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NSDL-DP Mock Test 03 

Mock Test  :  RMG Student Exclusive :        
Total Marks 60

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10/21/2017 10:52:44 AM

Total Questions  60
 

Pass Marks is 55%

Time Left : 00:00:00 Hrs

 


Question 1 :When did NSDL launched a certification programme in depository operations [Marks 2]





Question 2 :SEBI Act 1992 was enacted to Empower SEBI with statutory powers for [Mark 1]





Question 3 :Securities Contracts Regulation Act 1956 gives the Central Government regulatory jurisdiction over [Marks 2]





Question 4 :SEBI has recently started a system for Improved disclosures by listed companies it is called [Marks 2]





Question 5 :Which of the following contract is not available in Indian Derivatives Market [Mark 1]





Question 6 :It was specified in 1993 that the governing boards of stock exchanges must have [Marks 2]





Question 7 :The counterparty for every transaction in the stock Exchange is [Marks 2]





Question 8 :Which of the following are not the key points of Depositories Act 1996 [Marks 2]





Question 9 :Depository Participants is described as an ______________of the depository governed by SEBI Act [Mark 1]





Question 10 :Minimum net worth required for becoming a DP by applicants who are stockbrokers or non banking finance companies [Marks 2]





Question 11 :Minimum net worth required for becoming a DP by applicants who are R and T Agents [Marks 2]





Question 12 :Which of the following securities or Papers can not be kept in Depositories [Marks 2]





Question 13 :An internet based facility far clients of Depository Participants that enables the account holders to submit instructions to their DPs is [Marks 2]





Question 14 :An internet based facility far clients of Depository Participants that enables the account holders to view their account statement is [Marks 2]





Question 15 :What is the maximum delay time for online updates in SPEED or IDeAS [Mark 1]





Question 16 :NSDL has developed its third Internet based application for Securities Trading Information Easy Access and Delivery known as [Marks 2]





Question 17 :Which of the following is not true for the word Immobalisation [Marks 2]




Question 18 :Which of the following is not a true statement related to the word Dematerialisation of securities [Marks 2]





Question 19 :Who is the Registered owner of the securities in NSDL Depository System [Mark 1]





Question 20 :Who is the Beneficiary owner of the securities in NSDL Depository System [Marks 2]





Question 21 :Which of the following is not a feature of Indian Depository System [Marks 2]





Question 22 :In the depository system the securities dematerialised are not identified by distinctive numbers or certificate numbers as in the physical environment this feature is called [Marks 2]





Question 23 :A Depository provides which of the following services [Marks 2]





Question 24 :In case of transactions in a bank account anyone of the joint holders can sign the instructions whereas in the depository all joint holders are required to sign all the instructions [Mark 1]



Question 25 :Just Like a bank which uses the funds held in a bank account for lending purposes A depository can use the clients security balances for Lending purpose [Marks 2]



Question 26 :As per Depository Act and Bye Laws a Depository have to maintain all records for [Mark 1]





Question 27 :A foreign bank operating in India can become a Depository Participant [Mark 1]




Question 28 :The sponsors of the depository have to hold at least ________ of the equity capital of the depository company [Mark 1]





Question 29 :A Depository Participant can hold stake in Equity Capital of a Depository but not more than [Marks 2]





Question 30 :A foreign entity can hold stake in Equity Capital of a Depository and individually or collectively either as a sponsor or as a DP or as a sponsor and DP together however it can not be more than [Marks 2]





Question 31 :NSDL commenced operations on [Marks 2]





Question 32 :NSDL as a depository was sponsored by [Mark 1]





Question 33 :NSDL is a __________ company [Mark 1]




Question 34 :SEBI regulation requires that the net worth of a Depository should be [Marks 2]





Question 35 :Rematerialisation is not possible Indian Depository environment [Mark 1]



Question 36 :In the Indian Depository Environment NSDL Charges the DP and the DP in turn charges to their clients [Mark 1]



Question 37 :The DPs are free to make their own charge list for their clients against the services [Mark 1]



Question 38 :Which of the following statements are true for Disciplinary Action Committee [Marks 2]





Question 39 :DP has the right to appeal to the EC against the action of the DAC [Mark 1]



Question 40 :Any appeal against DAC has to be filed within ___ Days [Marks 2]





Question 41 :All disputes differences and claims arising out of any dealings on the NSDL and irrespective of whether NSDL is a party to it or not have to be settled under the [Marks 2]





Question 42 :NSDL central system which is connected to different constituents through V SAT or leased lines is known as [Marks 2]





Question 43 :DPs working system which is connected to NSDL central system through V SAT or leased lines is known as [Marks 2]





Question 44 :Issuers working system which is connected to NSDL central system through V SAT or leased lines is known as [Marks 2]





Question 45 :Stock Exchange working system which is connected to NSDL central system through V SAT or leased lines is known as [Marks 2]





Question 46 :What is said to be a Business Partner Systems in a depository environment [Marks 2]





Question 47 :Any two business partners systems can communicate to each through [Marks 2]





Question 48 :The aggregate value of the securities of the beneficial owners held in dematerialized form cannot be more than __________the net worth for a stockbroker DP {networth small than 10 crs} [Marks 2]





Question 49 :Schedule of charges is a part of the agreement between client and DP [Mark 1]



Question 50 :The Account opened by a DP for its own securities is known as [Marks 2]





Question 51 :NSDL Bye Laws require each DP to provide [Marks 2]





Question 52 :If a Client subscribes to IDeAS [Marks 2]





Question 53 :All Business partners of NSDL have to take back ups every day without fail in [Mark 1]





Question 54 :Application software generates transaction logs and writes on to a client machine every [Mark 1]





Question 55 :In stock lending or borrowing process what is the transaction fee charged by NSDL to lenders DP for moving securities from lenders account to Authorised Intermediary account [Marks 2]





Question 56 :A DP who is a ______________ should provide to NSDL and SEBI any details regarding any suspension or termination or defaults or any disputes in relation to its dealing with the clearing corporation within 2 working days [Marks 2]





Question 57 :In the context of dividend distribution what is the full form of ECS [Marks 2]





Question 58 :Is it mandatory for Banks and Financial Institutions and Primary Dealers and Satellite Dealers to subscribe to Commercial Paper in Demat form only [Mark 1]





Question 59 :Which of the following Government Securities are available for demat and transfer [Marks 2]





Question 60 :As per SEBI requirements a broker has to deliver shares to the buying investor [Mark 1]