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Mock Test 3 » Total Questions: 10 Take More Tests

Question 1:
unattempted

If adequate balances do not exist in the account, then delivery instruction will wait for adequate balances till
the end of the execution day.
✘ False

✔ True

Question 2:
unattempted

If a broker gives ________ of his clients to Clearing Corporation /Clearing House, then payout securities are
directly credited in the clients account by the Clearing Corporation /Clearing House.
✘ Names and PAN

✔ Pay-out breakup

Question 3:
unattempted

Who is required to give the Inter-settlement Instructions to the Participants for securities lying within a
same CM account but in different settlement a pocket?

✔ Clearing Member

✘ Clearing House

Question 4:
unattempted

If the lender needs concurrence of the borrower for appropriating securities to his account, the transaction
is called

✘ Pledge

✔ Hypothecation

Question 5:
unattempted

For pledging and hypothecation of securities, the pledgee and the pledgor can have their account with DPs
under the different depository.

✘ True

✔ False

Question 6:
unattempted

When do we call that a Pledge transaction is completed?

✘ When SEBI approves the proposal

✘ When the depository gives its nod

✔ When the confirmation advice is entered in the DP system

Question 7:
unattempted

From who does the DP receives the pledge closure request?

✔ Pledgor

✘ Pledgee

✘ Depository

Question 8:
unattempted

Which of the following is a "Cash Corporate Actions"?

✔ Dividend

✘ Bonus

Question 9:
unattempted

"Non-cash corporate actions" involves which of the following?

✔ All benefits other than monetary benefits

✘ Monetary Benefits

Question 10:
unattempted

Record Date for a Corporate Action is announced by

✔ Exchanges

✘ Issuers

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