NISM NISM-Series-VII Dumps Full Questions - Exam Study Guide

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 2: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 3: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 4: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 6: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q95-Q100):

NEW QUESTION # 95
In the context of Interest Rate Derivatives traded on Indian exchanges, specifically for single bond futures on Government of India (GOI) securities, how is the final settlement price determined if the liquidity criteria in the underlying bond are not met during the last two hours of trading?

A. If less than 5 trades are executed in the underlying bond during the last two hours, the FIMMDA/FBIL price shall be used.
B. It is calculated based on the Value Weighted Average Price (VWAP) of the underlying bond executed during the last 30 minutes of trading on the NDS-OM platform.
C. It is derived from the theoretical price formula: Cash Price + Financing Cost - Income on cash position.
D. It is the simple average of the best bid and ask prices available on the NDS-OM platform at 5:00 PM.
E. It is based on the polling of prices from the top 5 Primary Dealers if less than 10 trades are executed on the exchange.

Answer: A

Explanation:
According to the product specifications for Interest Rate Derivatives, the final settlement price for single bond futures is the value weighted average price of the underlying bond based on prices during the last two hours of trading on NDS-OM. However, a specific fallback exists: 'If less than 5 trades are executed in the underlying bond during the last two hours of trading, then FIMMDA/FBIL price shall be used for final settlement.'

NEW QUESTION # 96
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. The Custodial Participant (CP) Code must be entered at the time of order entry.
B. The custodian settles their deliveries on a gross basis with the stock exchanges.
C. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
D. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
E. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.

Answer: A,C,E

Explanation:
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

NEW QUESTION # 97
Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

A. Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.
B. In case of no activity by the client, the system should provide for automatic trading session logout.
C. The broker system should have on-site as well as remote site back-up capabilities.
D. Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.
E. The broker shall capture the IP (Internet Protocol) address from where the orders are originating.

Answer: B,C,E

Explanation:
Option A is incorrect: 'Brokers using Internet based systems for routing client orders will not be allowed to cross trades of their clients with each other. All orders must be offered to the market for matching.' Option E is incorrect: 'DOT policy and regulation shall govern the level of encryption.' Options B, C, and D are correct based on the 'Additional Requirements' section: Capture IP address, Automatic trading session logout, and On-site as well as remote site back-up capabilities.

NEW QUESTION # 98
A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?

A. Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
B. The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).
C. Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).
D. Standing Instructions are valid only for off-market transfers and not for market trades.
E. If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.

Answer: E

Explanation:
The transferee has to submit Receipt Instruction to receive securities into his account. However, for the convenience of investor, transferee can give 'Standing Instructions' (SI) to its DP for receiving in securities. If OSI' is not given, then the transferee has to give separate instructions each time for receiving the securities.

NEW QUESTION # 99
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?

A. Cash Management Bills
B. Market Repo
C. Term Money
D. Commercial Paper
E. Notice Money

Answer: C

Explanation:
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,.

NEW QUESTION # 100
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