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NSDL-DP Mock Test 15 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

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10/21/2017 10:51:27 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 :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 3 :Participants who wish to subscribe for IDeAS have to pay [Mark 2]

Question 4 :As a part of the capital adequacy requirement the base minimum capital prescribed by SEBI [Mark 2]

Question 5 :Settlement in the NSE is based on [Mark 2]

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

Question 7 :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 2]

Question 8 :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 9 :Which of the following fields forms a part of the Dematerialization Request Form DRF [Mark 1]

Question 10 :Physical securities registered in the name of more than three joint holders can be dematerialised by [Mark 2]

Question 11 :What is the maximum which a DP can charge from its investor [Mark 2]

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

Question 13 :Book building [Mark 1]

Question 14 :What is Benpos in the Depository environment [Mark 2]

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

Question 16 :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 17 :Securities Contracts Regulation Act 1956 gives the Central Government regulatory jurisdiction over [Mark 2]

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

Question 19 :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 20 :A DP when subscribes for SPEED e have to pay Admission Fees plus Annual Fees [Mark 2]

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 :Tick the true statement [Mark 2]

Question 23 :The counterparty for every transaction in the stock Exchange is [Mark 2]

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

Question 25 :Which of the following provides for inter connectivity amongst various depositories in the scenario of multiple depositories [Mark 2]

Question 26 :Name the odd one out [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 :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 29 :The interest payable on securities lent is _____ [Mark 2]

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 :Bank particulars captured in the depository account opening form are of relevance for which of the following related activities [Mark 2]

Question 32 :As per SEBI requirements a broker has to deliver shares to the buying investor________ [Mark 2]

Question 33 :NSDL [Mark 2]

Question 34 :Resolution by arbitration for disputes between NSDL and its business partners [Mark 1]

Question 35 :The final approval for recognising an entity as a Depository Participant is granted by _____ [Mark 2]

Question 36 :As per NSDL backup policy _______ [Mark 1]

Question 37 :Which of the following doesnot form part of Pledge or Hypothecation form [Mark 1]

Question 38 :GDR [Mark 2]

Question 39 :Can shares that are not registered in the name of the account holder be dematerialised [Mark 2]

Question 40 :Is it mandatory for Banks and Financial Institutions and Primary Dealers and Satellite Dealers to subscribe to Commercial Paper in Demat form only [Mark 2]

Question 41 :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 42 :The account that an approved intermediary needs to open to dematerialise its own securities is called account in NSDL system [Mark 1]

Question 43 :SEBI has recently started a system for Improved disclosures by listed companies it is called [Mark 2]

Question 44 :The transaction statements are sent by DP to _______ [Mark 1]

Question 45 :In case an investor opts for allotment in demat form in case of bonus or rights issue without opening a depository account [Mark 2]

Question 46 :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 1]

Question 47 :What are transaction charges levied by NSDL to its DP for off market transfers [Mark 2]

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

Question 49 :In a share application form if an applicant applies for part subscription in demat form and part in physical form then [Mark 2]

Question 50 :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 51 :Can an investor dematerialise odd lot shares [Mark 1]

Question 52 :In case of a partnership firm the beneficial owner account will be opened in the name of [Mark 1]

Question 53 :Which is true for Indian Depository system [Mark 1]

Question 54 :In the Depository environment which of the following identity is unique to an investor [Mark 1]

Question 55 :An investor holding shares in demat form will get his bonus entitlement in [Mark 1]

Question 56 :Fungible means, as shares would not have distinguishing features such as distinctive nos, certificate nos etc [Mark 2]

Question 57 :The depository account that an investor opens is called as [Mark 1]

Question 58 :On death of any of the joint holders securities lying to the credit of the joint account can be transmitted in the name of surviving holders What is the procedure for the same [Mark 2]

Question 59 :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 60 :To dematerialise government securities NSDL has to take prior approval of [Mark 1]