NISM-Series-VII下載：NISM Series VII - Securities Operations and Risk Management Certification，最快的通過考試方式是選擇我們

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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                                  最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q28-Q33):

                                  問題 #28
                                  Identify the category of Clearing Member that possesses both trading and clearing rights and is authorized to clear and settle trades for themselves, other trading members, and custodial participants.

                                  答案：E

                                  解題說明：
                                  A Trading Member.cum.Clearing Member (TCM) has trading as well as clearing rights. They can clear and settle their own trades as well as trades of other trading members and custodial participants. SCMs can only clear their own/client trades but not for custodian participants. PCMs do not have trading rights.


                                  問題 #29
                                  In the context of the Indian Money Market, which of the following instruments represents an extension of the interbank call market for uncollateralized lending and borrowing of funds for a period specifically defined as between 15 days and 1 year?

                                  答案：B

                                  解題說明：
                                  Term Money is defined as an extension of the interbank call market for uncollateralized lending and borrowing of funds for a period between 15 days and 1 year. Call money is predominantly overnight, and Notice money is for a period beyond overnight and up to 14 days,.


                                  問題 #30
                                  In the event of a failure by a selling broker to deliver securities in the normal T+1 rolling settlement, the Clearing Corporation initiates a
                                  'Close Out' procedure if the auction fails or is not applicable. Consider a scenario where a trade was executed on Monday (T) at Rs. 500.
                                  The auction was scheduled for Tuesday (T+1 ) but no shares were offered. The highest price prevailing across the Exchange from Monday to Tuesday was Rs. 540. The official closing price on Tuesday (Close-out day) was Rs. 550. At what price will the transaction be closed out?

                                  答案：D

                                  解題說明：
                                  According to the Close Out Procedure, the deal will be closed out at the highest price prevailing across the Exchange from the day on which the trade was originally executed till the day of closing out OR 20 percent over the official closing price on the close out day, whichever is HIGHER. Calculation: Highest Price = Rs. 540.20% over Closing Price on Close out day = 550 + (20% of 550) = 550 + 110 = Rs. 660. Since 660 > 540, the close out price is Rs. 660.


                                  問題 #31
                                  A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

                                  答案：D

                                  解題說明：
                                  According to the regulations governing Clearing Members and Custodians, while a Clearing Member can deposit funds into the clearing accounts in any form, they can withdraw funds from these accounts only in self-name. This restriction helps in maintaining a clear audit trail and preventing third-party risks.


                                  問題 #32
                                  A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

                                  答案：A

                                  解題說明：
                                  Internal shortages occur when a selling client fails to deliver shares to the trading member, but due to netting (a purchase transaction by another buying client in the same security), the member has no delivery obligation to the Clearing Corporation. In such cases, the member requires shares to deliver to the buying client, and an auction (Self Auction) is conducted to procure these shares,.


                                  問題 #33
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