認定するNISM-Series-VII練習問題試験-試験の準備方法-最新のNISM-Series-VII学習関連題

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NISM NISM-Series-VII Exam Syllabus Topics:

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

>> NISM-Series-VII練習問題 <<

NISM-Series-VII学習関連題 & NISM-Series-VII無料模擬試験

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q26-Q31):

質問 # 26
Which of the following correctly defines the trading timings for the beta version of the T+0 rolling settlement cycle?

正解：D

解説：
The trade timings for the T+0 settlement cycle are defined as: 'One continuous trading session from 09:15 AM to 1 PM'.


質問 # 27
Which of the following statements accurately describe the operational procedures and timelines within the Clearing Process of the Indian securities market (Cash Segment)? (Select all that apply)

正解：B、D、E

解説：
Statement A is correct (CP code modification on T day upto 4:15 pm). Statement B is correct (Final obligation download on T+1 by 9:00 am). Statement D is correct (CC performs multilateral netting). Statement C is incorrect because members must maintain separate and distinct primary clearing accounts for each segment. Statement E is incorrect because institutional trades are generally exempted from upfront margins (margined on T+1).


質問 # 28
Based on the concept of Multilateral Netting, calculate the Net Quantity obligation for Broker 'Z' given the following trades in Security ABC:
1. Broker Y buys 50 shares from Broker Z @ Rs. 10.50
2. Broker X buys 100 shares from Broker Z @ Rs. 10.50

正解：C

解説：
For Broker Z:
Trade 1: Sell 50 shares (to Y).
Trade 2: Sell 100 shares (to X).
Total Sell = 150 shares. Total Buy = 0 shares.
Net Quantity = Buy - Sell = O - 150 = -150.
A negative quantity implies an obligation to Deliver 150 shares.


質問 # 29
To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

正解：E

解説：
The books of accounts with respect to MTF shall be audited on a half-yearly basis. The stock broker shall submit an auditor's certificate to the exchange, within one month from the date of the half year ending 31st March and 30th September of a year.


質問 # 30
According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

正解：A

解説：
As per the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, if a company is not listed on any exchange having nationwide trading terminals, the in-principle approval is required from all the stock exchange(s) in which the securities of the issuer are proposed to be listed.


質問 # 31
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