素晴らしいNISM-Series-VII学習範囲 &合格スムーズNISM-Series-VII再テスト |効果的なNISM-Series-VII復習時間

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Clearing and Settlement- Clearing mechanisms
  • 1. Clearing corporations and counterparties
    • 2. Netting and settlement obligations
      - Settlement systems
      • 1. T+1/T+2 settlement cycles
        • 2. Margining and risk adjustments
          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
                  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
                          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

                                  >> NISM-Series-VII学習範囲 <<

                                  NISM-Series-VII再テスト & NISM-Series-VII復習時間

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                                  NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q148-Q153):

                                  質問 # 148
                                  In the context of determining the 'venue and seat' of online proceedings for a dispute between an individual investor and a listed company/intermediary, which location is deemed to be the venue and seat?

                                  正解：D

                                  解説：
                                  The venue and seat of the online proceedings shall be deemed to be the place: 'In case of disputes between investor/client and listed companies... where the investor resides permanently',.


                                  質問 # 149
                                  Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

                                  正解：C

                                  解説：
                                  Netting of settlement obligations of cash segment and physical settlement of F&O segment shall not be available for the institutional investors (including all categories of FPIs) since the extant regulatory framework specifies that all transactions by the institutional investors (including all categories of Foreign Portfolio Investors) in cash market should be backed by delivery.


                                  質問 # 150
                                  What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

                                  正解：B

                                  解説：
                                  Inter-operability among Clearing Corporations enables a Clearing Member to select the Clearing Corporation of its choice to clear and settle trades executed in multiple exchanges. This allows market participants to consolidate their clearing and settlement functions at a single Clearing Corporation.


                                  質問 # 151
                                  Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

                                  正解：A、C、D

                                  解説：
                                  Option B is correct: 'In no case the auction shall be held beyond a period of one week from the pay-in day'. Option D is correct: 'Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund... instead of crediting it to the defaulting party's account'. Option E is correct: 'Members participating in the auction... are required to deliver the shares... on or before the auction pay-in day, i.e., subsequent day'. Option A is incorrect as auctions are generally held once unless specially approved. Option C is incorrect because auction seller defaults are closed out at the highest price or 20% over the closing price, not the valuation price.


                                  質問 # 152
                                  The Securities Contracts (Regulation) Act, 1956 (SCRA) and the SEBI Act, 1992 have distinct regulatory scopes. Which of the following regulatory functions falls specifically under the direct jurisdiction of the Central Government as per the SCRA, 1956?

                                  正解：B

                                  解説：
                                  The SCRA, 1956 gives the Central Government regulatory jurisdiction over Stock Exchanges through a process of recognition and continued supervision. While SEBI performs many functions, the specific power of recognition of Stock Exchanges originates from the SCRA under Central Government jurisdiction.


                                  質問 # 153
                                  ......

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