Pass4sure NISM-Series-VII dumps & NISM NISM-Series-VII sure practice dumps

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Types of financial risks 2. Operational risk controls
Topic 3: 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
Topic 4: Securities Market Operations	- Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q134-Q139):

NEW QUESTION # 134
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Registration of the company's memorandum of association
B. Incorporation of the company
C. Non-payment of dividend
D. Appointment of key managerial personnel
E. Conduct of Annual General Meetings

Answer: C

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 135
Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A. TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral
B. CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
C. Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
D. Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral
E. Client Collateral Excess Collateral of other Clients CM Proprietary Collateral

Answer: D

Explanation:
According to the margin payment and collateral segregation guidelines, on receipt of a trade from a client account by the CC, the margin shall first be blocked from the value of the client collateral. If the client collateral is not sufficient, the residual margin shall be blocked from the TM proprietary collateral. If the TM proprietary collateral is also not sufficient, then the residual margin shall be blocked from the CM proprietary collateral.

NEW QUESTION # 136
Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A. To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.
B. To automatically convert funds into approved securities if the balance exceeds a specified threshold.
C. To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
D. To audit the member's proprietary trading books and freeze accounts in case of high volatility.
E. To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.

Answer: C

Explanation:
Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.

NEW QUESTION # 137
In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A. Freezing of the demat account for debits or credits
B. Pledging of dematerialized securities
C. Dematerialization of physical securities
D. Settlement and transfer of securities from one beneficiary account to another
E. Receiving non-cash corporate benefits like bonus shares

Answer: D

Explanation:
The main activity of the DP is to open a demat account for an investor. The main activity being the settlement and transfer of securities from one beneficiary account to another pursuant a trading activity of an investor.

NEW QUESTION # 138
To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A. CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
B. CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
C. CCs shall provide client-wise net delivery obligations on T day to the depositories.
D. CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
E. CCs must approve every individual transfer instruction manually before execution on the settlement day.

Answer: C

Explanation:
The process requires that 'CCs shall provide client - wise net delivery obligations on T day to the depositories.' The Depositories then use this data to validate the transfer instructions.

NEW QUESTION # 139
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