NISM-Series-VII덤프샘플문제체험시험최신버전덤프자료샘플문제

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Clearing and Settlement- Settlement systems
  • 1. Margining and risk adjustments
    • 2. T+1/T+2 settlement cycles
      - Clearing mechanisms
      • 1. Clearing corporations and counterparties
        • 2. Netting and settlement obligations
          Securities Market Operations- Market participants and structure
          • 1. Order types and trading mechanism basics
            • 2. Roles of brokers, exchanges, and investors
              - Trading process
              • 1. Trade confirmation and reporting
                • 2. Order execution and trade lifecycle
                  Depository Operations- Corporate actions
                  • 1. Dividends, bonuses, splits
                    • 2. Record dates and entitlement processing
                      - Demat account framework
                      • 1. NSDL and CDSL roles
                        • 2. Account opening and maintenance
                          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

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                                  최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q287-Q292):

                                  질문 # 287
                                  Which SEBI regulation lays down the general conditions for capital market issuances including Initial Public Offers (IPO), Rights Issues, and Qualified Institutional Placements (QIP)?

                                  정답：B

                                  설명：
                                  The SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (ICDR Regulations) lays down general conditions for capital market issuances like public and rights issuances, preferential issues, and qualified institutional placements.


                                  질문 # 288
                                  Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

                                  정답：B,D,E

                                  설명：
                                  Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.


                                  질문 # 289
                                  Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

                                  정답：D

                                  설명：
                                  The source states that for premium settlement in respect of admitted deals in options contracts, the premium payable or receivable value of clearing members shall be computed after netting the premium payable or receivable positions at trading member/Custodial Participant level, for each option contract, at the end of each trading day.


                                  질문 # 290
                                  Which of the following statements accurately describe the application of the 'Close Out' procedure by the Clearing Corporation? (Select all that apply)

                                  정답：A,B,C

                                  설명：
                                  Option A is correct: Close out happens if auction finds no sellers. Option B is correct: Securities in trade for trade are directly closed out. Option D is correct: Securities under corporate action are directly closed out. Option C is incorrect because surplus is credited to Core SGF. Option E is incorrect because the price formula involves highest price or 20% mark-up.


                                  질문 # 291
                                  Under the framework for 'Demat Debit and Pledge Instruction' (DDPI), which replaces the Power of Attorney (POA) for specific purposes, for which of the following activities is the use of DDPI strictly limited to?

                                  정답：E

                                  설명：
                                  According to the source, the use of DDPI shall be limited only for specific purposes: 1) Transfer of securities held in the beneficial owner accounts of the client towards Stock Exchange related deliveries / settlement obligations; 2) Pledging / re-pledging of securities in favour of TMI CM for meeting margin requirements; 3) Mutual Fund transactions on stock exchange platforms; 4) Tendering shares in open offers. Conditions like transfer of funds or off-market trades are not covered under the limited purpose DDPI.


                                  질문 # 292
                                  ......

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