NISM DEPOSITORY OPERATIONS – 10

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You have reached of points, ()

  1. 1 points

    Transfer-cum-Demat facility is applicable for the shares upto

  2. 1 points

    _______ has powers to register and regulate all market intermediaries in the securities market.

  3. 1 points

    Demat request forms received by a DP must be forwarded to the RTA within a period of

  4. 1 points

    Confirmation by pledgor / hypothecator for invocation of pledge / hypothecation is required in case of

  5. 1 points

    Depositories in India:

  6. 1 points

    The events that affect the rights, obligations and/or interest of the beneficial owner of the securities held in a depository is called as Corporate Action

  7. 1 points

    The procedure for dematerialisation of debt instrument is same as that for equity shares.

  8. 1 points

    Transmission is used in case of

  9. 1 points

    Mr.X holds hundred shares of a scrip which is not admitted in the depository. What can he do to get his shares into Demat ?

  10. 1 points

    Participants are required to report information relating to suspicious transactions to FIU-IND with in _________

  11. 1 points

    Which of the following can be dematerialised?

  12. 1 points

    In NSDL the registered address of the Company as well as addresses of the person(s) authorised to operate the account on behalf of the Company have to be furnished.

  13. 1 points

    If the third character of the ISIN is mentioned as A, what does it indicate?

  14. 1 points

    Can either of the account holders sign in case of a depository account as is the case with a bank account?

  15. 1 points

    Can a delivery instruction for transferring shares from a beneficiary account to a CM pool account be canceled?

  16. 1 points

    The contract note/trade confirmation slip given by the broker/ sub-broker will indicate the settlement details

  17. 1 points

    What is the time limit specified by SEBI for demat

  18. 1 points

    In case of stock lending and borrowing, if the security is with the intermediary, the corporate benefit in respect of the securities so lent will be enjoyed by

  19. 1 points

    Can a Power of Attorney Account holder nominate

  20. 1 points

    Commodity traded / settled (in electronic form) with one exchange cannot be a part of settlement of trades for another exchange.

  21. 1 points

    Can locked-in Securities be pledged

  22. 1 points

    The IPA opens a Redemption account for the purpose of redemption of CPs. The beneficial holder should transfer the securities before _____________ so as to give sufficient time for the IPA to process the paper.

  23. 1 points

    Who is a Depository Participant?

  24. 1 points

    All the activities relating to issue of government securities are handled by ___ through its Public Debt Office.

  25. 1 points

    Which of the following is a non-cash corporate action?

  26. 1 points

    Can securities of more than one company dematerialize through single DRF

  27. 1 points

    To get allotments directly in dematerialised form for public offerings the application form should have provision for investors to furnish

  28. 1 points

    In CDSL for Corporate Accounts addresses of the person(s) authorized to operate the account on behalf of the company need not be furnished

  29. 1 points

    A DP may register the transfer of securities to or from a beneficial owners account only on receipt of instructions from the beneficial owner.

  30. 1 points

    In CDSL for Corporate Accounts PAN card of authorized signatories need not be verified with the originals or maintained for record purpose

  31. 1 points

    SRO comply only with their own rules and not with rules relevant under the securities laws

  32. 1 points

    The Compliance Officer of the Participant should submit a ‘Compliance Certificate’ to the depository once in

  33. 1 points

    Who cannot be a sponsor for a depository?

  34. 1 points

    An active ________ promotes the growth of the primary market and capital formation.

  35. 1 points

    PAN is NOT compulsory for

  36. 1 points

    The applicant who wish to become DP should furnish information and details of its business history for a minimum period of _____ years

  37. 1 points

    SEBI Regulations, 1996 prescribe a minimum net worth of Rs __________ for the applicants who are stockbrokers or non-banking finance companies , for granting a certificate of registration to act as a DP

  38. 1 points

    The _________ empowered to suspend or expel a DP, Freeze a DP account and conduct inspection or call for records and issue notices.

  39. 1 points

    What is the maximum time for Remat for R & T agents

  40. 1 points

    Physical securities registered in the name of more than three joint holders, can be dematerialised by:

  41. 1 points

    Though the beneficial ownership of jointly held securities vests in all joint holders, communications about the joint depository account are provided to _____________.

  42. 1 points

    For transmission of securities to the account of the new Karta from the account of the deceased Karta, the surviving members through the new Karta shall make a joint application to the DP.

  43. 1 points

    For registering as a DP, the application should be submitted to ______, who will in turn forward it to SEBI after evaluation.

  44. 1 points

    A scrip is available only in CDSL and not in NSDL. An investor demats his holding in CDSL and tries to transfer his balance to his NSDL account

  45. 1 points

    For trades done on exchanges, other than BSE, the auto pay-in is the default option, where auto pay-in instructions are not generated by the CC / CH

  46. 1 points

    Which of the following can be dematerialised? (A) Securitised Debt. (B) Unlisted Securities (C) Listed Shares

  47. 1 points

    Securities held in Transitory Account is for commercial purpose only

  48. 1 points

    Which of the following documents has to be preserved by the Depository?

