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Series II-A · Beginner

RTA, Corporate

Knowledge benchmark for people in the corporate registrar and transfer agent function.

Educational content only. VIA Capital does not provide buy/sell calls, tips, or personalized advice. Always do your own research.

Questions

100

Duration

120 min

Pass mark

50%

Negative marking

None

Exam fee

₹1,500 + payment gateway charges

Validity

3 years

Why this certification matters

Knowledge benchmark for people in the corporate registrar and transfer agent function.

Who should take it: Staff of registrars and share transfer agents handling corporate work.

How VIA Capital preparation works

One clear path. Built for students, and built for discipline.

  1. Step 1

    Read

    Slide through the study book chapter by chapter.

  2. Step 2

    Practise

    Chapter questions with answer and explanation.

  3. Step 3

    Chapter tests

    Beginner and advanced tests for each chapter.

  4. Step 4

    Full mock sets

    100-question papers in a real exam screen.

  5. Step 5

    Review

    See every mistake and why, then improve.

Why prepare with VIA Capital

Student first

Simple screens, small steps, no clutter.

Every answer explained

If you get one wrong, you learn why.

Help on every question

Report anything confusing, our team fixes it.

Honest

Independent practice. We never claim to be NISM or promise a pass.

Practice pass · NISM Series II-A

Everything you need to prepare, in one pass

  • Digital study book, read chapter by chapter
  • Chapter-wise questions to understand every chapter
  • Chapter tests, beginner and advanced
  • Full mock sets as questions are added
  • Answer and explanation for every question
  • Real exam screen with timer and question palette

Why we charge a small amount

This is not the NISM exam fee. It helps us run the platform: our research team writing and checking questions, keeping explanations accurate, and the technology behind the study book and exam screen.

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One simple package

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11 days access · one series · incl. taxes

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The official NISM exam fee is paid separately to NISM.

Where it takes you

Covers the registrar and share transfer agent role for company securities.

RTA staff (corporate)

Roles are common examples. Whether a certification is required for a role depends on SEBI rules and the employer; confirm on nism.ac.in.

