Q 1. When there is a securities pledge transaction, who initiates the creation of a pledge?
Q 2. The transferee has to submit duly filled in ‘Receipt-instruction’(RI) form for every expected receipt if __________ .
Q 3. In India, the Securities and Exchange Board India (SEBI) has delegated the assigning of ISIN of various securities to NSDL - State whether True or False?
Q 4. Identify which of these are Corporate Actions?
Q 5. In an ISIN, the Pre-Fix is ______ .
Q 6. Identify which of these is a Cash Corporate action?
Q 7. No single depository participant can hold, at any point of time, more than ___ percent of the equity capital of a depository.
Q 8. For Government Securities, in case of different Loan Codes the Clients can submit a single DRF-GS and Form of Transfer. State whether True or False?
Q 9. Locked-in securities cannot be invoked before the lock-in release date - State whether True or False?
Q 10. _______ aims at streamlining settlement process by transfer of ownership of securities electronically by book entry without making the securities move from person to person.
Q 11. A Beneficiary account is an ownership account - State whether True or False?
Q 12. The Depository Participant, to keep the registration in force, shall pay registration fee two months prior to the expiry of the block for which the fee has been paid. - State whether True or False?
Q 13. Verified copies of Telephone bills (not more than three months old) can be given as proof of address for opening a Demat Account.
Q 14. The depositories also provide depository facility to the commodity exchanges for settlement of trades pertaining to warehouse receipts for commodities.
Q 15. Once a pledge/hypothecation request has been created and verified, the pledgor submits the duly stamped and signed Pledge Request Forms to the _____ for confirmation of the pledge/ hypothecation.
Q 16. Preference is given to those investors in a public issue who have chosen Demat allocation of securities. State whether True or False?
Q 17. Dematerialised securities are fungible and this means that all securities in the same class are _______ .
Q 18. A demat account can have maximum ________ joint holders.
Q 19. Demat request form for dematerializing government securities is same as that used for equity shares. State True or False?
Q 20. The ______________ is fully responsible for destruction, mutilation and cancellation of certificates received and accepted by it for dematerialization.
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