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NSDL-DP Mock Test 01 

Mock Test  :  RMG Student Exclusive :        
Total Marks 60

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12/16/2017 12:27:55 PM

Total Questions  60
 

Pass Marks is 55%

Time Left : 00:00:00 Hrs

 


Question 1 :In stock lending or borrowing process what is the transaction fee charged by NSDL to lenders DP for moving securities from lenders account to Authorized Intermediary account [Marks 2]





Question 2 :A DP who is a ______________ should provide to NSDL and SEBI any details regarding any suspension or termination or defaults or any disputes in relation to its dealing with the clearing corporation within 2 working days [Marks 2]





Question 3 :The account opening form should be signed by __________ in case of minor [Mark 1]





Question 4 :The pay in and pay out dates for the settlement calendar is declared [Mark 1]





Question 5 :The statement of account forwarded to an account holder shows [Marks 2]





Question 6 :In the context of dividend distribution what is the full form of ECS [Marks 2]





Question 7 :Is it mandatory for Banks and Financial Institutions and Primary Dealers and Satellite Dealers to subscribe to Commercial Paper in Demat form only [Marks 2]





Question 8 :The interest payable on securities lent is _____ [Marks 2]





Question 9 :In case of pledged balance in demat form the corporate benefits will flow to the __________ [1 Marks]





Question 10 :Which of the following Government Securities are available for demat and transfer [Marks 2]





Question 11 :As per SEBI requirements a broker has to deliver shares to the buying investor________ [Marks 2]





Question 12 :A Participant can submit the claim for waiver of transaction fee charged on account of minor attaining majority to NSDL as per the prescribed format __________ [Marks 2]





Question 13 :Which of the following fields forms a part of the Dematerialisation Request Form [Mark 1]





Question 14 :Can an investor dematerialise odd lot shares [Mark 1]





Question 15 :Which of the following statements is false [Marks 2]





Question 16 :The function of ascertaining pay in or pay out of brokers who have traded on the stock exchange is performed by _________ [Marks 2]





Question 17 :In the Depository environment which of the following identity is unique to an investor [Marks 2]





Question 18 :The final approval for recognising an entity as a Depository Participant is granted by _____ [Marks 2]





Question 19 :A client has 500 shares of ABC Ltd in his demat account He gives pledge creation request to his DP for 250 shares of ABC Ltd On confirmation of this pledge creation instruction by pledgee what will happen to the shares of ABC Ltd [Marks 2]





Question 20 :Mr Shah sells 500 shares of ABC Ltd to Mr Mehta in a off market intra DP transfer at Rs 118 per share The closing price of ABC Ltd at the following segments at stock exchanges on the execution date of this transaction are AE segment of NSE 120 Demat segment of BSE 125 BE segment of NSE 115 Assume that ABC Ltd falls under the SEBI list for compulsory settlement in demat form by all categories of investors Assuming that DP charges 0 point 04 percent off market transaction charges on purchase and levies no charges on the sale side calculate the off market transaction charges charged by the DP to Mr Shah [Marks 2]





Question 21 :Which of the following fields in account opening form are mandatory 1st Bank details 2nd PAN 3rd Type of Account [Mark 1]





Question 22 :In the International Securities Identification Number the first two letters stand for which of the following [Marks 2]





Question 23 :As per the DP Client Agreement can a DP revise the charges levied to its clients [Mark 1]





Question 24 :What is the minimum annual transaction fees payable by a DP to NSDL [Marks 2]





Question 25 :For a Non Banking Finance Company seeking to act as a DP on behalf of others the minimum networth required as prescribed by SEBI is _________ [Mark 1]





Question 26 :Which of the following will not be a part of the PDRF [Marks 2]





Question 27 :In an application for opening an account for corporates or clearing members only which one of the following does not form a part of types of accounts [Mark 1]





Question 28 :A broking member registered as a partnership firm should open its clearing member account with a DP in the _________ [Mark 1]





Question 29 :Which of the following is a non-cash corporate action [Mark 1]





Question 30 :If the unit holder opts for either or survivor basis in case of his US64 units the demat request pertaining to them can be [Marks 2]





Question 31 :What is the annual fee charged to a Depository Participant subscribing for IDeAS facility of NSDL [Mark 1]





Question 32 :There can be maximum of _______ nominees per demat account [Marks 2]





Question 33 :The BSE Sensex comprises of ________ [Marks 2]





Question 34 :If beneficial owner opts for demat securities in the public issue application form then the probability of allotment of the shares _______ [Mark 1]





Question 35 :In an application for opening an account for individuals only which one of the following does not form a part of types of accounts [Mark 1]





Question 36 :Which scrips have to be compulsorily settled in demat form by all categories of investors with effect from January 4 1999 [Marks 2]





Question 37 :Mr Sharechandani an NRI based in Singapore has purchased 1000 shares of XYZ in March 1995 on a repatriable basis If he wishes to transfer the shares to his broker on sale ________ [Mark 1]





Question 38 :Tick the true statement [Marks 2]





Question 39 :In case of government securities sent for dematerialisation the DP will endorse the certificates ____ [Marks 2]





Question 40 :Which of the following instructions from the Pledge or Hypothecation form should be used by a pledgor after repayment of loan to get the pledged shares back as free balances [Mark 1]





Question 41 :The Warehouse Receipts are identified by ________ [Marks 2]





Question 42 :What is shut period [Marks 2]





Question 43 :As per NSDL backup policy _______ [Mark 1]





Question 44 :The charges for dematerialisation of securities related services to be paid by the investors are levied by _______ [Mark 1]





Question 45 :What are transaction charges levied by NSDL to its DP for off market transfers [Marks 2]





Question 46 :GDR [Marks 2]





Question 47 :To ascertain whether a SGL account is registered with PDO at RBI Mumbai which of the following shall be the prefix to the SGL account number [Marks 2]





Question 48 :The Approved Intermediary for securities lending and borrowing has to be registered with _______ [Marks 2]





Question 49 :In the Depository system when the investor has multiple Depository accounts the method adopted by Income Tax Authorities for calculation of capital gains will be _______ [Marks 2]





Question 50 :As per SEBIs Securities Lending and Borrowing Scheme the networth requirement for an Approved Intermediary is _________ [Marks 2]





Question 51 :The transaction statements are sent by DP to ______ [Mark 1]





Question 52 :Shyam has 500 shares of ABC Ltd in his beneficial owner account on 12 Oct 98 He gives a Delivery instruction on the same day to debit his account with 600 shares of ABC Ltd with the execution day as 14 Oct 98 At the end the of the day on 14 Oct 98 his account shows a credit of 550 shares What will happen [Marks 2]





Question 53 :Name the odd one out [Marks 2]





Question 54 :Mr M is holding securities with DP D Since he is scheduled to relocate to Dubai on a special assignment and expects to be away for quite a while he wishes to lock his account He can do so by [Marks 2]





Question 55 :Securities Contracts Regulation Act 1956 gives the Central Government regulatory jurisdiction over [Marks 2]





Question 56 :The counterparty for every transaction in the stock Exchange is [Marks 2]





Question 57 :Minimum net worth required for becoming a DP by applicants who are stockbrokers or non banking finance companies [Marks 2]





Question 58 :According to SEBI requirements and securities and forming a part of the SEBI specified compulsory list wherein delivery in demat form is mandatory for all categories of investors can be delivered in physical form in the stock exchanges connected to NSDL This requirement is applicable to [Marks 2]





Question 59 :Resolution by arbitration for disputes between NSDL and its business partners [Mark 1]





Question 60 :Fungible means as shares would not have distinguishing features such as distinctive nos certificate nos etc [Marks 2]