NISM DEPOSITORY OPERATIONS – 1

The _________ remains the beneficial owner in the records of the depository for the securities held in a minor account until he/she becomes a major

What is the eligibility criterion for opening a Basic Services Demat Account (BSDA)?

Depositories in India:

Execution date refers to the date of

It is possible for investors to transpose names of the joint holders alongwith the process of dematerialisation through their DPs

Which of the following type of Demat is not permitted by SEBI

Payout of securities refer to

What is shut period?

The main objectives of the SEBI act are to

A Depository company must have a net worth of

After giving request for Remat of securities a client can receive physical securities within 45 days

The fee structure of a DP is made available to the account holder

Who has permitted NSDL to allot an ISIN for demat shares?

A broking member registered as a partnership firm, should open its clearing member account with a DP in the

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

The key term that distinguish one debt instrument from another are

Within how many days the DP should forward RRF to the Issuer or its R&T Agent after accepting it from the client?

ICIN for same commodity differs from exchange to exchange.

Devolution of title to shares can be due to

As per the PMLA Act 2002, the Compliance Officer of the DP is required to submit a Compliance Certificate every

Every issuer must enter into an agreement with depository for offering its securities for demat. The following is true with respect to the statement made

Can a Computer generated Bank Statement printed on plain paper serve as address proof?

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

DI slip should contain which of the following details in case securities are being transferred to the clearing member accounts in a market settlement

In the application form for Public Issues Investor has to mention

In case of government securities sent for dematerialisation, the DP will endorse the certificates

The securities offered in the public offer can only be traded in the stock exchange in demat form?

Only a guardian can open a depository account for a minor.

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

How many ISIN can be allotted to an issuer?

The following are the transitory accounts

Within how many days of request for remat of securities should the client receive the physical securities

In case of Certificate of Deposit, the minimum size to be subscribed / transacted by investor in Depository system is ________

Securities Contracts (Regulation) Act, 1956

An Investor has opened Demat account in the name Arun Kumar Khanna. He can dematerialise shares held in the form

Securities held in Transitory Account is for commercial purpose only

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 ?

Among the following which cannot be Dematerialised?

Will dematerialization be rejected, if part of certificates in a single DRF pertains to locked-in status

Separate DRFs have to be submitted for:

As per SEBI regulation the BO should give delivery instruction in physical form for market trades on T+1 by

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

Only those BOs are eligible for corporate action benefits who hold shares on

Power of Attorney has to be given on a stamp paper of value

In an application for opening an account for Individuals, which one of the following does not form a part of types of accounts?

Investor Grievances Report to be submitted to Depository by its participants on ________ basis

DP forwards DRF-GS to Depository within how many days

Which of the following can appoint a nominee?

For the securities dematerialized, the Registered owner in the books of the Issuer is

In the context of Pledge IRF stands for

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

Account holders who have executed a Power Of Attorney can be denied Delivery Instruction Slip (DIS) books

For transferring the shares from one account to another , the client has to submit

Payin of securities refer to

A DP may choose to terminate its participation in the depository by giving_________

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

An institution engaged in providing financial services where not less than 75% of the equity is held jointly or severally by these institutions, can become a depository.

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

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

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

The depository acts as a R&T Agent and discharges RTA functions for G-Secs

___________ facility is used to avail margin exemptions and other applicable benefits.

Capital Market comprises of

The ______________ acts as a R&T Agent and discharges R&T Agent functions for G-Secs.

If the lender has unilateral right to appropriate the securities to his account the transaction is called a __________.

DP issues a separate transaction statement for debt instruments

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

The __________ will forward the application to SEBI to obtain the Certificate of Registration of a Depository

_______________ refers to trade in government security wherein both the parties have their beneficial accounts with the same depository

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

In an application for opening an account (for individuals only), which one of the following form part of types of accounts?

In the ISIN INF476D01012, the third alphabet F represents

In case of Multiple Pledge Transactions entering the Agreement number is optional in CDSL system.

Which Option provides an investor of demanding repayment on the debt instrument at a time earlier than the final redemption date?

DPs are approved by

In the context of Public Issues the Public Offer Control instruction communicated to DP by Depository gives details about the following

Who acts as an electronic RTA when Government is an Issuer?

The agreement between a DP and a client is

Which form is used by Pledgee in case a pledgor defaults on Payments?

Once the beneficial owner account is opened, can the details regarding Name & Type of Account be changed?

The __________ is entitled to all rights and benefits as well as subject to all liabilities in respect of the securities held in the depository.

The Rights and Obligations document is between

Which of the following should be mandatorily printed by Issuers on payment instrument?

In Public Issues the accounts of all the successful allottees will be credited with securities on

In Public Issues the accounts of all the successful allottees will be credited with securities on

Does DP provide the facility of transmission along with dematerialisation of physical securities?

Which are the documents to be sent in case of joint a/c for transmission

in case of pledge, confirmation is required in DPM of the pledgors DP for transferring securities from pledgors account to pledgees account

During the time when there was no demat of securuities, for transfer of securities, __________ was evidence of change of ownership.

Off market trades are

The certificate of registration granted to a DP may be suspended by SEBI if it is found that the DP has:

Investors do not wish certain securities credited to their demat accounts to be considered for the RGESS, then they will be required to submit declaration in a prescribed format within ______ month from the date of transaction?

The DRF used for other securities should be superscribed with DRF-GS in CDSL, whereas a separate DRF known as DRF-GS is used in NSDL and it cannot be used for other securities.

In the case of Transfer CUM Demat, which of the following is required to be submitted along with physical share certificates at the time of dematerialisation?

The depository as a registered owner has

All dematerialised securities are:

Dematerialisation request can be rejected by Issuer or R&T agent in case

Once the commodity’s expiry date is over, investor has to

Which of the following details are not mandatory in the DRF-GS, filled by the investor while submitting the securities for dematerialisation ?

Which of the following statements regarding dematerialisation is false?