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NSDL-DP Mock Test 12 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

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10/21/2017 10:51:11 AM

Total Questions  60
 

Pass Marks is 55%

Time Left : 00:00:00 Hrs

 


Question 1 :What is the maximum which a DP can charge from its investor [Mark 2]





Question 2 :What is the annual fee charged to a Depository Participant subscribing for IDeAS facility of NSDL [Mark 1]





Question 3 :A DP have 5000 Accounts out of which 1000 clients are using Client Id Smart card User for viewing their transactions, statements etc What is the fee to be paid by this DP to NSDL [Mark 2]





Question 4 :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 [Mark 2]





Question 5 :What is the minimum bill to be charged from every DP on annual basis [Mark 1]





Question 6 :What are transaction charges levied by NSDL to its DP for off market transfers [Mark 2]





Question 7 :No custody fee will be levied for [Mark 1]





Question 8 :What is the minimum annual transaction fees payable by a DP to NSDL [Mark 1]





Question 9 :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 O to his or her DP [Mark 2]





Question 10 :The BSE Sensex comprises of ________ [Mark 1]





Question 11 :No fee shall be charged when a pledge or hypothecation is closed or invoked [Mark 2]



Question 12 :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 2]





Question 13 :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 Mr O to his or her DP [Mark 2]





Question 14 :A DP is an entity who is registered with SEBI ______ [Mark 2]





Question 15 :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 O [Mark 2]





Question 16 :Which of the following will not be a part of the PDRF [Mark 1]





Question 17 :Entry fees paid by a Depository Participant to the Depository NSDL is [Mark 2]





Question 18 :Which of the following is a non cash corporate action [Mark 1]





Question 19 :An issuer PQR has 15000 beneficiaries Folio for their shares lying with NSDL, the issuer wish to get the Benpos for their shares, what is the fee to be paid by them to NSDL [Mark 2]





Question 20 :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 21 :In case of conversion of shares from partly paid to fully paid, the issuer will have to pay the fees at the rate of [Mark 1]





Question 22 :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 [Mark 2]





Question 23 :A company XYZ Ltd wants to raise Rs 5500 crs from the Market by way of issue of Equity Shares, the company wants to issue all its shares in NSDL DPs, what will be the joining fees to be paid by the issuer XYZ [Mark 2]





Question 24 :Does NSDL provide the facility of transmission along with dematerialisation of physical securities [Mark 2]





Question 25 :An issuer can pay One Time Custody Fees instead of annual payments; the applicable rate for the same is [Mark 2]





Question 26 :In the International Securities Identification Number or ISIN, the first two letters stand for which of the following [Mark 2]





Question 27 :A company XYZ LTD has 30000 folios in NSDL, what is the annual fees payable by this Issuer XYZ ignore service Taxes [Mark 2]





Question 28 :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 2]





Question 29 :All annual fees by the business partners of NSDL are to be paid before [Mark 2]





Question 30 :The Warehouse Receipts are identified by ________ [Mark 1]





Question 31 :A DP has to get a comprehensive insurance policy to protect the interest of the investors [Mark 1]



Question 32 :As per NSDL backup policy _______ [Mark 2]





Question 33 :Every month NSDL forwards statement of account to a random sample of investors as a counter check [Mark 1]



Question 34 :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 _______ [Mark 2]





Question 35 :With regard to any change in clients fee structure, the client is entitled to receive notice [Mark 2]





Question 36 :As per SEBIs Securities Lending and Borrowing Scheme, the networth requirement for an Approved Intermediary is _________ [Mark 2]





Question 37 :The complete depository software of NSDL is called as [Mark 2]





Question 38 :Remat Request for Fees for Delivery of Warehouse Receipts is [Mark 1]





Question 39 :UTI [Mark 1]




Question 40 :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 is 120 and Demat segment of BSE is 125 and BE segment of NSE is 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 NSDL to DP [Mark 2]





Question 41 :For a stock exchange or clearing house to settle demat securities, the stock exchange or house must have a mechanism to ensure payment against delivery or guarantee settlement, this requirement is drawn from [Mark 1]





Question 42 :The pay in and pay out dates for the settlement calendar is declared [Mark 1]





Question 43 :If an investor requests for demat securities in case of public issue without having a depository account, then [Mark 1]





Question 44 :In case of pledged balance in demat form, the corporate benefits will flow to the _________ [Mark 1]





Question 45 :A broker clearing member gives delivery to clearing corporation or house instruction to its DP, What will be the movement of the shares [Mark 2]





Question 46 :Which of the following Government Securities are available for demat and transfer [Mark 2]





Question 47 :Book building [Mark 1]





Question 48 :On rematerialisation the share certificates are [Mark 2]





Question 49 :Tick the true statement [Mark 2]





Question 50 :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 [Mark 2]





Question 51 :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 freeze his account, He can do so by [Mark 2]





Question 52 :In the Depository environment which of the following identity is unique to an investor [Mark 2]





Question 53 :Every Issuer must enter into an agreement with NSDL for offering its securities for demat, the following is true with respect to the statement made [Mark 2]




Question 54 :Is it true that according to SEBIs 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 55 :In a share application form, if an applicant applies for part subscription in demat form and part in physical form, then [Mark 2]





Question 56 :Which of the following contract is not available in Indian Derivatives Market [Mark 2]





Question 57 :In stock lending or borrowing process, what is the transaction fees charged by NSDL to lenders DP for moving securities from lenders account to intermediarys account [Mark 2]





Question 58 :To dematerialise government securities NSDL has to take prior approval of [Mark 2]





Question 59 :Clearing Corporation or a Clearing House of a stock exchange shall be permitted to open beneficiary accounts for clients only when [Mark 2]





Question 60 :Participants, who have already subscribed to SPEEDe, get IDeAS at no additional cost [Mark 1]