• NISM

• ISIN stands for

international Securities Identification
Number
• ISIN is having how many
characters?
• ISIN is having 12 character
identification code
• Who issues the ISIN for
securities?
• NSDL
Who assigned the
job of issuing ISIN
to NSDL?
• SEBI
• WHETHER CDSL IS HAVING POWERS
TO ALLOT ISIN?
1.NO CDSL TO CONTACT NSDL
ONLY
1.WHETHER THE COMPANIES WHICH
ISSUES THE PAPER SECURITIES CAN
CONVERT PHYSICAL FORM IN TO
BOOK ENTRY FORM ?
1. YES, PROVIDED THE COMPANY
ENTERED INTO AN AGREEMENT
WITH DEPOSITIORIES
In a depository system commodities are identified
A. ICIN
B. DRF
C. ISIN
D. PDRF
• ICIN
• HOW MANY DEPOSITORIES ARE
THERE IN INDIA?
• TWO
• The capital adequacy requirement for a
merchant banker is a minimum
• A. Net worth of Rs.2 crore
• B. Net worth of Rs.1 crore
• C. Net worth of Rs.5 crores.
• D. Net worth of Rs.3 crores.
• 5 CRORE
 • IN A DEMATERIALISATION OF SECURITIES

Physical securities are stored and electronic trading is done.

