NISM-Series-VII Actual Test Pdf, NISM-Series-VII Valid Exam Cram

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Types of financial risks 2. Operational risk controls
Depository Operations	- Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q78-Q83):

NEW QUESTION # 78
To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?

A. Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).
B. Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
C. Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.
D. Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
E. Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.

Answer: D

Explanation:
The trading members who are AMFI Registration Number (ARN) holders and have passed the NISM certification examination are permitted to participate in the trading of the mutual funds units through the exchange trading platform. Further, eligible members would have to register as distributor with the mutual fund company. Hence, eligible members would be able to place orders only in respect of Mutual Fund Companies where they have registered as distributor.

NEW QUESTION # 79
Which of the following instruments allow Indian companies to raise resources from international capital markets?

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

Answer: A,B,C,D

Explanation:
Indian companies can raise resources from international markets through GDRs, ADRs, FCCBs, ECBs, and Masala Bonds„,. IDRs are used by foreign companies to raise capital from Indian markets.

NEW QUESTION # 80
Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

A. Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.
B. Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.
C. Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.
D. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
E. Every clearing member must maintain a separate and distinct primary clearing account for each segment.

Answer: C,D,E

Explanation:
Statement A is correct as members must maintain separate accounts for each segment. Statement C is correct regarding irrevocable authorization. Statement E is correct regarding additional accounts for collateral enhancement. Statement B is incorrect because withdrawals are allowed only in 'self-name'. Statement D is incorrect because the Clearing Corporation (not the bank) determines the obligations.

NEW QUESTION # 81
A Trading Member appointed as a syndicate member participates in the book building process for an IPO. Regarding the lifecycle and management of offers (bids) entered into the Stock Exchange system, which of the following statements accurately describes the operational parameters?

A. Offers placed in the system are automatically purged at the end of each trading session if not confirmed by the Registrar.
B. Once entered and numbered, offers cannot be modified by the Trading Member; they must be cancelled and re-entered.
C. Trading Members can modify or cancel all offers placed in the system from the start till the last day of the book-building process.
D. The system accepts offers only during the pre-open session of the Exchange on the issue open days.
E. Offers are batched and uploaded at the end of the day, receiving a collective time stamp for the batch.

Answer: C

Explanation:
As per the study material, 'All the offers placed in the system will remain outstanding till the last day of the book building process. Trading Members can modify/cancel all the offers placed in the system from the start till the last day of the book-building process.' Offers are individually numbered and time-stamped as and when received.

NEW QUESTION # 82
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Registration of the company's memorandum of association
B. Appointment of key managerial personnel
C. Non-payment of dividend
D. Incorporation of the company
E. Conduct of Annual General Meetings

Answer: C

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 83
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