NISM NISM-Series-VII Practice Test | New NISM-Series-VII Test Dumps

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Securities Market Operations- Market participants and structure
  • 1. Order types and trading mechanism basics
    • 2. Roles of brokers, exchanges, and investors
      - Trading process
      • 1. Trade confirmation and reporting
        • 2. Order execution and trade lifecycle
          Clearing and Settlement- Clearing mechanisms
          • 1. Netting and settlement obligations
            • 2. Clearing corporations and counterparties
              - Settlement systems
              • 1. T+1/T+2 settlement cycles
                • 2. Margining and risk adjustments
                  Depository Operations- Corporate actions
                  • 1. Record dates and entitlement processing
                    • 2. Dividends, bonuses, splits
                      - Demat account framework
                      • 1. NSDL and CDSL roles
                        • 2. Account opening and maintenance
                          Risk Management in Securities Markets- Risk mitigation systems
                          • 1. Surveillance and compliance mechanisms
                            • 2. Margins and collateral systems
                              - Market and operational risk
                              • 1. Operational risk controls
                                • 2. Types of financial risks

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                                  Both practice tests simulate the NISM NISM-Series-VII real exam environment and produce results of your attempts on the spot. In this way, you will be able to not only evaluate your progress but also overcome mistakes before the NISM-Series-VII actual examination. Windows computers support the NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII desktop practice exam software. The NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII web-based practice test needs an active internet connection.

                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q57-Q62):

                                  NEW QUESTION # 57
                                  With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

                                  Answer: B

                                  Explanation:
                                  SEBI has advised Clearing Corporations to facilitate the direct credit of pay-out securities to the respective client's demat account. As a consequence, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM.


                                  NEW QUESTION # 58
                                  In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

                                  Answer: A

                                  Explanation:
                                  The source specifies that in certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples provided include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window etc.'


                                  NEW QUESTION # 59
                                  To ensure visibility of client collateral and prevent misuse, SEBI mandated a reporting mechanism. How is the disaggregated collateral information reported up the chain to the Clearing Corporation?

                                  Answer: A

                                  Explanation:
                                  The framework specifies that the TM shall report disaggregated information on collaterals up to the level of its clients to the CM. Subsequently, the CM shall report disaggregated information on collaterals up to the level of clients of TM and proprietary collaterals of the TMs to the Stock Exchanges (SEs) and CCs in respect of each segment.


                                  NEW QUESTION # 60
                                  In the context of the Securities Trade Life Cycle, specific activities are categorized into Front Office, Middle Office, and Back Office operations. Based on the NISM workbook, which of the following combinations correctly maps these activities to their respective offices?

                                  Answer: A

                                  Explanation:
                                  According to the source, the steps in a trade's life cycle are categorized as follows: 'Placing of an order by the investor / client / broker, matching of order and its conversion into trade and routing of order through the trading platform are generally the front office functions; Risk management is the middle office function; Confirmation of trades and Clearing and Settlement of trades are the back office functions.'


                                  NEW QUESTION # 61
                                  According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

                                  Answer: A

                                  Explanation:
                                  A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.


                                  NEW QUESTION # 62
                                  ......

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