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NSDL-DP Mock Test 14 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

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10/21/2017 6:03:31 PM

Total Questions  60

Pass Marks is 55%

Time Left : 00:00:00 Hrs


Question 1 :If an investor requests for demat securities in case of public issue without having a depository account then [Mark 2]

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

Question 3 :Participants who wish to subscribe for IDeAS have to pay [Mark 2]

Question 4 :If a DP goes bankrupt what happens to the dematerialized holdings of investors with the DP [Mark 2]

Question 5 :In a share application form, if an applicant applies for part subscription in demat form and part in physical form, then [Mark 2]

Question 6 :The pay in and pay out dates for the settlement calendar is declared [Mark 1]

Question 7 :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 8 :As a part of the capital adequacy requirement, the base minimum capital prescribed by SEBI [Mark 2]

Question 9 :Which of the following fields forms a part of the Dematerialization Request Form DRF [Mark 1]

Question 10 :To dematerialise government securities NSDL has to take prior approval of [Mark 2]

Question 11 :The whole Technology Hardware system of NSDL is based on [Mark 1]

Question 12 :Does NSDL provide the facility of transmission along with dematerialisation of physical securities [Mark 2]

Question 13 :NSDL Charges interest on any delay in payment by any of its business partners, the rate of interest therein is [Mark 2]

Question 14 :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 15 :As per the DP Client Agreement, can a DP revise the charges levied to its clients [Mark 2]

Question 16 :The Approved Intermediary for securities lending and borrowing has to be registered with _______ [Mark 2]

Question 17 :Minimum net worth required for becoming a DP by applicants who are stockbrokers or non banking finance companies [Mark 2]

Question 18 :Which of the following will not be a part of the PDRF [Mark 1]

Question 19 :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 20 :No custody fee will be levied for [Mark 1]

Question 21 :A broking member registered as a partnership firm, should open its clearing member account with a DP in the ________ [Mark 2]

Question 22 :What is shut period [Mark 2]

Question 23 :Resolution by arbitration for disputes between NSDL and its business partners [Mark 1]

Question 24 :What is the annual fee charged to a Depository Participant subscribing for IDeAS facility of NSDL [Mark 1]

Question 25 :Which scrips have to be compulsorily settled in demat form by all categories of investors with effect from January 4 1999 [Mark 2]

Question 26 :What is the minimum bill to be charged from every DP on annual basis [Mark 1]

Question 27 :If beneficial owner opts for demat securities in the public issue application form then, the probability of allotment of the shares _______ [Mark 1]

Question 28 :The complete depository software of NSDL is called as [Mark 2]

Question 29 :System Security Devices provided by NSDL to all its Business Partners is [Mark 1]

Question 30 :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 31 :UTI [Mark 1]

Question 32 :All annual fees by the business partners of NSDL are to be paid before [Mark 2]

Question 33 :NSDL [Mark 2]

Question 34 :What is the main purpose of bank account details in account opening form [Mark 1]

Question 35 :Physical securities registered in the name of more than three joint holders, can be dematerialised by [Mark 1]

Question 36 :As per NSDL backup policy _______ [Mark 2]

Question 37 :The depository account that an investor opens is called as [Mark 1]

Question 38 :Book building [Mark 1]

Question 39 :GDR [Mark 2]

Question 40 :Fungible means as shares would not have distinguishing features such as distinctive nos certificate nos etc [Mark 2]

Question 41 :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 42 :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 43 :Novation means [Mark 2]

Question 44 :What is the maximum which a DP can charge from its investor [Mark 2]

Question 45 :The transaction statements are sent by DP to _______ [Mark 1]

Question 46 :Can a delivery instruction for transferring shares from a beneficiary account to a CM pool account be canceled [Mark 2]

Question 47 :The Warehouse Receipts are identified by ________ [Mark 2]

Question 48 :Which of the following Government Securities are available for demat and transfer [Mark 2]

Question 49 :Eligible securities for inter depository transfers are [Mark 2]

Question 50 :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 [Mark 2]

Question 51 :Can an investor dematerialise odd lot shares [Mark 1]

Question 52 :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 53 :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 54 :DVP in the capital market context stands for [Mark 1]

Question 55 :Dematerialisation is the [Mark 1]

Question 56 :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 57 :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 58 :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 2]

Question 59 :An issuer can pay One Time Custody Fees instead of annual payments, the applicable rate for the same is [Mark 2]

Question 60 :Novation means [Mark 2]