Valid NISM-Series-VII Test Practice - NISM-Series-VII Test Dump

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: 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
          Topic 2: Securities Market Operations- Trading process
          • 1. Order execution and trade lifecycle
            • 2. Trade confirmation and reporting
              - Market participants and structure
              • 1. Roles of brokers, exchanges, and investors
                • 2. Order types and trading mechanism basics
                  Topic 3: 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
                          Topic 4: Clearing and Settlement- Clearing mechanisms
                          • 1. Netting and settlement obligations
                            • 2. Clearing corporations and counterparties
                              - Settlement systems
                              • 1. Margining and risk adjustments
                                • 2. T+1/T+2 settlement cycles

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q157-Q162):

                                  NEW QUESTION # 157
                                  In the context of Market Participants, which of the following statements accurately characterizes the regulatory status and operational scope of a 'Custodian' in the securities market?

                                  Answer: A

                                  Explanation:
                                  Custodians are defined as entities that settle trades on behalf of the clients of trading members. They are classified as Clearing Members (similar to Professional Clearing Members) but they do not have trading rights. They require specific registration with SEBI to provide custodial services.


                                  NEW QUESTION # 158
                                  Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

                                  Answer: A,D,E

                                  Explanation:
                                  Statement A is correct as members must maintain separate accounts for each segment. Statement C is correct regarding irrevocable authorization. Statement E is correct regarding additional accounts for collateral enhancement. Statement B is incorrect because withdrawals are allowed only in 'self-name'. Statement D is incorrect because the Clearing Corporation (not the bank) determines the obligations.


                                  NEW QUESTION # 159
                                  In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

                                  Answer: C

                                  Explanation:
                                  The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'


                                  NEW QUESTION # 160
                                  In the context of the settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

                                  Answer: E

                                  Explanation:
                                  Clients can give 'Demat Debit and Pledge Instruction' (DDPI) under which they explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose for transferring securities from their individual demat account to brokers pool account for the purpose of meeting their pay-in obligation. This serves to mitigate the misuse associated with the broader Power of Attorney (PoA),.


                                  NEW QUESTION # 161
                                  A trader has bought 1000 shares of XYZ Ltd. at Rs. 500 and wants to limit the potential loss to roughly Rs. 20 per share using a Sell Stop Loss order. Which of the following combinations of 'Trigger Price' and 'Limit Price' represents a valid and logical Stop Loss Limit order configuration for this purpose?

                                  Answer: C

                                  Explanation:
                                  For a Sell Stop Loss order, the Trigger Price must be below the current market price (to trigger when price falls). The Limit Price can be equal to or less than the Trigger Price to ensure the order is marketable once triggered in a falling market. Option B (Trigger 480, Limit 478) fits this logic. Option C places a limit higher than the trigger, which might not execute if the market crashes rapidly.


                                  NEW QUESTION # 162
                                  ......

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