NISM-Series-VII Practice Test Pdf - NISM-Series-VII Exam Guide Materials

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q308-Q313):

NEW QUESTION # 308
To provide depository services to investors, a stock broker or trading member must register as a Depository Participant (DP). Under which specific legislative framework is this registration mandated and governed?

A. The SEBI Act, 1992 and the Depositories Act, 1996
B. The Information Technology Act, 2000 and the Indian Contract Act, 1872
C. The Securities Contracts (Regulation) Act, 1956 and the RBI Act, 1934
D. The Prevention of Money Laundering Act, 2002 and SEBI (Intermediaries) Regulations, 2008
E. The Companies Act, 2013 and the Banking Regulation Act, 1949

Answer: A

Explanation:
To provide depository services, the broker or the trading member has to get registered as a depository participant of a depository as per the SEBI Act 1992 and the Depositories Act of 1996.

NEW QUESTION # 309
What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

A. Inter-depository transfer from the client's account to the Clearing Corporation's account.
B. Automatic sweeping of securities from the client's demat account at 1 PM.
C. Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.
D. Only by way of early pay-in using block mechanism.
E. Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.

Answer: D

Explanation:
The source specifies: 'Pay-in for T+0 sell obligations shall be allowing only by way of early pay-in using block mechanism.'

NEW QUESTION # 310
In the context of the beta version of the T+0 rolling settlement cycle, how is the applicable price band for a security determined and managed relative to the regular T+1 market?

A. It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
B. It mirrors the dynamic price band of the T+1 market exactly, flexing only when the T+1 market hits its circuit limit.
C. It operates with a fixed price band of +/- 5% irrespective of the movement in the T+1 market.
D. It is set at +1- 1% of the previous day's closing price and remains static throughout the trading session 09:15 AM to 3:30 PM.
E. It operates with a price band of +50 basis points from the opening price of the T+0 market, without any re-calibration during the session.

Answer: A

Explanation:
According to the operational details for T+0 settlement, the price in the T+0 segment will operate with a price band of +100 basis points from the price in the regular T+1 market. This band will be re-calibrated after every 50 basis points movement in the underlying T+1 market.

NEW QUESTION # 311
In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A. 7:30 AM on T+1 Day
B. 4:15 PM on T Day
C. 11:00 AM on T+1 Day
D. 9:00 AM on T+1 Day
E. 8:00 PM on T Day

Answer: E

Explanation:
The general timeline for custodian-settled trades for institutional clients in T+1 rolling settlement specifies that the Obligation Transfer Request (OTR) for INST trades must be completed on T day up to 8:00 PM.

NEW QUESTION # 312
In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A. The application must be uploaded to the Exchange bidding platform.
B. The General Index Register (GIR) number must be verified.
C. The physical form must be received by the Registrar.
D. The syndicate member must issue a physical acknowledgement slip.
E. The application monies must be blocked in the investor's bank account.

Answer: E

Explanation:
SEBI advised that 'the ASBA applications in public issues shall be processed only after the application monies are blocked in the investor's bank account.' Intermediaries are advised to ensure appropriate systemic and procedural arrangements for this.

NEW QUESTION # 313
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