NISM-Series-VII New Exam Materials - Latest NISM-Series-VII Test Labs

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 3: Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Topic 4: 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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q168-Q173):

NEW QUESTION # 168
In the context of the 'Application Supported by Blocked Amount' (ASBA) facility processed by intermediaries in public issues, what is the critical pre-condition explicitly mandated by SEBI before the ASBA applications can be processed?

A. The General Index Register (GIR) number must be verified.
B. The physical form must be received by the Registrar.
C. The syndicate member must issue a physical acknowledgement slip.
D. The application monies must be blocked in the investor's bank account.
E. The application must be uploaded to the Exchange bidding platform.

Answer: D

Explanation:
SEBI advised that 'the ASBA applications in public issues shall be processed only after the application monies are blocked in the investor's bank account.' Intermediaries are advised to ensure appropriate systemic and procedural arrangements for this.

NEW QUESTION # 169
In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A. Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.
B. Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
C. Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
D. Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
E. Stock brokers must obtain a separate license from AMFI for providing advisory services.

Answer: B

Explanation:
Regulation 4(g) of SEBI (Investment Advisers) Regulations, 2013 requires stock brokers to comply with general obligations... which, inter-alia, provide that client level segregation of advisory and distribution activities needs to be ensured at the entity and group level.

NEW QUESTION # 170
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
B. When the investor trades in highly correlated indices across different exchanges.
C. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
D. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
E. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.

Answer: C

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available for institutional investors or PMS directed to do delivery backed transactions.

NEW QUESTION # 171
Clearing Members are required to provide an irrevocable authorization to their Clearing Bank regarding the operation of their clearing accounts. What constitutes the specific scope of this authorization concerning the Clearing Corporation's access?

A. To debit and credit the clearing accounts as per instructions and report balances/information to the Clearing Corporation.
B. To audit the member's proprietary trading books and freeze accounts in case of high volatility.
C. To transfer funds between the Cash and Derivatives segments without specific instructions from the Clearing Corporation.
D. To allow the Clearing Bank to use the idle funds in the clearing account for its own treasury operations.
E. To automatically convert funds into approved securities if the balance exceeds a specified threshold.

Answer: A

Explanation:
Clearing members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their clearing accounts for debiting and crediting as per instructions, and for reporting of balances and other information as required by the Clearing Corporation.

NEW QUESTION # 172
Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A. Details on how an industry is faring and whether current policies favour the industry.
B. Detailed technical analysis of stock price movements and volume data for specific scrips.
C. Mathematical models for algorithmic trading strategies.
D. A comprehensive list of all IPOs expected to hit the market in the next financial year.
E. Confidential insider information regarding upcoming mergers and acquisitions.

Answer: A

Explanation:
According to the text, * *Sector research includes details on how an industry is faring, whether current policies favour the industry, etc.", so that the choice of investing in a particular industry rests with the investor.

NEW QUESTION # 173
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