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NSDL-DP Mock Test 02 

Mock Test  :  RMG Student Exclusive :        
Total Marks 60

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10/21/2017 5:58:55 PM

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 [Marks 2]

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

Question 3 :When did NSDL launched a certification programme in depository operations [Mark 1]

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

Question 5 :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 [Marks 2]

Question 6 :UTI [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 [Marks 2]

Question 8 :If an investor requests for demat securities in case of public issue without having a depository account then [Marks 2]

Question 9 :An investor submits 10 share certificates of RPL all in market lot of 50 shares for dematerialisation 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 dematerialization calculate dematerialization charges by NSDL to the DP [Marks 2]

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

Question 11 :If a DP goes bankrupt what happens to the dematerialized holdings of investors with the DP [Marks 2]

Question 12 :A broker clearing member gives delivery to clearing corporation or house instruction to its DP What will be the movement of the shares [Marks 2]

Question 13 :Book building [Mark 1]

Question 14 :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 [Marks 2]

Question 15 :Tick the true statement [Marks 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 [Marks 2]

Question 17 :To dematerialise government securities NSDL has to take prior approval of [Marks 2]

Question 18 :On rematerialisation the share certificates are [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 [Marks 2]

Question 20 :If beneficial owner opts for demat securities in the public issue application form then the probability of allotment of the shares [Marks 2]

Question 21 :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 [Marks 2]

Question 22 :Tick the true statement [Marks 2]

Question 23 :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 24 :Which of the following options are available in case of freezing of a demat account 1st Freeze for debits only 2nd Freeze for credits only 3rd Freeze for debits as well as credits [Mark 1]

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

Question 26 :Dematerialisation is the [Mark 1]

Question 27 :Which of the following can appoint a nominee [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 [Marks 2]

Question 29 :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 [Marks 2]

Question 30 :In an application for opening an account for corporates or clearing members only which one of the following form part of types of accounts [Marks 2]

Question 31 :Bank particulars captured in the depository account opening form are of relevance for which of the following related activities [Marks 2]

Question 32 :Eligible securities for inter depository transfers are [Marks 2]

Question 33 :The custody fees payable by a DP to NSDL in respect of unlisted securities is paid [Mark 1]

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

Question 35 :Can a delivery instruction for transferring shares from a beneficiary account to a CM pool account be canceled [Marks 2]

Question 36 :DVP in the capital market context stands for [Mark 1]

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

Question 38 :Novation means [Marks 2]

Question 39 :The route to the depository as per the Depositories Act 1996 is [Marks 2]

Question 40 :Can shares that are not registered in the name of the account holder be dematerialised [Marks 2]

Question 41 :Fungible means as shares would not have distinguishing features such as distinctive nos certificate nos etc [Marks 2]

Question 42 :NSDL [Marks 2]

Question 43 :The account that an approved intermediary needs to open to dematerialise its own securities is called account in NSDL system [Marks 2]

Question 44 :The depository account that an investor opens is called as [Mark 1]

Question 45 :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 [Marks 2]

Question 46 :In case an investor opts for allotment in demat form in case of bonus or rights issue without opening a depository account [Marks 2]

Question 47 :What is the main purpose of bank account details in account opening form [Mark 1]

Question 48 :If the unitholder opts for either or survivor basis in case of his US64 units the demat request pertaining to them can be [Marks 2]

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

Question 50 :UTI [Mark 1]

Question 51 :All dematerialised securities are [Marks 2]

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

Question 53 :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 [Marks 2]

Question 54 :An investor holding shares in demat form will get his bonus entitlement in [Mark 1]

Question 55 :DP forwards certificates received for dematerialization along with DRF to [Mark 1]

Question 56 :Settlement in the NSE is based on [Mark 1]

Question 57 :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 [Marks 2]

Question 58 :Can locked in securities be dematerialized [Mark 1]

Question 59 :Name the odd one out [Marks 2]

Question 60 :Which of the following statements regarding dematerialization is false [Marks 2]