NISM-Series-VII시험패스인증공부자료, NISM-Series-VII시험패스가능덤프공부

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM-Series-VII시험패스 가능 덤프공부, NISM-Series-VII시험유형

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q299-Q304):

질문 # 299
A Trading Member appointed as a syndicate member participates in the book building process for an IPO. Regarding the lifecycle and management of offers (bids) entered into the Stock Exchange system, which of the following statements accurately describes the operational parameters?

A. Offers placed in the system are automatically purged at the end of each trading session if not confirmed by the Registrar.
B. The system accepts offers only during the pre-open session of the Exchange on the issue open days.
C. Offers are batched and uploaded at the end of the day, receiving a collective time stamp for the batch.
D. Once entered and numbered, offers cannot be modified by the Trading Member; they must be cancelled and re-entered.
E. Trading Members can modify or cancel all offers placed in the system from the start till the last day of the book-building process.

정답：E

설명：
As per the study material, 'All the offers placed in the system will remain outstanding till the last day of the book building process. Trading Members can modify/cancel all the offers placed in the system from the start till the last day of the book-building process.' Offers are individually numbered and time-stamped as and when received.

질문 # 300
Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A. Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
B. Automatic conversion of physical shares to demat shares on the pay-in date.
C. Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
D. Automatic debit of the client's bank account for the value of securities short delivered.
E. Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.

정답：A

설명：
For pay-in through NSDL/CDSL, the broker can avail of a facility wherein delivery-out instructions can be generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.

질문 # 301
Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

A. Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.
B. Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.
C. Every clearing member must maintain a separate and distinct primary clearing account for each segment.
D. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
E. Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.

정답：B,C,D

설명：
Statement A is correct as members must maintain separate accounts for each segment. Statement C is correct regarding irrevocable authorization. Statement E is correct regarding additional accounts for collateral enhancement. Statement B is incorrect because withdrawals are allowed only in 'self-name'. Statement D is incorrect because the Clearing Corporation (not the bank) determines the obligations.

질문 # 302
Regarding 'Two-factor authentication' for login sessions in Internet Based Trading (IBT), which of the following implementation details is explicitly advisable/required?

A. The two factors should be identical (e.g., two different passwords).
B. Public Key Infrastructure (PKI) based implementation using digital signatures is advisable, and the two factors should not be the same.
C. The second factor must always be biometric verification.
D. Two-factor authentication is optional and can be replaced by a static high-complexity password.
E. It should be implemented using only SMS-based OTP without any other factor.

정답：B

설명：
The text states: 'Two-factor authentication for login session may be implemented for all orders emanating using Internet Protocol. Public Key Infrastructure (PKI) based implementation using digital signatures, supported by one of the agencies certified by the government of India, is advisable. Further the two factors in the Two-factor authentication framework should not be same.'

질문 # 303
Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

A. In case of unmatched orders, the Clearing Corporation uploads the cancellation of Block instruction on T+1 day.
B. Pool to Pool transfers of securities are permitted between any two Trading Members under this mechanism.
C. Depositories provide transfer instruction details (UCC, TM ID, etc.) to CCs to enable clients to avail EPI benefits.
D. The facility of block mechanism is mandatory for all Early Pay-In transactions.
E. Securities can be blocked by the client using the depository's online system, eDIS mandate, or physical DIS.

정답：C,D,E

설명：
Statement A is correct: The facility is mandatory for all EPI transactions. Statement D is correct: Depositories provide details to CCs for EPI. Statement E is correct: Blocking can be done via online system, eDIS, or physical DIS. Statement B is incorrect because for unmatched orders, CCs upload cancellation on day", not T+1. Statement C is incorrect because Pool to Pool transfers are **not permitted** except from TM pool to CM pool.

질문 # 304
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