100% Pass Quiz NISM Marvelous NISM-Series-VII - NISM Series VII - Securities Operations and Risk Management Certification Test Answers

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Clearing and Settlement- Settlement systems
  • 1. Margining and risk adjustments
    • 2. T+1/T+2 settlement cycles
      - Clearing mechanisms
      • 1. Netting and settlement obligations
        • 2. Clearing corporations and counterparties
          Topic 2: Securities Market Operations- Market participants and structure
          • 1. Roles of brokers, exchanges, and investors
            • 2. Order types and trading mechanism basics
              - Trading process
              • 1. Order execution and trade lifecycle
                • 2. Trade confirmation and reporting
                  Topic 3: Depository Operations- Demat account framework
                  • 1. NSDL and CDSL roles
                    • 2. Account opening and maintenance
                      - Corporate actions
                      • 1. Dividends, bonuses, splits
                        • 2. Record dates and entitlement processing
                          Topic 4: Risk Management in Securities Markets- Market and operational risk
                          • 1. Operational risk controls
                            • 2. Types of financial risks
                              - Risk mitigation systems
                              • 1. Margins and collateral systems
                                • 2. Surveillance and compliance mechanisms

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                                  Pass Guaranteed NISM - NISM-Series-VII - NISM Series VII - Securities Operations and Risk Management Certification Pass-Sure Test Answers

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q173-Q178):

                                  NEW QUESTION # 173
                                  Every Depository Participant (DP) is required to abide by a specific Code of Conduct. Which regulation explicitly specifies this Code of Conduct in its Third Schedule?

                                  Answer: C

                                  Explanation:
                                  Every DP shall abide by the Code of Conduct as specified in Part A of Third Schedule of SEBI (Depository Participant) Regulation, 2018 and other guidelines specified by SEBI/Depository from time to time.


                                  NEW QUESTION # 174
                                  In the context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

                                  Answer: D

                                  Explanation:
                                  The regulations specify that any adjustment for corporate actions would be carried out on the last day on which a security is traded on a cum basis in the underlying equities market after the close of trading hours.


                                  NEW QUESTION # 175
                                  In the context of the SEBI Complaints Redress System (SCORES), certain types of complaints are explicitly excluded from its purview Which of the following scenarios represents a complaint that is NOT dealt with through SCORES?

                                  Answer: B

                                  Explanation:
                                  Complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt through SCORES. The other options represent valid grievances against active intermediaries or listed companies.


                                  NEW QUESTION # 176
                                  Regarding Indian Depository Receipts (IDRs) and the regulatory framework for their conversion or redemption into underlying equity shares, which of the following statements accurately reflects the permissible conditions?

                                  Answer: D

                                  Explanation:
                                  The regulations for IDRs state that 'Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.' Furthermore, 'Two way fungibility of IDRs is permitted... However, the number of shares that can be converted into depository receipt should be within the headroom available.' The headroom is defined as 'the number of IDRs originally issued minus the number of IDRs outstanding, which is further adjusted for IDRs redeemed into underlying equity shares.'


                                  NEW QUESTION # 177
                                  Regarding the modernization of broker services, what specific technological facility allows brokers to offer clients direct control over orders, faster execution, and reduced risk of manual errors?

                                  Answer: D

                                  Explanation:
                                  Direct Market Access (DMA) is listed as a facility offered by a stock broker's outlet. While the definition is in later sections, the introduction lists it as a key facility provided by brokers.


                                  NEW QUESTION # 178
                                  ......

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