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NSDL-DP Mock Test 07 

Mock Test  :  RMG Student Exclusive :        
Total Marks 100

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10/21/2017 10:52:37 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 :Which of the following instructions from the Pledge or Hypothecation form should be used by a pledgor after repayment of loan to get the pledged shares back as free balances [Mark 1]

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

Question 4 :What is shut period [Mark 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 [Mark 2]

Question 6 :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 7 :The charges for dematerialisation of securities related services to be paid by the investors are levied by _______ [Mark 1]

Question 8 :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 9 :GDR [Mark 2]

Question 10 :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 [Mark 2]

Question 11 :The Approved Intermediary for securities lending and borrowing has to be registered with _______ [Mark 2]

Question 12 :If a DP goes bankrupt what happens to the dematerialized holdings of investors with the DP [Mark 2]

Question 13 :As per SEBIs Securities Lending and Borrowing Scheme the networth requirement for an Approved Intermediary is _________ [Mark 2]

Question 14 :Book building [Mark 1]

Question 15 :SEBI Act 1992 was enacted to Empower SEBI with statutory powers for [Mark 1]

Question 16 :Tick the true statement [Mark 2]

Question 17 :Who is the Registered owner of the securities in NSDL Depository System [Mark 1]

Question 18 :To dematerialise government securities NSDL has to take prior approval of [Mark 2]

Question 19 :Securities Contracts Regulation Act 1956 gives the Central Government regulatory jurisdiction over [Mark 2]

Question 20 :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 21 :Resolution by arbitration for disputes between NSDL and its business partners [Mark 1]

Question 22 :The counterparty for every transaction in the stock Exchange is [Mark 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 :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 25 :Which of the following provides for inter connectivity amongst various depositories in the scenario of multiple depositories [Mark 2]

Question 26 :Which scrips have to be compulsorily settled in demat form by all categories of investors with effect from January 4 1999 [Mark 2]

Question 27 :Which of the following can appoint a nominee [Mark 1]

Question 28 :If beneficial owner opts for demat securities in the public issue application form then the probability of allotment of the shares _______ [Mark 1]

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 [Mark 2]

Question 30 :Which of the following Government Securities are available for demat and transfer [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 :There can be maximum of _______ nominees per demat account [Mark 2]

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

Question 34 :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 35 :Can a delivery instruction for transferring shares from a beneficiary account to a CM pool account be canceled [Mark 2]

Question 36 :A broking member registered as a partnership firm should open its clearing member account with a DP in the _________ [Mark 1]

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

Question 38 :Which of the following will not be a part of the PDRF [Mark 2]

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

Question 40 :What is the minimum annual transaction fees payable by a DP to NSDL [Mark 2]

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

Question 42 :In the International Securities Identification Number the first two letters stand for which of the following [Mark 2]

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

Question 44 :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 120 Demat segment of BSE 125 BE segment of NSE 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 the DP to Mr Shah [Mark 2]

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 [Mark 2]

Question 46 :The final approval for recognising an entity as a Depository Participant is granted by _____ [Mark 2]

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

Question 48 :The function of ascertaining pay in or pay out of brokers who have traded on the stock exchange is performed by _________ [Mark 1]

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

Question 51 :All dematerialised securities are [Mark 2]

Question 52 :A Participant can submit the claim for waiver of transaction fee charged on account of minor attaining majority to NSDL as per the prescribed format __________ [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 [Mark 2]

Question 54 :The interest payable on securities lent is _____ [Mark 2]

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

Question 56 :In the context of dividend distribution what is the full form of ECS [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 [Mark 2]

Question 58 :The pay in and pay out dates for the settlement calendar is declared [Mark 1]

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

Question 60 :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 [Mark 2]