NISM-Series-VII완벽한시험덤프 & NISM-Series-VII퍼펙트덤프최신문제

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Securities Market Overview	10%	- Types of securities and products - Structure and segments of Indian securities market - Market participants and their roles
Risk Management and Margining	18%	- Margining systems and methodologies - Risk monitoring and control measures - Types of risks in securities operations
Trading Operations	15%	- Front office functions and processes - Client onboarding and KYC norms - Order management and trade execution
Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Emerging technologies and their impact - Data security and business continuity
Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives
Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms
Regulatory Framework	15%	- Code of conduct and ethical practices - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations
Market Microstructure	12%	- Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types

>> NISM-Series-VII완벽한 시험덤프 <<

NISM NISM-Series-VII퍼펙트 덤프 최신문제 & NISM-Series-VII최신핫덤프

IT업계의 치열한 경쟁속에 살아 남으려면 자신의 능력을 증명하여야 합니다. 국제승인을 받는 IT인증자격증을 많이 취득하시면 취직이든 승진이든 이직이든 모든 면에서 이득을 볼수 있습니다. 최근 NISM인증 NISM-Series-VII시험에 도전하는 분이 많은데 Pass4Test에서 NISM인증 NISM-Series-VII시험에 대비한 가장 최신버전 덤프공부가이드를 제공해드립니다.

최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q53-Q58):

질문 # 53
Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
(Select all that apply)

A. The final deliverable/receivable positions at a clearing member are arrived at after netting the obligations of all clients/constituents clearing through them.
B. It applies to Index Futures and Index Options.
C. Delivery settlement is optional and can be cash settled if the client chooses.
D. It considers all in-the-money option contracts which are exercised and assigned.
E. It considers all open futures positions after the close of trading on the expiry day.

정답：A,D,E

설명：
Delivery Settlement applies to individual stock derivatives (not Index, which are cash settled). It considers all open futures positions after close of trading on expiry day and all in-the-money option contracts which are exercised and assigned. The final position at a clearing member is arrived at after netting the obligations of all clients/constituents/trading members clearing through the respective clearing member.

질문 # 54
Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A. In case of a dispute, records can be disposed of immediately after the broker files a response.
B. Evidence must be physical records only, retained for 5 years.
C. Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
D. Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
E. Evidence is optional for internet-based transactions and must be retained for 1 year.

정답：D

설명：
The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'

질문 # 55
Which of the following instruments allows foreign companies to raise capital directly from the Indian securities market in Indian Rupees?

A. Indian Depository Receipts (IDRs)
B. External Commercial Borrowings (ECBs)
C. Global Depository Receipts (GDRs)
D. American Depository Receipts (ADRs)
E. Foreign Currency Convertible Bonds (FCCBs)

정답：A

설명：
Foreign companies can raise capital from Indian markets by issuing IDR (Indian Depository Receipts). This will be in rupee terms. ADRs and GDRs are for Indian companies raising funds abroad,.

질문 # 56
Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A. It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
B. It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
C. It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
D. It caters to domestic customers only, offering products in foreign currency.
E. It operates in Indian Rupee (INR) but is exempt from RBI regulations.

정답：A

설명：
An IFSC is defined as a jurisdiction that provides world-class financial services to non-residents and residents (to the extent permissible under current regulations) in a currency other than the domestic currency (Indian rupee) of the location where the IFSC is located.

질문 # 57
Which of the following statements accurately describe the operational aspects of the Beta version of T+0 rolling settlement cycle introduced by SEBI? (Select all that apply)

A. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.
B. An auction session will be conducted on T+0 day itself for any securities shortage.
C. Trading timings for the T+0 session are from 09:15 AM to 3:30 PM.
D. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
E. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.

정답：A,D,E

설명：
For T+0 settlement: There shall be no netting in pay-in and pay-out obligations between T+1 and T+0. Security shortages shall be directly closed out at 10% above the highest price (Auction shall not be conducted). Pay-in for T+0 sell obligations shall be allowing only by way of early pay-in using block mechanism. Trading timings are 09:15 AM to 1:30 PM (not 3:30 PM).

질문 # 58
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