NISM DEPOSITORY OPERATIONS - 1
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Question 1 of 100
1. Question
1 pointsThe _________ remains the beneficial owner in the records of the depository for the securities held in a minor account until he/she becomes a major
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Question 2 of 100
2. Question
1 pointsWhat is the eligibility criterion for opening a Basic Services Demat Account (BSDA)?
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Question 3 of 100
3. Question
1 pointsDepositories in India:
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Question 4 of 100
4. Question
1 pointsExecution date refers to the date of
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Question 5 of 100
5. Question
1 pointsIt is possible for investors to transpose names of the joint holders alongwith the process of dematerialisation through their DPs
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Question 6 of 100
6. Question
1 pointsWhich of the following type of Demat is not permitted by SEBI
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Question 7 of 100
7. Question
1 pointsPayout of securities refer to
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Question 8 of 100
8. Question
1 pointsWhat is shut period?
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Question 9 of 100
9. Question
1 pointsThe main objectives of the SEBI act are to
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Question 10 of 100
10. Question
1 pointsA Depository company must have a net worth of
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Question 11 of 100
11. Question
1 pointsAfter giving request for Remat of securities a client can receive physical securities within 45 days
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Question 12 of 100
12. Question
1 pointsThe fee structure of a DP is made available to the account holder
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Question 13 of 100
13. Question
1 pointsWho has permitted NSDL to allot an ISIN for demat shares?
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Question 14 of 100
14. Question
1 pointsA broking member registered as a partnership firm, should open its clearing member account with a DP in the
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Question 15 of 100
15. Question
1 pointsIn case of Invocation of Hypothecation, confirmation instructions should be received from ___.
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Question 16 of 100
16. Question
1 pointsThe key term that distinguish one debt instrument from another are
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Question 17 of 100
17. Question
1 pointsWithin how many days the DP should forward RRF to the Issuer or its R&T Agent after accepting it from the client?
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Question 18 of 100
18. Question
1 pointsICIN for same commodity differs from exchange to exchange.
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Question 19 of 100
19. Question
1 pointsDevolution of title to shares can be due to
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Question 20 of 100
20. Question
1 pointsAs per the PMLA Act 2002, the Compliance Officer of the DP is required to submit a Compliance Certificate every
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Question 21 of 100
21. Question
1 pointsEvery issuer must enter into an agreement with depository for offering its securities for demat. The following is true with respect to the statement made
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Question 22 of 100
22. Question
1 pointsCan a Computer generated Bank Statement printed on plain paper serve as address proof?
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Question 23 of 100
23. Question
1 pointsIf the third character of the ISIN is mentioned as B, what does it indicate?
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Question 24 of 100
24. Question
1 pointsDI slip should contain which of the following details in case securities are being transferred to the clearing member accounts in a market settlement
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Question 25 of 100
25. Question
1 pointsIn the application form for Public Issues Investor has to mention
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Question 26 of 100
26. Question
1 pointsIn case of government securities sent for dematerialisation, the DP will endorse the certificates
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Question 27 of 100
27. Question
1 pointsThe securities offered in the public offer can only be traded in the stock exchange in demat form?
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Question 28 of 100
28. Question
1 pointsOnly a guardian can open a depository account for a minor.
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Question 29 of 100
29. Question
1 pointsTo get allotments directly in dematerialised form for public offerings the application form should have provision for investors to furnish
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Question 30 of 100
30. Question
1 pointsHow many ISIN can be allotted to an issuer?
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Question 31 of 100
31. Question
1 pointsThe following are the transitory accounts
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Question 32 of 100
32. Question
1 pointsWithin how many days of request for remat of securities should the client receive the physical securities
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Question 33 of 100
33. Question
1 pointsIn case of Certificate of Deposit, the minimum size to be subscribed / transacted by investor in Depository system is ________
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Question 34 of 100
34. Question
1 pointsSecurities Contracts (Regulation) Act, 1956
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Question 35 of 100
35. Question
1 pointsAn Investor has opened Demat account in the name Arun Kumar Khanna. He can dematerialise shares held in the form
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Question 36 of 100
36. Question
1 pointsSecurities held in Transitory Account is for commercial purpose only
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Question 37 of 100
37. Question
1 pointsMr.X holds hundred shares of a scrip which is not admitted in the depository. What can he do to get his shares into Demat ?
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Question 38 of 100
38. Question
1 pointsAmong the following which cannot be Dematerialised?
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Question 39 of 100
39. Question
1 pointsWill dematerialization be rejected, if part of certificates in a single DRF pertains to locked-in status
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Question 40 of 100
40. Question
1 pointsSeparate DRFs have to be submitted for:
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Question 41 of 100
41. Question
1 pointsAs per SEBI regulation the BO should give delivery instruction in physical form for market trades on T+1 by
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Question 42 of 100
42. Question
1 pointsA 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
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Question 43 of 100
43. Question
1 pointsOnly those BOs are eligible for corporate action benefits who hold shares on
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Question 44 of 100
44. Question
1 pointsPower of Attorney has to be given on a stamp paper of value
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Question 45 of 100
45. Question
1 pointsIn an application for opening an account for Individuals, which one of the following does not form a part of types of accounts?
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Question 46 of 100
46. Question
1 pointsInvestor Grievances Report to be submitted to Depository by its participants on ________ basis
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Question 47 of 100
47. Question
1 pointsDP forwards DRF-GS to Depository within how many days
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Question 48 of 100
48. Question
1 pointsWhich of the following can appoint a nominee?
