시험대비NISM-Series-VII합격보장가능덤프문제최신버전덤프샘풀문제다운받기

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q143-Q148):

질문 # 143
According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
B. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
C. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
D. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
E. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.

정답：D

설명：
The source specifies that the MRC shall be fixed for a month. By the 15th of every month, the CC reviews/determines the MRC for the next month based on daily stress tests of the preceding month. Specifically, the MRC for the next month shall be the 'higher of the average arrived at as (v) above [Average of all the daily worst case loss numbers] and the segment MRC as per previous review.'

질문 # 144
Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)

A. Pre-Open, Special Pre-Open, and Post close sessions are not applicable.
B. Trading is not permitted on the Ex-date of securities.
C. The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.
D. Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.
E. Security shortages are handled through a dedicated auction session on T+0 day.

정답：A,B,D

설명：
Option A is correct: No trading for T+0 settlement on Ex-date of securities. Option C is correct: Pre-Open, Special Pre-Open, and Post close sessions are not applicable. Option D is correct: Pay-in is allowed only by way of early pay-in using block mechanism. Option B is incorrect as auctions are not conducted (direct close-out applies). Option E is incorrect as the price band is +1- 100 bps with re-calibration.

질문 # 145
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
B. Corporate clients trading through a proprietary account of the Trading Member.
C. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
D. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
E. High Net Worth Individuals (HNIs) trading in the F&O segment.

정답：D

설명：
The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

질문 # 146
Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A. Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
B. As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
C. The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
D. In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
E. Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.

정답：B,D,E

설명：
StatementA is incorrect because the direct pay-out is *not* applicable to clients having arrangements with custodians. Statement B is correct regarding sequential settlement. Statement C is correct regarding DDPI. Statement D is incorrect because purchasers *can* give one- time standing instructions. Statement E is correct regarding the revised timing to 3:30 PM.

질문 # 147
When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

A. Fresh orders placed by the member to reduce the open position will be accepted.
B. All unexecuted orders shall be cancelled immediately.
C. Client and Custodial Participant code modification is permitted to rectify errors.
D. Non-margined orders are accepted without restriction to maintain liquidity.
E. Only orders with 'Immediate or Cancel' (IOC) attribute are permitted.

정답：A,B,E

설명：
In Risk Reduction Mode: 1) All unexecuted orders shall be cancelled. 2) Only orders with Immediate or Cancel attribute shall be permitted. 3) Fresh order placed by member to reduce the open position will be accepted. Option D is incorrect because non-margined orders shall *not* be accepted. Option E is incorrect because Client and Custodial Participant code modification shall *not* be permitted.

질문 # 148
......

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