NISM-Series-VII최신덤프데모최신시험덤프공부자료

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q312-Q317):

질문 # 312
Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A. Post Close Session
B. Auction Session
C. Continuous Trading Session
D. Early Pay-in via Block Mechanism
E. Pre-open Session

정답：A,B,E

설명：
According to the source, 'Pre-open, Special Pre-open, Block window, Auction, Periodic call auction and Post close session are not applicable under T+0 settlement.' Note: While a later circular advised facilitating a block deal window, the core exclusions listed include Pre-Open, Auction, and Post Close. Continuous Trading and Early Pay-in are applicable features.

질문 # 313
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?

A. Rs. 648 (20% above the highest prevailing price)
B. Rs. 540 (Highest price from T to Close-out day)
C. Rs. 660 (20% above the official closing price on the close out day)
D. Rs. 550 (Official closing price on Close-out day)
E. Rs. 600 (Highest price + 20% penalty)

정답：C

설명：
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.

질문 # 314
To ensure a smooth settlement process in case of holidays, Clearing Corporations (CCs) are required to follow a specific operational sequence. Which of the following statements accurately describes this sequence regarding multiple settlements scheduled for the same day?

A. The pay-in and pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).
B. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.
C. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.
D. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.
E. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.

정답：A

설명：
According to the guidelines for settlement in case of holidays, 'The CCs shall clear and settle the trades on a sequential basis i.e., the pay-in and the pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).'

질문 # 315
Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

A. Entities shall resolve the complaint and upload the Action Taken Report (ATR) on SCORES within 21 calendar days of receipt of the complaint.
B. The Designated Body must submit the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.
C. The first level of review is conducted by SEBI officials immediately upon request by the investor.
D. Complaints are automatically forwarded to the Securities Appellate Tribunal if not resolved within 7 days.
E. If the complainant is not satisfied with the ATR, they may request a review within 15 calendar days from the date of the ATR.

정답：A,B,E

설명：
Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.

질문 # 316
When the obligations arising out of the cash segment settlement and physical settlement of the F&O segment are settled on a net basis, how are the Securities Transaction Tax (STT) and Stamp Duty treated?

A. They are calculated based on the notional value of the F&O contract only.
B. STT is levied on the gross position, while Stamp Duty is levied on the net obligation.
C. They continue to be computed, levied, and reported on a segment-wise level, regardless of the netting for settlement.
D. They are waived for the cash segment leg if the position is hedged in the F&O segment.
E. They are computed and levied on the final netted delivery obligation after merging both segments.

정답：C

설명：
Under the Net Settlement mechanism, netting of delivery obligations shall be only for the purpose of settlement. Therefore, Securities Transaction Tax (STT) and Stamp Duty shall continue to be computed, levied, and reported on a segment-wise level.

질문 # 317
......

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