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  1. 1. 1. Dematerialization of sharesA) is optionalB) is compulsoryC) is provisionalD) is mandatory2. To sell any share of a listed company it should undergo the process ofa. rematerialisationb. dematerializationc. securitizationd. allotment 3. Dematerialisation and rematerialisation process is undertaken by thea. stock exchangeb. depository participantc. company d. NSDL or CSDL4. When a security is pledged to a bank, the benefits to be paid on this security shall be Paid to the a. The Pledgorb. bank to whom the securities are pledgedc. depository participantd. will be retained by the company to be paid after the loanis cleared
  2. 2. 5. Why an individual investor prefers broking firms over banksa. banks brokering charges are tips by brokers are far superior than banksc. settlement is flexible with the brokerd. all the above6. In case of a brokerage house providing a demat account and a trading account ,online trading isfacilitated bya. by collecting the required money from the investor in advanceb. by taking blank cheques drawn in favour of the brokerage housec. insisting on a bank account with a bank with whom the broker has a tie upd. obtaining an authorization to debit any bank account of the investor7. In on line trading an investor can place orders of tradee. within the trading hours of the stock exchangef. anytimeg. during the time specified by the brokering house/brokering bankh. none of the above8. What does NIBIS stand for?i. national inernet based information systemj. national institute for banking and insurance servicesk. NSE’s integrated basic investment solutionsl. NSE’s internet based information system9. What is book closure?a. it is closing of books of accounts at the end of the year
  3. 3. b. closing of registers of investors in the records of the companyc. closing of public issue of sharesd. none of the above10. Keeping record of all the investments in shares of an individual investor in the electronic form isdone bya. depository participant b. respective share issuing companyc. stock exchanged. a depository11. Dematerialisation of listed securities is made compulsory bya. Govt. of Indiab. stock exchange c. NSDL/ CDSL d. SEBI13. The function of ascertaining pay-in or pay-out of brokers who have traded on the stock exchangeis performed bya. Stock brokersb. Stock Exchanges Forumc. Clearing Corporationd. NSDL14. NEAT stands fora. National Electronic Advanced Trading
  4. 4. b.. National Exchange for Advanced Tradingc.. National Exchange for Automatic Tradingd. NSE Exchange for Automatic Trading15. Security Transaction Tax is paid bya. purchaser of the shares onlyb. seller of the share onlyc. stock broker onlyd. none of the above16. Dematerialized Sharesa. bear distinctive numbers of shares.b.. do not bear any numberc. bear the customer’s Client ID number. d. DP account number17. Who are the business partners of a depositorya. depository participantsb. clearing corporations/clearing housesc. only a. d. both a and b 18. What is TIFD? a. Trading Instructions For the depository b. Transfer Instruction ForDemating c. Transfer Instruction for delivery d. Trading Instructions For the Depository
  5. 5. 19 Who destroys the physical securities in the process of demata. the issuer of the securitiesb. the depositoryc. the depository participantd. the Registrar and Transfer Agent20.What is meant by a bonus issue?a. a book entry passed by the company issuing bonusb. distribution of reserves and surplusesc. allotment of additional sharesd. all the above21. In off market transaction, settlement isa. without using the brokerb. through the clearing house/ clearing corporation of stock exchangec. through the depository participantd. none of the above 22. A person who holds equity share capital of a company and whosename is registered as beneficial owner in the records of thedepository is calleda. member of the companyb. lender of the companyc. creditor of the companyd. debtor of the company23. Which of the following is a non-cash corporate action
  6. 6. a. Interest Payments b. Dividends c. Splitting of a share d. None of the above24. Securities that have already been issued are traded in thea. primary marketb. secondary marketc. tertiary marketd. global market25. ISIN is a unique identification number given toa. while admitting a security of an issuer in the depository systemb. while converting physical shares to demat formc. depository participantd. identify the beneficial owner26. When a bank decides to grant any loan against the security of shares, the loan amount is decidedbased on thea. current market price of the sharesb. face value of the sharesc. lower of the average market price during the preceding 12 months and current market priced. valuation by bank’s approved valuers
  7. 7. 27. Freezing of DEMAT accounts A) possible for debits B) possible for credits C) not permitted by Depositories D) possible for both debits & credits.28. Share holders of a Company can attend & vote in an AGM only if shares are held inA)Physical form B) Demat formC) both a & bD) none of the above