NISM NISM-Series-VII套裝，NISM-Series-VII最新考古題

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Securities Market Overview	10%	- Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market
Investor Protection	7%	- Investor rights and grievances redressal - Investor education and awareness initiatives - Mechanisms for dispute resolution
Risk Management and Margining	18%	- Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies
Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms
Trading Operations	15%	- Front office functions and processes - Order management and trade execution - Client onboarding and KYC norms
Market Microstructure	12%	- Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types
Regulatory Framework	15%	- Compliance requirements for intermediaries - SEBI Act, Rules and Regulations - Code of conduct and ethical practices
Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q86-Q91):

問題 #86
Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A. Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs
B. Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
C. Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
D. Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
E. Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit

答案：A

解題說明：
According to the source regarding InvlTs raising funds by way of private placement: 'The minimum investment from any investor should be of rupees one crore.' and 'In case of private placement, trading lot for the purpose of trading of units on the designated stock exchange shall Rs. 25 lakhs.'

問題 #87
Regarding the operational timeline for the auction of securities by the Clearing Corporation under the compulsory rolling settlement, which of the following statements is accurate?

A. Auctions are conducted on the T+2 day to allow members extra time to arrange securities.
B. Auctions are held exclusively during the pre-open session of the next trading day.
C. The auction for undelivered quantities is conducted on the settlement day itself, typically after the completion of the pay-out process.
D. If an auction is not successful in the first attempt, it is automatically rescheduled for the next three consecutive days.
E. Members participating in the auction must deliver the shares immediately within 1 hour of acceptance of their offer.

答案：C

解題說明：
The auction for the undelivered quantities is conducted on the settlement day after completion of payout (e.g., between 2:00 p.m. and 2.45 p.m. for BSE and 2:30 pm onwards for NSE). The members participating in the auction are required to deliver the shares on the subsequent day (auction pay-in day),.

問題 #88
In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?

A. The Governing Board of the Exchange
B. The Investor Grievance Redressal Committee (IGRC)
C. The Defaulters' Committee
D. The Member Committee (MC)
E. The Disciplinary Action Committee (DAC)

答案：D

解題說明：
The guidelines specify: 'The Stock Exchanges shall ensure that once a TM has been declared defaulter, the claim(s) shall be placed before the Member Committee (MC) for sanction and ratification. MC's legitimate claims shall be sent to the IPF Trust for immediate disbursement of the amount.'

問題 #89
Select the correct statements regarding the 'Settlement of Funds' and 'Mode of Payment' compliance requirements for stock brokers.
(Select all that apply)

A. All payments from/to clients must be strictly by account payee crossed cheques/demand drafts or direct credit into the bank account.
B. Authorization for maintaining a running account can be signed by the client's Power of Attorney (POA) holder.
C. Brokers must maintain an audit trail of funds received through electronic fund transfers to ensure they are from the client's own account.
D. For clients with outstanding obligations on the settlement date, the broker may retain the requisite funds towards such obligations.
E. Brokers are permitted to accept cash from clients for margin purposes up to Rs. 20,000.

答案：A,C,D

解題說明：
Statement A is incorrect; Brokers should 'not accept cash'. Statement B is correct. Statement C is incorrect; authorization must be signed 'by the client only and not by any... holder of the Power of Attorney'. Statement D is correct. Statement E is correct.

問題 #90
Regarding the usage of the 'INST' code in the Custodial Participant field during order entry for Foreign Portfolio Investors (FPIs), which of the following statements accurately reflects the restrictions placed on FPIs that are corporate bodies, individuals, or family offices?

A. They must use a special 'CORP' code instead of 'INST' to differentiate themselves from non-corporate institutional investors.
B. They are strictly prohibited from using the 'INST' code and must provide the specific CP code at the time of order entry.
C. The 'INST' code can be used only if the trade value exceeds INR 10 Crores.
D. The 'INST' facility is available, but allocation for such trades is allowed only to related FPIs.
E. They can use the 'INST' code without restriction, provided the allocation is completed by 4:15 PM on T day.

答案：D

解題說明：
For FPIs that are corporate bodies, individuals, or family, the 'INST' facility is not available in the similar manner as of non-institutional CP codes. For these FPIs, allocation for 'INST' trades is allowed only to related FPIs.

問題 #91
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