This workbook has been developed to assist candidates in preparing for the National Institute of Securities Markets (NISM) Certification Examination for Registrars to an Issue and Share Transfer Agents-Corporate.

NISM-Series-II-A: Registrars to an Issue and Share Transfer Agents-Corporate Certification Examination seeks to create a common minimum knowledge benchmark for associated persons working in Registrars to an Issue and Share Transfer Agents (R&T agent) organizations performing any of the following functions for listed companies: (a) dealing or interacting with the investors or issuers; (b) dealing, collecting or processing applications from the applicants; (c) dealing with matters relating to corporate actions, refunds or redemptions, repurchase of securities, etc; (d) handling redressal of investors’ grievances; (e) responsible for internal control and risk management; (f) responsible for anycompliance of securities laws; (g) 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 book covers basics of securities and securities markets role and functions of the R&T Agents in the corporate securities issuance and transaction process and the regulatory environment in which the R&T Agents operate in India.