NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents (RTAs)-Corporate Certification 

Mode of Delivery: Online Live Interactive + Online Self-paced*

Duration: 24 Hours 

Study Materials: 

• Recording available of online live sessions (for 90 days)
• PPTs (500+ slides) & Excel sheets. 
• 600+ MCQs with explanation
• Quick revision summary
• Career Guidance/Counseling

The examination establishes a minimum knowledge benchmark for individuals working in the Registrar to an Issue and Share Transfer Agent (RTA) domain. It equips candidates to:

• Understand securities and securities markets basics.
• Comprehend the role and functions of RTAs in corporate securities issuance and transaction processes.
• Navigate the regulatory environment governing RTAs in India.

Upon successful completion of the training, candidates will:

• Understand Securities and Markets: Gain a clear understanding of securities, market structures, and the types and characteristics of equity, debt, and hybrid securities.
• Comprehend the Role of RTAs: Learn the responsibilities and functions of Registrars to an Issue and Share Transfer Agents in corporate securities issuance and investor servicing.
• Master Regulatory Frameworks: Develop knowledge of SEBI regulations, investor protection measures, and the legal environment governing RTA operations.
• Learn Public Offer and Depository Processes: Acquire expertise in handling public offering processes, dematerialization, rematerialization, and investor interactions with depositories.
• Enhance Client Servicing Skills: Understand client servicing principles, operational processes, and best practices to deliver efficient and investor-focused solutions.

Assessment Details:

• 100 Multiple Choice Questions: 1 mark each
• Total Marks: 100
• Duration: 2 Hours
• Passing Score: 50%
• Negative Marking: 25% of marks assigned per incorrect answer
• Certificate Validity: 3 years

* Online Self-paced contents access will be provided for 90 days to the user only.

Test Objectives:

Upon passing the examination, candidates will:

• Understand Securities and Markets: Gain a clear understanding of securities, market structures, and the types and characteristics of equity, debt, and hybrid securities.
• Comprehend the Role of RTAs: Learn the responsibilities and functions of Registrars to an Issue and Share Transfer Agents in corporate securities issuance and investor servicing.
• Master Regulatory Frameworks: Develop knowledge of SEBI regulations, investor protection measures, and the legal environment governing RTA operations.
• Learn Public Offer and Depository Processes: Acquire expertise in handling public offering processes, dematerialization, rematerialization, and investor interactions with depositories.
• Enhance Client Servicing Skills: Understand client servicing principles, operational processes, and best practices to deliver efficient and investor-focused solutions.

Course Details:

•  NISM exam registration fees not included in the above mention Course Fee. 
•  PPTs (500+ Slides), 600+ MCQs and PDFs for practice (mock exams & mock paper shared for self-practice). 
•  Sessions would cover doubt solving from the Mock Exams. 
• Online Interactive Session for the practice on software’s required in particular module

Eligibility:

The NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents is suitable for:

• Individuals working with or aspiring to work in Registrars to an Issue (RTAs) and Share Transfer Agent organizations.
• Professionals involved in corporate securities issuance, transfer processes, or investor servicing functions.
• Graduates or students with an interest in securities markets and RTA operations.
• Compliance officers, back-office personnel, and operational staff engaged in securities handling and processing.

No prior experience or qualifications are required; however, basic knowledge of financial markets will be beneficial.

Curriculum Overview: Registrars to an Issue and Share Transfer Agents

I. Introduction to Securities

Overview of equity, debt, and hybrid structures, highlighting features, benefits, and associated risks.

II. Characteristics of Securities

Detailed examination of equity shares, debt instruments, and other securities, including ETFs, AIFs, and convertible debentures.

III. Basics of Mutual Funds

Comprehensive understanding of mutual fund structures, types, and valuation concepts like AUM and NAV.

IV. SEBI Regulations

Overview of SEBI’s regulatory framework and investor protection measures, including the IEPF’s role.

V. Public Offer and Securities Allotment

In-depth insights into IPOs, FPOs, buybacks, rights issues, and private placement processes.

VI. Public Offering Processes

Key pre- and post-issue processes, including underwriting, prospectus preparation, and SME IPOs.

VII. Roles in Public Issues

Responsibilities of RTAs, sponsor banks, brokers, and other stakeholders in securities transactions.

VIII. Depository Services

Key aspects of dematerialization, rematerialization, reconciliation, and investor-depository interactions.

IX. Investor Services by RTA

Processes for securities transfer, transmission, and handling investor requests like duplicate certificates.

X. Secondary Market Transactions

Overview of stock market participants, listing requirements, and SEBI's LODR regulations.

XI. Client Servicing

Principles and best practices for effective client interaction and service delivery in RTA organizations.

Annexures

Standard operating procedures for address changes, duplicate certificates, and securities transmission.