

NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Certification Course Outline
The NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Certification covers the following topics -

Module 1. Introduction to Securities
Module 2. Characteristics of Equity Shares
Module 3. Characteristics of Debt Securities
Module 4. Characteristics of Other Securities
Module 5. Basics of Mutual Funds
Module 6. SEBI – Role and Regulations
Module 7. Public Offer of Securities
Module 8. Modes of allotment of shares other than Public Offers
Module 9. Processes related to Public Offering of Shares
Module 10. Roles and Responsibilities in a Public Issue
Module 11. Depository Services
Module 12. Processes Related to Depositories
Module 13. Investor Interface with the R&T Agent
Module 14. Secondary Market Transactions
Module 15. Client Servicing


NISM Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate FAQs

The Examination will consist of 100 questions of 1 mark each adding to 100 marks. The examination should be completed in 2 hours. There shall be negative marking of 25% of the marks assigned to a question. The passing score for the examination will be 50 marks.

Yes testprep training offers free practice tests for the NISM-Series-II-A: Registrars and Transfer Agents (Corporate) exam which can be used before the final purchase for complete test.

After the completion of your exam, the points you earned on each question are totaled and then compared with the cut score to determine whether the result is pass or fail.

Yes, Testprep Training offers email support for any certification related query while you are preparing for the exam using our practice exams. Your query will be handled by experts in due course.

Revision of NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents- Corporate Certification Examination w.e.f June 1, 2019 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 corporate R&T function, in order to enable better quality investor service, operational process efficiency and risk controls.

There will be 100 questions which have to be completed in 120 minutes.

The following persons can take NISM-Series-II-A: RTA – Corporate Certification Examination: Associated persons employed or engaged or to be employed or engaged by Registrars to an Issue and Share Transfer Agents for 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.

The fees for NISM Series II A: Registrars and Transfer Agents (Corporate) Exam is Rupees One Thousand Five Hundred only (Rs. 1500/-).

The candidate has to secure 50% in order to pass the exam.

There are no prerequisites required for NISM-Series-II-A: Registrars and Transfer Agents (Corporate) Exam.

Yes we offer nearly 50% discount for the order more than 10 products at a time. You can reach the testprep training Helpdesk for more details. The member of support staff will respond as soon as possible.

On successful completion of the examination the candidate should: • Know the basics of securities and securities markets • Understand broadly the role and functions of the RTAs in the corporate securities issuance and transaction process. • Know the regulatory environment in which the RTAs operate in India.

There will be 100 questions in the exam.

To renew your current certificate, you need to appear for NISM CPE for Registrar to an Issue and Share Transfer Agents – Corporate or successfully pass the NISM RTA – Corporate Certification Examination before the expiry of such certificate.

The certificate will be valid for 3 years from the date of the examination.

TestprepTraining provides unique sets of questions that will help you check your skills and knowledge in performing data analysis on Excel. These practice questions will help you increase your knowledge for better preparation of exam.

Yes our experts frequently blog about the tips and tricks for exam preparation.

Once purchased, the practice exams can be access for the lifetime.

There will only be multiple-choice and multi-response questions covered in the exam.

Yes, we offer a 100% unconditional money back guarantee. In case you are not able to clear the exam for then you can request for the full refund. Please note that we only refund the cost of product purchased from Testprep Training and not the NISM-Series-II-A: Registrars and Transfer Agents (Corporate) exam cost.