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FREE NISM MOCK TESTFor NISM Series VI: Depository Operations
Certification Examination
Default address Avenue, 4214, Postal code 80.250-210 / Curitiba
PR BR +55 32 3836 55 55 +55 32 9685 55 55||www.default.com LOGO
AREA+55 32 3836 55 55 +55 32 9685 55 55Default address Avenue,
4214, Postal code 80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________NISM
Series VI: Depository Operations Certification Examination FREE
MOCK TESTThe examination seeks to create a common minimum knowledge
benchmark for associated persons engaged or employed by a
registered depository participant in (a) dealing or interacting
with clients, (b) dealing with securities of clients, (c) handling
redressal of investor grievances, (d) internal control or risk
management, (e) activities having a bearing on operational risk, or
(f) maintenance of books and records pertaining to the above
activities.
The certification aims to enhance the quality of services as
rendered by the Depository Participants.
Assessment StructureThe examination consists of 100 questions of
1 mark each and should be completed in 2 hours. The passing score
for the examination is 60%. There shall be negative marking of 25%
of the marks assigned to a question.
NISM Certification ExaminationsFree Study Materials and Free
Mocks Tests available at www.prepcafe.in LOGO AREA+55 32 3836 55 55
+55 32 9685 55 55Default address Avenue, 4214, Postal code
80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________Q1.
In stock lending/ borrowing process, what is the transaction fee
charged by NSDL to lender's DP for moving securities from lender's
account to Authorised Intermediary (AI)'s account?
0.05% OF THE VALUE OF SECURITIES LENT BY LENDER TO
INTERMEDIARY0.01% OF THE VALUE OF SECURITIES LENT BY LENDER TO
INTERMEDIARYRS. 25/- PER TRANSACTIONNO CHARGESNISM Series VI:
Depository Operations Certification Examination FREE MOCK TESTNISM
Certification ExaminationsFree Study Materials and Free Mocks Tests
available at www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685
55 55Default address Avenue, 4214, Postal code 80.250-210 /
Curitiba PR BR
www.default.com_____________________________________________________Q2.
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
CLEARING CORPORATIONSUB- BROKERCLEARING MEMBER OF A CLEARING
CORPORATIONBANKER OF A CLEARING CORPORATIONNISM Series VI:
Depository Operations Certification Examination FREE MOCK TESTNISM
Certification ExaminationsFree Study Materials and Free Mocks Tests
available at www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685
55 55Default address Avenue, 4214, Postal code 80.250-210 /
Curitiba PR BR
www.default.com_____________________________________________________Q3.
The account opening form should be signed by ______ in case of
minor.THE GUARDIANTHE MINORBOTH OF THE ABOVENONE OF THE ABOVENISM
Series VI: Depository Operations Certification Examination FREE
MOCK TESTNISM Certification ExaminationsFree Study Materials and
Free Mocks Tests available at www.prepcafe.in LOGO AREA+55 32 3836
55 55 +55 32 9685 55 55Default address Avenue, 4214, Postal code
80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________Q4.
The pay-in and pay out dates for the settlement calendar is
declared
BY SEBIBY NSDLAS PER THE SECURITIES CONTRACT REGULATION ACT,
L957BY THE RESPECTIVE STOCK EXCHANGESNISM Series VI: Depository
Operations Certification Examination FREE MOCK TESTNISM
Certification ExaminationsFree Study Materials and Free Mocks Tests
available at www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685
55 55Default address Avenue, 4214, Postal code 80.250-210 /
Curitiba PR BR
www.default.com_____________________________________________________Q5.
The 'statement of account' forwarded to an account holder shows
DETAILS AS AGREED BETWEEN THE ACCOUNT HOLDER AND NSDLDETAILS AS
AGREED BETWEEN THE ACCOUNT HOLDER AND THE DPTHE BALANCE OF
SECURITIES LYING TO THE CREDIT OF THE ACCOUNT HOLDER AS ON THE LAST
DAY AND ALSO THE TRANSACTIONS, IF ANY, DONE DURING THE PERIOD FOR
WHICH THE STATEMENT IS ISSUEDONLY THE BALANCE OF SECURITIES LYING
TO THE CREDIT OF THE ACCOUNT HOLDER AS ON THE LAST DAY OF THE
PERIOD FOR WHICH THE STATEMENT IS ISSUEDNISM Series VI: Depository
Operations Certification Examination FREE MOCK TESTNISM
Certification ExaminationsFree Study Materials and Free Mocks Tests
available at www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685
55 55Default address Avenue, 4214, Postal code 80.250-210 /
Curitiba PR BR
www.default.com_____________________________________________________Q6.
