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NSDL-DP Mock Test 11 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

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10/21/2017 10:51:24 AM

Total Questions  60

Pass Marks is 55%

Time Left : 00:00:00 Hrs


Question 1 :To initiate securities lending process which of the following options should the lender tick in the Securities Lending Form for Lender or Borrower [Mark 1]

Question 2 :A DP have 5000 Accounts out of which 1000 clients are using Client Id Password User for viewing their transactions, statements etc, What is the fee to be paid by this DP to NSDL [Mark 2]

Question 3 :Novation means [Mark 2]

Question 4 :A DP when subscribes for SPEED e have to pay Admission Fees plus Annual Fees [Mark 2]

Question 5 :The depository account that an investor opens is called as [Mark 2]

Question 6 :Which is true for Indian Depository system [Mark 1]

Question 7 :When did NSDL launched a certification programme in depository operations [Mark 2]

Question 8 :Custody Fees for unlisted securities held under each ISIN in each and every account maintained with the Participant shall be charged to the Participant, on a quarterly basis [Mark 1]

Question 9 :In case of government securities sent for dematerialization, the DP will endorse the certificates ____ [Mark 2]

Question 10 :Mr O a client of Stock Broker KPM gives a Lending instruction of 500 shares from his account to L, a NBFC Company, What is the fees payable by Mr L to his or her DP [Mark 2]

Question 11 :Which scrips have to be compulsorily settled in demat form by all categories of investors with effect from January 4, 1999 [Mark 2]

Question 12 :Mr O a client of Stock Broker KPM gives a Pledging Creation instruction of 500 shares from his account to L, a NBFC Company, What is the fees payable by company L to its DP [Mark 2]

Question 13 :As per the DP Client Agreement, can a DP revise the charges levied to its clients [Mark 2]

Question 14 :Mr O a client of Stock Broker KPM gives a debit instruction of 500 shares from his account to L, the Client of Stock Broker XYZ, What is the fees payable by Mr L [Mark 2]

Question 15 :The Warehouse Receipts are identified by ________ [Mark 1]

Question 16 :A Clearing Corporation or a Clearing House of a Stock Exchange will be exempt from payment of security deposit to the NSDL [Mark 1]

Question 17 :Participants who wish to subscribe for IDeAS have to pay [Mark 2]

Question 18 :What is the fee paid by the issuer for weekly downloads and downloads for statutory purposes [Mark 1]

Question 19 :Can an investor dematerialise odd lot shares [Mark 1]

Question 20 :What is Benpos in the Depository environment [Mark 2]

Question 21 :DVP in the capital market context stands for [Mark 1]

Question 22 :A company PQR announced Bonus at the rate 1 is to 1 to its shareholders, the required fees to be submitted to the NSDL for distribution of this Non Cash Corporate Benefits is [Mark 2]

Question 23 :In stock lending or borrowing process, what is the transaction fee charged by NSDL to lenders DP for moving securities from lenders account to Authorised Intermediary AIs account [Mark 2]

Question 24 :In one time fees system, the issuer will have to pay extra fees on any subsequent issue of Bonus shares by the company [Mark 1]

Question 25 :The statement of account forwarded to an account holder shows [Mark 2]

Question 26 :A company XYZ Ltd Ltd have issued 25 folios and all are in NSDL, what is the Annual Fees payable by this issuer, if the nominal value of the security is RS 22 crores [Mark 2]

Question 27 :The interest payable on securities lent is _____ [Mark 2]

Question 28 :NSDL Charges interest on any delay in payment by any of its business partners, the rate of interest therein is [Mark 2]

Question 29 :Which of the following fields forms a part of the Dematerialization Request Form DRF [Mark 1]

Question 30 :The whole Technology Hardware system of NSDL is based on [Mark 1]

Question 31 :The transaction statements are sent by DP to _______ [Mark 1]

Question 32 :If DP goes bankrupt [Mark 2]

Question 33 :Which of the following fields in account opening form are mandatory 1st Bank details, 2nd PAN, 3rd Type of Account [Mark 2]

Question 34 :Which of the following points strengthen the safety feature of NSDL [Mark 2]

Question 35 :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 [Mark 2]

Question 36 :System Security Devices provided by NSDL to all its Business Partners is [Mark 1]

Question 37 :Which of the following statements regarding pledging of securities is false [Mark 2]

Question 38 :All dematerialised securities are [Mark 2]

Question 39 :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 40 :Is it true that according to SEBls April 6, 1998 directive demat shares will be treated as good delivery in the physical segments of stock exchanges connected to NSDL [Mark 2]

Question 41 :What is shut period [Mark 2]

Question 42 :Physical securities registered in the name of more than three joint holders, can be dematerialised by [Mark 1]

Question 43 :NSDL [Mark 2]

Question 44 :An investor submits 10 share certificates of RPl, all in market lot of 50 shares for demateriaiisation to his DP, the face value of the share is Rs 10, Assuming that DP charges 0 point 2 percent of the face value of securities for dematerialisation, calculate dematerialisation charges by NSDl to the DP [Mark 2]

Question 45 :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 46 :If a DP goes bankrupt, what happens to the dematerialised holdings of investors with the DP [Mark 2]

Question 47 :A broking member registered as a partnership firm, should open its clearing member account with a DP in the ________ [Mark 2]

Question 48 :Mr P has 500 shares of a company in his account with DP D, He pledges these shares with bank B, He now gives a transfer debit instruction to his DP D to transfer 200 of these shares to his broker R, Assuming no additional credits are expected into Ps account with DP D [Mark 2]

Question 49 :An investor is holding 100 shares in physical form, the company issues 1 is to1 bonus, Can investor opt for bonus in demat form [Mark 2]

Question 50 :As a part of the capital adequacy requirement, the base minimum capital prescribed by SEBI [Mark 2]

Question 51 :If the unit holder opts for either or survivor basis in case of his US64 units, the demat request pertaining to them can be [Mark 2]

Question 52 :To dematerialise government securities, NSDL has to take prior approval of [Mark 1]

Question 53 :The charges for dematerialization of securities related services to be paid by the investors are levied by _______ [Mark 1]

Question 54 :On rematerialisation the share certificates are [Mark 2]

Question 55 :The Approved Intermediary for securities lending and borrowing has to be registered with_______ [Mark 2]

Question 56 :If beneficial owner opts for demat securities in the public issue application form then, the probability of allotment of the shares [Mark 2]

Question 57 :There can be maximum of _______ nominees per demat account [Mark 1]

Question 58 :Which of the following forms the part of a Tripartite Agreement between Issuer R and T, NSDL and DP [Mark 2]

Question 59 :GDR [Mark 2]

Question 60 :Clearing Corporation or a Clearing House of a stock exchange shall not be permitted to open beneficiary accounts for clients [Mark 1]