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FREE NISM MOCK TEST

For NISM Series VI: Depository Operations Certification Examination

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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST
The 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 Structure The 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.

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NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

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 INTERMEDIARY 0.01% OF THE VALUE OF SECURITIES LENT BY LENDER TO INTERMEDIARY RS. 25/- PER TRANSACTION NO CHARGES
NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

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 CORPORATION SUB- BROKER CLEARING MEMBER OF A CLEARING CORPORATION

BANKER OF A CLEARING CORPORATION


NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

Q3. The account opening form should be signed by ______ in case of minor.

THE GUARDIAN THE MINOR BOTH OF THE ABOVE NONE OF THE ABOVE

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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

Q4. The pay-in and pay out dates for the settlement calendar is declared

BY SEBI BY NSDL AS PER THE SECURITIES CONTRACT REGULATION ACT, L957 BY THE RESPECTIVE STOCK EXCHANGES

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NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

Q5. The 'statement of account' forwarded to an account holder shows


DETAILS AS AGREED BETWEEN THE ACCOUNT HOLDER AND NSDL DETAILS AS AGREED BETWEEN THE ACCOUNT HOLDER AND THE DP THE 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 ISSUED ONLY 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 ISSUED
NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

Q6. In the context of dividend distribution,what is the full form of ECS?

EXTENDED CLEARING SYSTEM

EXTENDED CREDIT SYSTEM ELECTRONIC CREDIT SYSTEM ELECTRONIC CLEARING SYSTEM

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NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

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 APPROVAL NO, IT IS NOT MANDATORY. CP'S CAN BE HELD IN PHYSICAL FORM WITH RBI APPROVAL YES, IT IS MANDATORY NO,IT IS NOT MANDATORY. CP'S CAN BE HELD IN PHYSICAL FORM WITH NSDL APPROVAL
NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

Q8. The interest payable on securities lent is ____

AS PER THE AGREEMENT BETWEEN THE LENDER, INTERMEDIARY AND NSDL AS PER THE AGREEMENT BETWEEN THE DP AND THE LENDER AS PER THE AGREEMENT BETWEEN THE LENDER AND THE INTERMEDIARY AS PER THE AGREEMENT BETWEEN THE LENDER AND NSDL

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NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

Q9. In case of pledged balance in demat form, the corporate benefits will flow to the
PLEDGEE PLEDGOR PLEDGOR/ PLEDGEE AT THE DISCRETION OF THE PARTIES CONCERNED PLEDGOR/ PLEDGEE AT THE DISCRETION OF THE ISSUING CO

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NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com
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NISM Series VI: Depository Operations Certification Examination FREE MOCK TEST

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 SYSTEM ONLY SECURITIES ISSUED BY THE CENTRAL AND STATE GOVERNMENTS AFTER APRIL1987 ONLY SECURITIES ISSUED BY THE CENTRAL GOVERNMENT

ONLY SECURITIES ISSUED BY THE STATE GOVERNMENTS


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Default address Avenue, 4214, Postal code 80.250-210 / Curitiba PR BR ___________________________________________

LOGO AREA

www.default.com

+55 32 3836 55 55 +55 32 9685 55 55

Default address Avenue, 4214, Postal code 80.250-210 / Curitiba PR BR ___________________________________________

www.default.com

+55 32 3836 55 55 +55 32 9685 55 55