In the context of dividend distribution,what is the full form of
ECS?
EXTENDED CLEARING SYSTEMEXTENDED CREDIT SYSTEMELECTRONIC CREDIT
SYSTEMELECTRONIC CLEARING SYSTEMNISM Series VI: Depository
Operations Certification Examination FREE MOCK TESTNISM
Certification ExaminationsFree Study Materials and Free Mocks Tests
available at www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685
55 55Default address Avenue, 4214, Postal code 80.250-210 /
Curitiba PR BR
www.default.com_____________________________________________________Q7.
Is it mandatory for Banks,Financial Institutions,Primary Dealers
and Satellite Dealers to subscribe to Commercial Paper (CPs) in
Demat form only?
NO, IT IS NOT MANDATORY. CP'S CAN BE HELD IN PHYSICAL FORM WITH
SEBI APPROVALNO, IT IS NOT MANDATORY. CP'S CAN BE HELD IN PHYSICAL
FORM WITH RBI APPROVALYES, IT IS MANDATORYNO,IT IS NOT MANDATORY.
CP'S CAN BE HELD IN PHYSICAL FORM WITH NSDL APPROVALNISM Series VI:
Depository Operations Certification Examination FREE MOCK TESTNISM
Certification ExaminationsFree Study Materials and Free Mocks Tests
available at www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685
55 55Default address Avenue, 4214, Postal code 80.250-210 /
Curitiba PR BR
www.default.com_____________________________________________________Q8.
The interest payable on securities lent is ____
AS PER THE AGREEMENT BETWEEN THE LENDER, INTERMEDIARY AND NSDLAS
PER THE AGREEMENT BETWEEN THE DP AND THE LENDERAS PER THE AGREEMENT
BETWEEN THE LENDER AND THE INTERMEDIARYAS PER THE AGREEMENT BETWEEN
THE LENDER AND NSDLNISM Series VI: Depository Operations
Certification Examination FREE MOCK TESTNISM Certification
ExaminationsFree Study Materials and Free Mocks Tests available at
www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685 55 55Default
address Avenue, 4214, Postal code 80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________Q9.
In case of pledged balance in demat form, the corporate benefits
will flow to the
PLEDGEEPLEDGORPLEDGOR/ PLEDGEE AT THE DISCRETION OF THE PARTIES
CONCERNEDPLEDGOR/ PLEDGEE AT THE DISCRETION OF THE ISSUING CONISM
Series VI: Depository Operations Certification Examination FREE
MOCK TESTNISM Certification ExaminationsFree Study Materials and
Free Mocks Tests available at www.prepcafe.in LOGO AREA+55 32 3836
55 55 +55 32 9685 55 55Default address Avenue, 4214, Postal code
80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________Q10.
Which of the following Government Securities are available for
demat and transfer?
ALL SECURITIES ISSUED BY THE CENTRAL AND STATE GOVERNMENTS. DP
HAS TO MERELY WRITE TO NSDL G-SEC CELL AND COMPLETE SOME
FORMALITIES TO ACTIVATE THE NEW SECURITY IN THE DEPOSITORY
SYSTEMONLY SECURITIES ISSUED BY THE CENTRAL AND STATE GOVERNMENTS
AFTER APRIL1987ONLY SECURITIES ISSUED BY THE CENTRAL GOVERNMENTONLY
SECURITIES ISSUED BY THE STATE GOVERNMENTSNISM Series VI:
Depository Operations Certification Examination FREE MOCK TESTNISM
Certification ExaminationsFree Study Materials and Free Mocks Tests
available at www.prepcafe.in LOGO AREA+55 32 3836 55 55 +55 32 9685
55 55Default address Avenue, 4214, Postal code 80.250-210 /
Curitiba PR BR
www.default.com_____________________________________________________For
more such questions visit www.prepcafe.inFeaturesNo registration
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NISM Certification ExaminationsFree Study Materials and Free
Mocks Tests available at www.prepcafe.in LOGO AREA+55 32 3836 55 55
+55 32 9685 55 55Default address Avenue, 4214, Postal code
80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________Thank
YouFor more, visit www.PrepCafe.in
+55 32 3836 55 55 +55 32 9685 55 55Default address Avenue, 4214,
Postal code 80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________
LOGO AREA+55 32 3836 55 55 +55 32 9685 55 55Default address Avenue,
4214, Postal code 80.250-210 / Curitiba PR BR
www.default.com_____________________________________________________