Physical securities are destroyed and electronic credit is given in demat account.
Both are True
Both are false.
• PHYSICAL SECURITIES ARE DESTROYED AND
ELECTRONIC CREDIT IS GIVEN IN DEMAT
ACCOUNT
A,B,C are joint holders of demat account. They want to delete the name of B permanently
A. Permit ed if they jointly agree
B. Not permit ed
C. only if company agrees
D. Permit ed with the intervention of company law board
• PERMITTED IF THEY JOINTLY AGREE
• What are the maturity periods of Treasury
Bills issued by Government of India?
• A. 14 & 182 days
• B. 91, 182 & 364 days
• C. 14 & 364 days
• D. 91 & 182 days only
• B. 91, 182 & 364 DAYS
Who can make a request for demat of the securities?
A. Depository
B. Company
C. Depository Participant
D. Registered holder of securities
• D. REGISTERED HOLDER OF SECURITIES
• The following type of Issue is very
advantageous to a company:
• A. Rights
• B. Private Placement
• C. FPO
• D. IPO
• B PRIVATE PLACEMENT
• For demat account holders, non-cash
corporate benefits are distributed to holders
through:
• A. NSDL
• B. R&T Agent
• C. Directly by the issuer
• D. SEBI
• A. NSDL
Ramu and Shyamu have a
demat account with your
branch with the name
sequence as “ Ramu &
Shyamu.They come to you
with an old physical share
certificate in the name of
Shamyu & Ramu to
dematerialize in the
account.You will submit the
following form with the DRF:
A. Transaction Form
B. Transposition Form
C. Rematerialization Form
D. Transmission Form
• B. TRANSPOSITION FORM
• In India, the minimum period of a RBI Repo is
• A. 3 days
• B. 1 day
• C. 14 days
• D. 7 days excluding non-working days
• B. 1 DAY
• The entities that are authorised to pay-in and
receive the pay-out from clearing
corporation/ clearing house against the trade
done by them or their client are known as
• A. Beneficiary owner
• B. Trading Member
• C. R&T Agent
• D. Clearing Member
• D . CLEARING MEMBER
• The _________ acts as R&T agent and
discharges the R&T agent function for G-SECs.
• A. Stock Exchange
• B. RBI
• C. Depository
• D. SEBI
• C. DEPOSITORY
• Owner ship of pledge/ hypothecation of
securities remain with
• A. Pledgee before pledge is invoked
• B. Pledger until pledge is invoked
• C. Pledgee after the pledge is closed
• D. Pledger after pledge is invoked
• B. PLEDGER UNTIL PLEDGE IS INVOKED
• NSDL stands for
• A. National Securities Depository Ltd
• B. National Stock and Depreciation Ltd.
• C. National Shares and Debentures ltd.
• D. National Security Depository Participants
Ltd
• A. NATIONAL SECURITIES DEPOSITORY
LIMITED
• The intermediary who is required to do due
diligence in case of a public issue is
• A. Issuers bank
• B. Broker to the issue
• C. Merchant Banker
• D. SEBI
• C. MERCHANT BANKER
• The depository is recorded in the Books of the
company as the_______
• A. Regulated Owner
• B. Actual Owner
• C. Registered Owner
• D. Beneficial Owner
• C. REGISTERED OWNER
• Only those securities whose __________ has
been activated by the Depository, can be
dematerialised in the depository system.
• A. ISIN
• B. Certificate No.
• C. Folio number
• D. IIP
• A ISIN
• Equity shares, mutual fund units and G-Secs
can be dealt with through a single Demat
account
• True or false
• TRUE
• A depository can use the clients security
balances like a Bank using balance deposits
lying in an investor's account. True or false
• FALSE
• WHICH AUTHORITY GIVES PERMISSION TO DP
TO ACT ON BEHALF OF FII?
• SEBI
• IF A INVESTOR REQUEST FOR DEMAT
SECURITES IN CASE OF PUBLIC ISSUE
WITHOUT HAVING A DEPOSITORY ACCOUNT,
THEN
• ALLOTTED SHARES WILL BE ISSUED IN
PHYSICAL FORM
• A FOREIGN BANK OPERATING IN INDIA CAN
OPEN BO ACCOUNT. TRUE OR FALSE
• TRUE
• IN THE INSTRUCTION FORM RELATED TO
SETTLMENT “MARKET TYPE” INDICATES
• TRADING SEGMENT AND WHETHER AUCTION
ETC
• IN TRANSPOSITION CUM DEMAT OF SHARES
THE CLIENT HAS TO SUBMIT…….TO DP
• TRANSPOSITION FORM AND DEMAT REQUEST
FORM ALONG WITH CERTIFICATES
• TRANSMISSION IS USED IN CASE OF
• DEATH OF AN ACCOUNT HOLDER
• IF SHARE HOLDER DOES NOT INDICATE IN
WHICH FORM RIGHT ISSUE TO BE ISSUED
THEN COMPANY ISSUES THE RIGHT ISSUE IN
THE
• SAME FORM IN WHICH SECURITIES EARLIER
HELD
• ………REGULATES UNDERWRITING, THE USE
OF PREMIUM OR DISCOUNT ON ISSUES,
RIGHTS AND BONUS ISSUES, PAYMENT OF
INTEREST OR DEVIDENDS
• COMPANIES ACT 1956
• DO DEMATERIALISED SHARES HAVE
DISTINCTIVE NUMBERS?
• NO ALL DEMAT SHARES ARE FUNGIBLE
• ISIN STANDS FOR
• INTERNATIONAL SECURITIES IDENTIFICATION
NUMBER
• WHAT IS THE MATURITY PERIOD OF DATED
SECURITIES?
• MORE THAN ONE YEAR
• WHAT IS THE BASIC CONDITION FOR
CREATING A PLEDGE?
• THE PLEDGER AND PLEDGEE SHOULD HAVE
DEMAT ACCOUNT WITH ANY DP CONNECTED
TO SAME DEPOSITORY
• IN AN OFF MARKET TRADE THE SELLING
CLIENT RECEIVES THE SALES PROCEEDS FROM
BUYING CLIENT THROUGH
• THE PAYMENT MECHANISM IS OUTSIDE
DEPOSITORY SYSTEM
• IN CDSL FOR CORPORATE ACCOUNT NEED
NOT VERIFY PAN CARD OF AUTHORISED
SIGNATORIES WITH ORIGINALS. TRUE OR
FALSE
• TRUE
• TO CREDIT THE SECURITIES DIRECTLY TO ITS
CLIENT ACCOUNT AT THE TIME OF PAY OUT
CM SHOULD INFORM THE DETAILS OF
SECURITIES TO …
• CH/CC
• CAN SECURITIES OF MORE THAN ONE
COMPANY DEMATERIALIZE THROUGH SINGLE
DRF FORM?
• NO
• WHILE OPENING THE JOINT DEMAT ACCOUNT
PERMANENT ADDRESS DETAILS ARE
OBTAINED FROM…
• ALL THE HOLDERS
• IN THE SECURITIES DEMATERIALISED, REGD
OWNER IS …
• DEPOSITORY
• INVESTOR GRIVENCE REPORT TO BE SENT TO
DEPOSITORY BY DP ON
• MONTHLY
• WHAT IS THE PURPOSE OF BANK DETAILS IN
ACCOUNT OPENING FORM?
• FOR SAFE DISTRIBUTION OF CASH
CORPORATE ACTIONS
• THE SECURITIES OFFERED IN THE PUBLIC
OFFER CAN ONLY BE TRADED IN THE STOCK
EXCHANGE IN DEMAT FORM. TRUE OR FALSE
• TRUE
• THE DP HAS TO SEND THE SHARES FOR
DEMATERIALISATION WITHIN HOW MANY
DAYS OF RECEIPT?
• SEVEN DAYS
• IN THE ISIN INA263F01015, A STANDS FOR
• CENTRAL GOVT SECURITY
• WHAT IS THE STAMP DUTY PAYABLE FOR THE
AGREEMENT BETWEEN DP AND BO?
• AS PER RESPECTIVE STATE LAW WHERE DP IS
OPERATING
• THANK YOU
• Thank you