NISM-Series-VII덤프 & NISM-Series-VII최고기출문제

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM-Series-VII덤프 시험준비에 가장 좋은 인기덤프공부

NISM NISM-Series-VII 시험을 보시는 분이 점점 많아지고 있는데 하루빨리 다른 분들보다 NISM NISM-Series-VII시험을 패스하여 자격증을 취득하는 편이 좋지 않을가요? 자격증이 보편화되면 자격증의 가치도 그만큼 떨어지니깐요. NISM NISM-Series-VII덤프는 이미 많은분들의 시험패스로 검증된 믿을만한 최고의 시험자료입니다.

최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q208-Q213):

질문 # 208
Stock brokers are permitted to borrow funds for providing Margin Trading Facility (MTF) from specific sources. Which of the following sources is explicitly prohibited for raising funds for MTF?

A. Borrowing from Scheduled Commercial Banks.
B. Unsecured long-term loans from promoters and directors.
C. Using surplus funds of one client to provide margin trading facility to another client.
D. Issuance of Commercial Paper (CP) subject to RBI guidelines.
E. Borrowing from Non-Banking Financial Companies (NBFCs) regulated by RBI.

정답：C

설명：
The stock broker shall not use the funds of any client for providing the margin trading facility to another client, even if the same is authorized by the first client. Permitted sources include own funds, banks, NBFCs, CPs, and loans from promoters/directors.

질문 # 209
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 valid only for off-market transfers and not for market trades.
B. If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.
C. Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
D. Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).
E. The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).

정답：B

설명：
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.

질문 # 210
In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

A. Penalties credited to the Core SGF.
B. The entire Core SGF corpus on a pro-rata basis.
C. Capped additional contribution by non-defaulting members.
D. Stock Exchange contribution to the Core SGF.
E. Clearing Corporation resources equal to 5% of the segment MRC.

정답：E

설명：
According to the Default Waterfall specified in the source, the order is: 1. Monies of defaulting member, 2. Insurance, if any, 3. CC resources (equal to 5% of the segment MRC), and then 4. Core SGF of the segment (starting with Penalties, then CC contribution of at least 25%, etc.).

질문 # 211
In the context of the 'Trade to trade' or 'Gross obligations' method for determining settlement obligations, how are a member's funds obligations calculated?

A. Funds pay-in is the net of cumulative buy and sell values, while funds pay-out is zero.
B. Funds pay-in is the cumulative buy value minus 20% margin, and pay-out is the cumulative sell value.
C. Funds pay-in is equivalent to the cumulative value of buy transactions, and funds pay-out is equivalent to the cumulative sell value.
D. Funds obligations are determined solely based on the netted quantity of securities delivered.
E. Funds pay-in and pay-out are both calculated on a netted basis across all clients.

정답：C

설명：
Under 'Trade to trade or Gross obligations', transactions will not be netted. A member's funds pay-in will be equivalent to cumulative value of buy transactions and funds pay-out will be equivalent to cumulative sell value.

질문 # 212
The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?

A. Settlement dues and Securities Transaction Tax (STT) only
B. Margin money and Base Minimum Capital (BMC) deposit only
C. Settlement dues and Transaction charges only
D. Non-settlement dues and Stamp Duty only
E. Settlement dues, Margin money, or Non-settlement dues

정답：E

설명：
The source explicitly lists the obligations as: 'A clearing member, failing to discharge his funds obligations relating to settlement dues, margin money or non-settlement dues at the notified time, shall render him liable...'

질문 # 213
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