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Question 49 of 100
49. Question
1 pointsFor the securities dematerialized, the Registered owner in the books of the Issuer is
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Question 50 of 100
50. Question
1 pointsIn the context of Pledge IRF stands for
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Question 51 of 100
51. Question
1 pointsIssuer/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
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Question 52 of 100
52. Question
1 pointsAccount holders who have executed a Power Of Attorney can be denied Delivery Instruction Slip (DIS) books
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Question 53 of 100
53. Question
1 pointsFor transferring the shares from one account to another , the client has to submit
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Question 54 of 100
54. Question
1 pointsPayin of securities refer to
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Question 55 of 100
55. Question
1 pointsA DP may choose to terminate its participation in the depository by giving_________
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Question 56 of 100
56. Question
1 pointsThe 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
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Question 57 of 100
57. Question
1 pointsAn 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.
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Question 58 of 100
58. Question
1 pointsWhen a pledgee initiates invocation on a certain share the invocation will be based on
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Question 59 of 100
59. Question
1 pointsDuring distribution of dividends, companies should mandatorily print the bank account details furnished by the Depositories on the payment instruments.
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Question 60 of 100
60. Question
1 pointsSEBI 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
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Question 61 of 100
61. Question
1 pointsThe depository acts as a R&T Agent and discharges RTA functions for G-Secs
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Question 62 of 100
62. Question
1 points___________ facility is used to avail margin exemptions and other applicable benefits.
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Question 63 of 100
63. Question
1 pointsCapital Market comprises of
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Question 64 of 100
64. Question
1 pointsThe ______________ acts as a R&T Agent and discharges R&T Agent functions for G-Secs.
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Question 65 of 100
65. Question
1 pointsIf the lender has unilateral right to appropriate the securities to his account the transaction is called a __________.
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Question 66 of 100
66. Question
1 pointsDP issues a separate transaction statement for debt instruments
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Question 67 of 100
67. Question
1 pointsA DP may register the transfer of securities to or from a beneficial owners account only on receipt of instructions from the beneficial owner.
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Question 68 of 100
68. Question
1 pointsThe __________ will forward the application to SEBI to obtain the Certificate of Registration of a Depository
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Question 69 of 100
69. Question
1 points_______________ refers to trade in government security wherein both the parties have their beneficial accounts with the same depository
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Question 70 of 100
70. Question
1 pointsWhich of the following statements regarding pledging of securities is false?
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Question 71 of 100
71. Question
1 pointsIn an application for opening an account (for individuals only), which one of the following form part of types of accounts?
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Question 72 of 100
72. Question
1 pointsIn the ISIN INF476D01012, the third alphabet F represents
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Question 73 of 100
73. Question
1 pointsIn case of Multiple Pledge Transactions entering the Agreement number is optional in CDSL system.
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Question 74 of 100
74. Question
1 pointsWhich Option provides an investor of demanding repayment on the debt instrument at a time earlier than the final redemption date?
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Question 75 of 100
75. Question
1 pointsDPs are approved by
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Question 76 of 100
76. Question
1 pointsIn the context of Public Issues the Public Offer Control instruction communicated to DP by Depository gives details about the following
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Question 77 of 100
77. Question
1 pointsWho acts as an electronic RTA when Government is an Issuer?
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Question 78 of 100
78. Question
1 pointsThe agreement between a DP and a client is
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Question 79 of 100
79. Question
1 pointsWhich form is used by Pledgee in case a pledgor defaults on Payments?
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Question 80 of 100
80. Question
1 pointsOnce the beneficial owner account is opened, can the details regarding Name & Type of Account be changed?
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Question 81 of 100
81. Question
1 pointsThe __________ is entitled to all rights and benefits as well as subject to all liabilities in respect of the securities held in the depository.
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Question 82 of 100
82. Question
1 pointsThe Rights and Obligations document is between
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Question 83 of 100
83. Question
1 pointsWhich of the following should be mandatorily printed by Issuers on payment instrument?
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Question 84 of 100
84. Question
1 pointsIn Public Issues the accounts of all the successful allottees will be credited with securities on
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Question 85 of 100
85. Question
1 pointsIn Public Issues the accounts of all the successful allottees will be credited with securities on
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Question 86 of 100
86. Question
1 pointsDoes DP provide the facility of transmission along with dematerialisation of physical securities?
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Question 87 of 100
87. Question
1 pointsWhich are the documents to be sent in case of joint a/c for transmission
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Question 88 of 100
88. Question
1 pointsin case of pledge, confirmation is required in DPM of the pledgors DP for transferring securities from pledgors account to pledgees account
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Question 89 of 100
89. Question
1 pointsDuring the time when there was no demat of securuities, for transfer of securities, __________ was evidence of change of ownership.
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Question 90 of 100
90. Question
1 pointsOff market trades are
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Question 91 of 100
91. Question
1 pointsThe certificate of registration granted to a DP may be suspended by SEBI if it is found that the DP has:
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Question 92 of 100
92. Question
1 pointsInvestors 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?
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Question 93 of 100
93. Question
1 pointsThe 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.
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Question 94 of 100
94. Question
1 pointsIn 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?
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Question 95 of 100
95. Question
1 pointsThe depository as a registered owner has
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Question 96 of 100
96. Question
1 pointsAll dematerialised securities are:
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Question 97 of 100
97. Question
1 pointsDematerialisation request can be rejected by Issuer or R&T agent in case
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Question 98 of 100
98. Question
1 pointsOnce the commodity’s expiry date is over, investor has to
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Question 99 of 100
99. Question
1 pointsWhich of the following details are not mandatory in the DRF-GS, filled by the investor while submitting the securities for dematerialisation ?
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Question 100 of 100
100. Question
1 pointsWhich of the following statements regarding dematerialisation is false?
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