Valid NISM-Series-VII Exam Papers, Detailed NISM-Series-VII Study Dumps

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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. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Topic 3: 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
Topic 4: Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q164-Q169):

NEW QUESTION # 164
In the context of 'Network Security' for Internet Based Trading systems, specific measures are mandatory to protect the exchange connectivity. Which of the following accurately describes the requirement regarding Firewalls and Server Access?

A. Suitable Firewalls must be placed between the broker's back office and the Internet; Server access must use VPN only.
B. Firewalls must be placed only at the client terminal end; Server access requires a static IP address without SSL.
C. Firewalls are optional if 2FA is implemented; Server access must use HTTP protocol.
D. Firewalls are required only for Wireless Trading; Server access must use simple text authentication.
E. Suitable Firewalls must be placed between the Internet trading set-up and the trading set-up directly connected to the Exchange; Server access must use Secured Socket Level Security.

Answer: E

Explanation:
The mandatory security features include: Secured Socket Level Security for server access through Internet and Suitable Firewalls between trading set-up directly connected to an Exchange trading system and the Internet trading set-up.

NEW QUESTION # 165
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
B. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
C. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
D. High Net Worth Individuals (HNIs) trading in the F&O segment.
E. Corporate clients trading through a proprietary account of the Trading Member.

Answer: C

Explanation:
The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

NEW QUESTION # 166
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. Evidence is optional for internet-based transactions and must be retained for 1 year.
B. Evidence must be physical records only, retained for 5 years.
C. Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
D. Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
E. In case of a dispute, records can be disposed of immediately after the broker files a response.

Answer: C

Explanation:
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).'

NEW QUESTION # 167
Consider the following 'Sell' order book for a security. A new Buy Limit Order for 500 shares at a price of Rs. 121.50 is entered into the system.

Based on the price-time priority mechanism, how will this buy order be executed?

A. 50 shares @ 121.20, 100 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
B. The order will remain pending as the full quantity cannot be matched at a single price.
C. 150 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
D. 200 shares @ 121.50, 200 shares @ 121.40, and 100 shares @ 121.20
E. 500 shares @ Rs. 121.50

Answer: A

Explanation:
The order matching is done on a price-time priority basis. The buy order matches with the best sell price first (lowest price). It matches 50 @ 121.20 (T 1), then 100 @ 121.20 (T2), then 200 @ 121.40 (T3). The remaining 150 shares are matched against the order at 121.50 (T4). The executed prices are the passive order prices (121.20, 121.40, 121.50).

NEW QUESTION # 168
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?

A. Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)
B. Exceeds Rs. 1,00,00,000 (Rupees One Crore)
C. Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)
D. Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)
E. Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)

Answer: E

Explanation:
The source specifies: 'In the event that the aggregate of the claim and/or counter-claim amount exceeds Rs 30,00,000 (Rupees Thirty Lakhs) or such amount as specified from time to time, the matter shall be referred to an Arbitral Tribunal consisting of three Arbitrators'.

NEW QUESTION # 169
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