NISM NISM-Series-VII Valid Dump, Valid NISM-Series-VII Exam Labs

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Trading Operations	15%	- Front office functions and processes - Order management and trade execution - Client onboarding and KYC norms
Topic 2: Market Microstructure	12%	- Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types
Topic 3: Technology in Securities Markets	8%	- Data security and business continuity - Systems for trading, clearing and settlement - Emerging technologies and their impact
Topic 4: Risk Management and Margining	18%	- Margining systems and methodologies - Risk monitoring and control measures - Types of risks in securities operations
Topic 5: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Topic 6: Securities Market Overview	10%	- Structure and segments of Indian securities market - Types of securities and products - Market participants and their roles
Topic 7: Investor Protection	7%	- Mechanisms for dispute resolution - Investor rights and grievances redressal - Investor education and awareness initiatives
Topic 8: Regulatory Framework	15%	- Compliance requirements for intermediaries - SEBI Act, Rules and Regulations - Code of conduct and ethical practices

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q236-Q241):

NEW QUESTION # 236
Stock Exchanges are required to maintain an Investor Services Fund (ISF) distinct from the Investor Protection Fund (IPF). What is the specific contribution requirement from the Stock Exchange towards the ISF?

A. 100% of the interest earned on the 1% security deposit of issuer companies.
B. 1% of the listing fees received, on a quarterly basis.
C. 5% of the transaction charges collected from members.
D. The penalty collected for client code modification.
E. At least 20% of the listing fees received.

Answer: E

Explanation:
For the Investor Services Fund (ISF), the text states: 'The stock exchange shall set aside at least 20% of the listing fees received for ISF for providing services to the investing public.' Note that 1% of listing fees goes to the IPF, while 20% goes to the ISF.,

NEW QUESTION # 237
Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A. Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.
B. The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.
C. Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.
D. Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
E. Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.

Answer: D

Explanation:
The source states: 'Clearing member can deposit fund in these accounts in any form but withdraw funds from these accounts only in self-name.' This ensures the account is used for its intended purpose of clearing and settlement.

NEW QUESTION # 238
A claim against a defaulter trading member is received by the Stock Exchange after three years from the date of expiry of the specified period for lodging claims. How is such a claim categorized under the IPF guidelines?

A. It is referred to the SEBI Complaints Redressal System (SCORES) for arbitration.
B. It may be dealt with as a civil dispute.
C. It is eligible for 50% of the compensation limit applicable to timely claims.
D. It is automatically rejected and cannot be pursued in any forum.
E. It is treated as a priority claim but paid only after all timely claims are settled.

Answer: B

Explanation:
The text states: 'Any claim received after three years from the date of expiry of the specified period may be dealt with as a civil dispute.'

NEW QUESTION # 239
Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When the instruction is received on T+1 day instead of T day.
B. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
C. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
D. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
E. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.

Answer: C

Explanation:
The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'

NEW QUESTION # 240
Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
B. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
C. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
D. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.
E. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.

Answer: E

Explanation:
As per Regulation 18 of the Stock Brokers Regulations 1992 and SCRR 1957, every stock broker shall preserve the specified books of account for a minimum period of five years. Furthermore, it is advised to preserve the originals (or copies if originals are taken) of documents taken by enforcement agencies during an investigation till the trial is completed.

NEW QUESTION # 241
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