NISM Series II-A (RTA Corporate) study plan

Map the full NISM Series II-A syllabus into a one-page checklist covering the RTAs/STAs to an issue and corporate share transfer agent functions, so every later week has a reference spine

Define and write out in your own words the roles of registrar to an issue, share transfer agent, and the issuer-RTA contractual relationship, including the appointment and termination process

List the SEBI regulatory framework that governs RTAs and STAs (registration, eligibility, code of conduct, record-keeping), and note the specific circulars you still need to read

Build a glossary of 40 core terms (allotment, refund, dematerialisation, transmission, objection memo, etc.) with a one-line definition for each, since exam questions lean heavily on precise terminology

Trace the end-to-end issue process from opening of the issue to allotment, refund, and listing, and write the sequence from memory without notes

Explain the RTA's due-diligence duties during an issue: verification of applications, rejection grounds, and handling of invalid or multiple applications

Describe the basis of allotment, the role of the designated stock exchange, and how oversubscription and under-subscription are handled

Solve 30 practice questions on issue management and allotment, and log every wrong answer with the reason it was wrong

Explain the refund process, refund modes, interest on delayed refunds, and the RTA's responsibility for despatching refund orders and allotment letters

Distinguish between physical and dematerialised allotment, and describe how ISIN activation and credit of securities work

State the timelines and penalties attached to each post-issue activity (allotment, refund, listing) and memorise them with a mnemonic

Answer 40 mixed practice questions on refunds, allotment, and post-issue compliance under timed conditions

Describe the share transfer process for physical securities: lodgement, scrutiny, verification of signatures, and the grounds on which a transfer can be rejected

Explain the role of the transfer deed, share transfer stamps, and the validity period of an instrument of transfer

Outline the procedure for transmission of shares (death, insolvency, lunacy) and the documents required for each case

Explain nomination, lien, pledge, and duplicate share certificate issuance, and how each is recorded by the STA

Complete 50 practice questions on transfer and transmission and review each error against the source rule

Explain dematerialisation and rematerialisation end to end, including the role of the depository, depository participant, and RTA in each step

Describe the reconciliation process between the RTA's register of members and the depository records, and why it is critical

Outline the process for handling investor grievances and complaints, including the escalation route to SEBI and SCORES

Summarise the code of conduct and the record-keeping and audit obligations of an RTA, and identify the records that must be preserved and for how long

Describe the internal audit and compliance framework applicable to RTAs, including the qualifications, frequency, and reporting lines of the auditor

Explain the SEBI inspection process, the powers of the inspecting authority, and the consequences of non-compliance (penalties, suspension, cancellation of registration)

Review the code of conduct clause by clause and write a real-world scenario for each clause where it would be breached

Solve 60 practice questions across all topics covered so far, and re-test only the questions you previously got wrong

Consolidate the entire syllabus into a 10-page condensed revision sheet using only your own notes and the glossary

Take two full-length mock tests under exam timing and record the score, section-wise accuracy, and time per question

Identify your three weakest sub-topics from the mock analysis and re-study each with a focused 30-minute session

Memorise all statutory timelines and monetary thresholds using a single consolidated reference card

Take three more full-length mocks and push accuracy on previously weak sub-topics above 80 percent

Recite the condensed revision sheet aloud from memory, flagging any gaps to close the same day

Re-read only the Red and Amber items on your week 1 checklist and confirm each is now Green

Simulate exam-day logistics: confirm registration, ID requirements, test-centre or remote-proctoring rules, and the reporting time