権威のあるNISM-Series-VII全真問題集 &合格スムーズNISM-Series-VII専門試験 |有効的なNISM-Series-VII試験過去問

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Technology in Securities Markets8%- Systems for trading, clearing and settlement
- Emerging technologies and their impact
- Data security and business continuity
Topic 2: Securities Market Overview10%- Types of securities and products
- Market participants and their roles
- Structure and segments of Indian securities market
Topic 3: Trading Operations15%- Client onboarding and KYC norms
- Order management and trade execution
- Front office functions and processes
Topic 4: Risk Management and Margining18%- Types of risks in securities operations
- Risk monitoring and control measures
- Margining systems and methodologies
Topic 5: Investor Protection7%- Investor rights and grievances redressal
- Investor education and awareness initiatives
- Mechanisms for dispute resolution
Topic 6: Market Microstructure12%- Trading mechanisms and order types
- Market indices and their calculation
- Price discovery and market efficiency
Topic 7: Regulatory Framework15%- Compliance requirements for intermediaries
- Code of conduct and ethical practices
- SEBI Act, Rules and Regulations
Topic 8: Clearing and Settlement15%- Settlement cycle and mechanisms
- Delivery versus payment and settlement guarantee
- Clearing process and roles of clearing corporations

>> NISM-Series-VII全真問題集 <<

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題 (Q172-Q177):

質問 # 172
Regarding the payment of upfront margin by a clearing member to the Clearing Corporation, which of the following statements accurately describes the timing and method of collection?

正解：A

解説：
The source states that the clearing member is required to pay upfront margin to the clearing corporation. The margins shall be collected/adjusted from the liquid assets of a clearing member on a real-time basis.


質問 # 173
Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

正解：D

解説：
The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.


質問 # 174
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?

正解：B

解説：
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.


質問 # 175
A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

正解：D

解説：
A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
Proprietary Net: 2000 - 1500 = +500 (Long).
ClientA Net: 1000 - 1200 = -200 (Short).
Client B Net: 500 - 100 = +400 (Long).
TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.


質問 # 176
In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

正解：B

解説：
The source specifies that in certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples provided include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window etc.'


質問 # 177
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