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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Depository Operations- Demat account framework
  • 1. Account opening and maintenance
    • 2. NSDL and CDSL roles
      - Corporate actions
      • 1. Record dates and entitlement processing
        • 2. Dividends, bonuses, splits
          Topic 2: Clearing and Settlement- Settlement systems
          • 1. T+1/T+2 settlement cycles
            • 2. Margining and risk adjustments
              - Clearing mechanisms
              • 1. Netting and settlement obligations
                • 2. Clearing corporations and counterparties
                  Topic 3: Risk Management in Securities Markets- Market and operational risk
                  • 1. Operational risk controls
                    • 2. Types of financial risks
                      - Risk mitigation systems
                      • 1. Surveillance and compliance mechanisms
                        • 2. Margins and collateral systems
                          Topic 4: Securities Market Operations- Trading process
                          • 1. Order execution and trade lifecycle
                            • 2. Trade confirmation and reporting
                              - Market participants and structure
                              • 1. Order types and trading mechanism basics
                                • 2. Roles of brokers, exchanges, and investors

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                                  NISM-Series-VII題庫資料，NISM-Series-VII最新題庫

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                                  最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q279-Q284):

                                  問題 #279
                                  Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

                                  答案：A

                                  解題說明：
                                  Direct Market Access (DMA) is a facility which allows brokers to offer clients direct access to the exchange trading system through the broker's infrastructure 'without manual intervention by the broker'. Advantages include 'faster execution of client orders, reduced risk of errors associated with manual order entry'. Brokers must specifically authorize clients or investment managers after fulfilling KYC and due diligence.


                                  問題 #280
                                  Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?

                                  答案：A

                                  解題說明：
                                  An Authorized Person is not a member of the Stock Exchange. A Trading Member is entitled to appoint an authorized person to operate trading workstations, but the Trading Member must obtain specific prior approval for each such person, and this approval is segment specific. The Trading Member remains responsible for all acts of omission and commission of the Authorized Person.


                                  問題 #281
                                  Select the correct combination of statements regarding the expiry cycle and settlement of Long Dated Index Options and Equity Index Futures in the Indian Securities Market.

                                  答案：C

                                  解題說明：
                                  The source states: 'All Index future and option contracts are cash settled.' Regarding expiry cycles: 'Monthly index contracts generally have 3-month expiry cycle except for the long dated options contracts which are available up to 5-year expiry cycle with quarterly expiries (March, June, Sept & Dec cycle) and half yearly expiries (Jun, Dec cycle).'


                                  問題 #282
                                  Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

                                  答案：A,B,C,D

                                  解題說明：
                                  The text states that in case of matching of all details like 'UCC, TM ID, CM ID, ISIN, quantity, settlement details etc.' of the transfer instruction with the obligation data, the instruction shall be carried out. The Client's Bank Account Number is not mentioned as a validation parameter for securities pay-in.


                                  問題 #283
                                  Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

                                  答案：D

                                  解題說明：
                                  The regulations list categories of persons deemed to be 'Connected Persons'. This list includes a banker of the company. A former employee is a connected person if associated within 6 months prior to the act. A holding of more than 10% interest is required to be deemed connected. Therefore, a banker is the correct deemed connected person.


                                  問題 #284
                                  ......

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