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NSDL-DP Mock Test 13 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

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10/21/2017 10:52:18 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 2]

Question 2 :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 3 :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 4 :Which of the following contract is not available in Indian Derivatives Market [Mark 2]

Question 5 :If an investor requests for demat securities in case of public issue without having a depository account then [Mark 2]

Question 6 :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 7 :When did NSDL launched a certification programme in depository operations [Mark 2]

Question 8 :If a DP goes bankrupt what happens to the dematerialized holdings of investors with the DP [Mark 2]

Question 9 :No fee shall be charged when a pledge or hypothecation is closed or invoked [Mark 2]

Question 10 :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 11 :Mr P has 500 shares of a company in his account with DP D He pledges these shares with bank B and 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 12 :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 13 :The statement of account forwarded to an account holder shows [Mark 2]

Question 14 :To dematerialise government securities NSDL has to take prior approval of [Mark 2]

Question 15 :Entry fees paid by a Depository Participant to the Depository NSDL is [Mark 2]

Question 16 :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 17 :If beneficial owner opts for demat securities in the public issue application form then the probability of allotment of the shares [Mark 2]

Question 18 :What is Benpos in the Depository environment [Mark 2]

Question 19 :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 20 :The DP must ensure that clearing members have given the necessary pay in instruction ie instruction for transfer from the CM pool to the CM delivery to effect settlement [Mark 1]

Question 21 :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 22 :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 23 :Dematerialisation is the [Mark 1]

Question 24 :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 25 :The charges for dematerialization of securities related services to be paid by the investors are levied by _______ [Mark 1]

Question 26 :Mr Buyer has sold 100 shares on the NSE Both Mr Buyer and Mr Seller have opened depository accounts with NSDL Assuming Mr Seller is the buyer of the same shares the shares will be credited to [Mark 2]

Question 27 :All annual fees by the business partners of NSDL are to be paid before [Mark 2]

Question 28 :The Warehouse Receipts are identified by ________ [Mark 1]

Question 29 :If DP goes bankrupt [Mark 2]

Question 30 :Settlement in the NSE is based on [Mark 1]

Question 31 :In case of government securities sent for dematerialization, the DP will endorse the certificates ____ [Mark 2]

Question 32 :Can a delivery instruction for transferring shares from a beneficiary account to a CM pool account be canceled [Mark 2]

Question 33 :With regard to any change in clients fee structure, the client is entitled to receive notice [Mark 2]

Question 34 :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 35 :Novation means [Mark 2]

Question 36 :All dematerialised securities are [Mark 2]

Question 37 :There can be maximum of _______ nominees per demat account [Mark 1]

Question 38 :Fungible means as shares would not have distinguishing features such as distinctive nos certificate nos etc [Mark 2]

Question 39 :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 40 :Which of the following is a non cash corporate action [Mark 1]

Question 41 :The depository account that an investor opens is called as [Mark 1]

Question 42 :What is the minimum bill to be charged from every DP on annual basis [Mark 1]

Question 43 :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 44 :What is the main purpose of bank account details in account opening form [Mark 1]

Question 45 :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 46 :What is the minimum annual transaction fees payable by a DP to NSDL [Mark 1]

Question 47 :UTI [Mark 1]

Question 48 :Book building [Mark 1]

Question 49 :Which of the following fields in account opening form are mandatory 1st Bank details, 2nd PAN, 3rd Type of Account [Mark 2]

Question 50 :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 51 :As a part of the capital adequacy requirement, the base minimum capital prescribed by SEBI [Mark 2]

Question 52 :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 53 :Resolution by arbitration for disputes between NSDL and its business partners [Mark 1]

Question 54 :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 [Mark 2]

Question 55 :The interest payable on securities lent is _____ [Mark 2]

Question 56 :Name the odd one out [Mark 2]

Question 57 :Clearing Corporation or a Clearing House of a stock exchange shall be permitted to open beneficiary accounts for clients only when [Mark 2]

Question 58 :Remat Request for Fees for Delivery of Warehouse Receipts is [Mark 1]

Question 59 :The counterparty for every transaction in the stock Exchange is [Mark 2]

Question 60 :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 1]