Full syllabus · 15 chapters

Matches official NISM curriculum · checked 30 September 2026
  1. 1Chapter 1Introduction to Securities
    1. 1.1Introduction to Equity and Debt
    2. 1.2Features of Equity Capital and Benefits to Equity Investors
    3. 1.3Features of Debt Capital and Benefits to Debt Investors
    4. 1.4Hybrid Structures
  2. 2Chapter 2Characteristics of Equity Shares
    1. 2.1Investors in Equity Shares
    2. 2.2Rights of a Shareholder
    3. 2.3Risks in Equity Investing
    4. 2.4Equity Terminology
    5. 2.5Corporate Actions
    6. 2.6Reduction of Share Capital
    7. 2.7Preference Shares
    8. 2.8Rights Issue of Shares
    9. 2.9Preferential Issue
  3. 3Chapter 3Characteristics of Debt Securities
    1. 3.1Features of a Debt Security
    2. 3.2Market Value of a Debt security
    3. 3.3Yield from Debt Instruments
    4. 3.4Types of Debt Securities
    5. 3.5Classification of Debt Market
    6. 3.6Credit Rating
    7. 3.7Money Market Instruments
  4. 4Chapter 4Characteristics of Other Securities
    1. 4.1Warrants
    2. 4.2Convertible Debentures
    3. 4.3Depository Receipts
    4. 4.4Foreign Currency Convertible Bond (FCCB)
    5. 4.5Exchange Traded Funds (ETFs) and Index Funds
    6. 4.6Investment Trusts
    7. 4.7Alternate Investment Funds (AIFs)
    8. 4.8Corporate Fixed Deposits
  5. 5Chapter 5Basics of Mutual Funds
    1. 5.1Introduction to Mutual Funds
    2. 5.2Advantages of Mutual Funds
    3. 5.3Open Ended and Close Ended Mutual Funds
    4. 5.4Assets under Management (AUM)
    5. 5.5Net Assets
  6. 6Chapter 6SEBI, Role and Regulations
    1. 6.1Securities and Exchange Board of India Act, 1992 and Role of SEBI
    2. 6.2SEBI Regulations specifically aimed at Investor Protection
    3. 6.3SEBI (Prohibition of Insider Trading) Regulations, 2015
    4. 6.4SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) Regulations, 2003
    5. 6.5Investor Education and Protection Fund (IEPF) Authority
    6. 6.6SEBI Regulations for Registrars and Transfer Agents
    7. 6.7SEBI (Registrars to an Issue and Share Transfer Agents) Regulations, 1993
    8. 6.8SEBI (Intermediaries) Regulations, 2008
    9. 6.9SEBI (Depositories and Participants) Regulations, 2018
  7. 7Chapter 7Public Offer of Securities
    1. 7.1Issuing Equity Capital
    2. 7.2Public Offer of Shares
    3. 7.3Reservations
    4. 7.4Initial Public Offer
    5. 7.5Eligibility for Public Issue of Shares
    6. 7.6Further Public Offer
    7. 7.7Buy Back of Securities
  8. 8Chapter 8Modes of allotment of shares other than Public Offers
    1. 8.1Private Placement of Shares
    2. 8.2Qualified Institutions Placement
    3. 8.3Rights Issue
    4. 8.4Employee Stock Options (ESOPs)
    5. 8.5Conversion of Convertible Debentures/ Bonds into shares
  9. 9Chapter 9Processes related to Public Offering of Shares
    1. 9.1Pre-Issue Work
    2. 9.2Post-Issue Work
    3. 9.3Terms and Concepts in Public Issue of Shares
    4. 9.4Prospectus
    5. 9.5Red Herring Prospectus
    6. 9.6Underwriting
    7. 9.7Green Shoe Option
    8. 9.8Methods of Making a Public Issue of Shares
    9. 9.9Initial Public Offer (IPO) by Small and Medium Enterprises (SME)
  10. 10Chapter 10Roles and Responsibilities in a Public Issue
    1. 10.1Registrar and Transfer Agents
    2. 10.2Sponsor Bank
    3. 10.3Bankers to the Issue
    4. 10.4Brokers to the Issue/Syndicate Members/ Designated Intermediaries
  11. 11Chapter 11Depository Services
    1. 11.1Dematerialisation
    2. 11.2Constituents of the Depository System
    3. 11.3Investor’s Interface with the Depository
  12. 12Chapter 12Processes Related to Depositories
    1. 12.1Dematerialisation of Securities
    2. 12.2Rematerialisation of Securities
    3. 12.3Trading and Settlement
    4. 12.4Beneficial Owner Reporting
    5. 12.5Corporate Actions
    6. 12.6Reconciliation
    7. 12.7Crediting shares to IEPF Account
  13. 13Chapter 13Investor Interface with the R&T Agent
    1. 13.1Transfer of Securities
    2. 13.2Recording Change in Investor Information
    3. 13.3Issue of Duplicate Certificate for Securities
    4. 13.4Stop Transfers
    5. 13.5Transmission
    6. 13.6Timelines pertaining to investor services provided by RTA
    7. 13.7Online processing of investor service requests and complaints by RTAs
    8. 13.8Annual General Meeting
    9. 13.9E Voting
    10. 13.10Responsibilities of RTA during Annual General Meetings (AGM)
    11. 13.11Annexure K. Standard Operating Procedure for Change of Address
    12. 13.12Annexure L. Standard Operating Procedure for Issuance of Duplicate Share Certificate
    13. 13.13Annexure M. Standard Operating Procedure for Transmission of securities
    14. 13.14Annexure N. Format for registering or updating PAN, KYC details
  14. 14Chapter 14Secondary Market Transactions
    1. 14.1Stock Markets
    2. 14.2Participants in the Stock Markets
    3. 14.3Listing of Securities
    4. 14.4SEBI (Listing Obligations and Disclosure Requirements) Regulations 2015 (LODR)
  15. 15Chapter 15Client Servicing
    1. 15.1Investor in context of RTA organisation
    2. 15.2First Time Right (FTR)
    3. 15.3Principles of Client Servicing
    4. 15.4Service etiquettes of RTA organisations in Client Servicing

Source: NISM curriculum page. Chapter names and order follow NISM; sub-topic numbering (1.1, 1.2) is added by VIA Capital for easy reading. NISM may revise its curriculum; always confirm on nism.ac.in.

Quick revision · flashcards

NISM Series II-A flashcards

Flip 10 cards free as a demo. The practice pass opens every card, chapter by chapter.

NISM Series II-A: questions people ask

What is NISM Series II-A?

NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents, Corporate Certification Examination. Knowledge benchmark for people in the corporate registrar and transfer agent function.

What is the exam pattern?

100 questions, 100 marks, 120 minutes. Pass mark 50%. No negative marking.

What is the fee and validity?

NISM lists the fee as ₹1,500 plus payment gateway charges. The certificate is valid for 3 years and is issued only if your PAN is updated. Always confirm on nism.ac.in.

Is VIA Capital official NISM material?

No. VIA Capital is an independent preparation platform. Use the official NISM workbook and register only on the NISM website.

How many questions are in the NISM Series II-A exam?

NISM lists 100 questions for 100 marks, to be answered in 120 minutes.

What is the passing score for NISM Series II-A?

You need 50% (50 of 100 marks) to pass.

Is there negative marking in NISM Series II-A?

No. NISM does not deduct marks for wrong answers in this exam.

Who should take NISM Series II-A?

Staff of registrars and share transfer agents handling corporate work.

How do I prepare for NISM Series II-A on VIA Capital?

Follow the five steps: read each chapter, practise questions, pass the chapter tests, take the full mock tests, then sit the final practice exam. Your progress is saved to your account.

Where do I register for the real exam?

Only on the official NISM website, nism.ac.in. VIA Capital is an independent preparation platform and cannot book or conduct the NISM exam.

Ready to test yourself?

100 questions · 120 minutes · no negative marking. First 10 questions free, then full papers with the practice pass.

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  1. 1

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