  49. 1 points

    Inter Depository Transfer can be done by

  50. 1 points

    The records that a depository should maintain have to be preserved for a period of ________as per PMLA Act 2002.

  51. 1 points

    Banks, Financial Institutions and Intermediaries shall ____________.

  52. 1 points

    During distribution of dividends, companies should mandatorily print the bank account details furnished by the Depositories on the payment instruments.

  53. 1 points

    The final approval for recognising an entity as a Depository Participant is granted by

  54. 1 points

    As per ___________, with effect from June 30,2002, banks and Financial Institutions should issue CDs only in dematerialized form.

  55. 1 points

    Can nomination be made by individuals for Beneficiary accounts held jointly or singly?

  56. 1 points

    The Rights and Obligations document is between

  57. 1 points

    The SEBI Act, 1992 establishes SEBI with statutory powers for

  58. 1 points

    DP forwards certificates received for dematerialisation along with DRF to:

  59. 1 points

    Banks, FIs, PDs can invest in Commercial Papers only in Demat form

  60. 1 points

    Mr.X submits 100 shares of Asian Paints to his DP for demat. On scrutinizing it is found that the shares are under lockin. The DP returns the client citing so. Is this correct?

  61. 1 points

    In case of CDSL, the DRF used for Dematerialisation is the same for G-Sec as used for other securities

  62. 1 points

    Securities Contracts (Regulation) Act, 1956

  63. 1 points

    If beneficial owner opts for demat securities in the public issue application form then, the probability of allotment of the shares

  64. 1 points

    A depository can start functioning only after obtaining the

  65. 1 points

    Issuer/R&T Agent shall furnish a list of authorised officials who shall represent and interact with the depository within___________ of the execution of Tripartite agreement

  66. 1 points

    Once the Beneficiary Owner account opened, can the client change address.

  67. 1 points

    Among the following which cannot be Dematerialised?

  68. 1 points

    To determine the actual beneficial owner of securities for particular corporate action,the cut-off date is announced by the Issuer. Such cutoff date is known as ___.

  69. 1 points

    If a broker has obligation for auction-physical settlement, to whom will he give the delivery of the shares

  70. 1 points

    Which of the following statements regarding pledging of securities is false?

  71. 1 points

    Auto Delivery Obligations will not be generated in case of Irreversible Delivery Out Instructions.

  72. 1 points

    The Code of Conduct for the corporate sector in relation to issue, allotment and transfer of securities, disclosure to be made in public issue is prescribed as under

  73. 1 points

    Eligible securities for inter-depository transfers are:

  74. 1 points

    A resident Indian can also be a Foreign Portfolio Investor. State True or False?

  75. 1 points

    In case of Invocation of Hypothecation, confirmation instructions should be received from ___.

  76. 1 points

    To become a Depository Participant minimum Networth required is Rs 10 Crore

  77. 1 points

    RBI does not register transfer of securities during ________.

  78. 1 points

    DPs are authorised to merge the securities kept under various accounts of the clients maintained with same DP

  79. 1 points

    Clearing Member is required to give the______________ to the Participants for securities lying within a same CM account but in different settlement a pocket.

  80. 1 points

    Pick the odd one out

  81. 1 points

    The physical share certificates are held in the name of Mr. A and Mr. B where Mr. A is the first holder and Mr. B is the second holder. Can these shares be dematerialised in the demat account where Mr. B is the first holder and Mr. A is the second holder?

  82. 1 points

    The powers under the Companies Act relating to issue and transfer of securities and non-payment of dividend are administered by

  83. 1 points

    The first two digits in ISIN indicates

  84. 1 points

    Which act has made the securities of companies freely transferable and dispensed the transfer deed requirements stated in the Companies Act

  85. 1 points

    Auction happens when

  86. 1 points

    Trading periods of each of the market segments is identified by a

  87. 1 points

    Who shall be a Foreign Portfolio Investor?

  88. 1 points

    All BOs opting for the facility of BSDA, shall register their mobile number for availing the SMS alert facility for debit transactions. State whether True or False?

  89. 1 points

    To credit the securities directly to his clients account at the time of pay-out CM should inform the details of securities to

  90. 1 points

    In the instruction forms related to settlement, ‘market type’ indicates:

  91. 1 points

    ICIN for same commodity differs from exchange to exchange.

  92. 1 points

    To dematerialise government securities, NSDL has to take prior approval of:

  93. 1 points

    For the demat account holders, the non cash corporate benefits are distributed to the holders –

  94. 1 points

    ISIN of issued security is

  95. 1 points

    An intermediary account is opened for the purpose of

  96. 1 points

    Pledge Transactions between Pledgor and Pledgee are Identified by

  97. 1 points

    In CDSL Transferee has to give _________ instruction inorder to receive securities into his/her account

  98. 1 points

    When a pledgee initiates invocation on a certain share the invocation will be based on

  99. 1 points

    Which of the following fields in account opening form are mandatory? A) Bank details B) PAN C) Type of Account

  100. 1 points

    What is the maturity period of Dated Securities?