NISM-Series-VII Exam Quizzes & NISM-Series-VII New Practice Questions

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
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	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
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
Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q26-Q31):

NEW QUESTION # 26
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

A. Schedule X
B. Schedule XI
C. Schedule V
D. Schedule VII
E. Schedule I

Answer: B

Explanation:
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' (the Direct Listing Scheme) is specified in Schedule Xl of Foreign Exchange Management (Non-debt Instruments) Rules, 2019. This scheme provides the framework for issuing and listing equity shares of public Indian companies on international exchanges.

NEW QUESTION # 27
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. Every clearing member must maintain a separate and distinct primary clearing account for each segment.
E. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.

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 # 28
Under Section 12 of the Prevention of Money Laundering Act (PMLA), 2002, what is the mandatory retention period for documents evidencing the identity of clients and beneficial owners?

A. Seven years from the date of the suspicious transaction report filing.
B. Two years from the date of the last transaction in the account.
C. Five years from the date of the specific transaction.
D. Ten years from the date of account opening.
E. Five years after the business relationship between a client and the reporting entity has ended or the account has been closed, whichever is later.

Answer: E

Explanation:
The PMLA stipulates two different retention periods. Records of transactions must be maintained for five years from the date of transaction. However, records of documents evidencing identity of clients and beneficial owners must be maintained for five years after the business relationship has ended or the account has been closed, whichever is later.

NEW QUESTION # 29
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Exemption from Securities Transaction Tax (STT)
B. Waiver of stamp duty on the underlying collateral
C. Eligibility for priority sector lending classification
D. Exemption from RBI's CRR/SLR computation
E. Automatic guarantee by the Central Government

Answer: D

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 30
Which of the following statements accurately describe the process and components of 'Delivery Settlement' in the equity F&O segment?
(Select all that apply)

A. Delivery settlement is optional and can be cash settled if the client chooses.
B. It considers all in-the-money option contracts which are exercised and assigned.
C. It applies to Index Futures and Index Options.
D. The final deliverable/receivable positions at a clearing member are arrived at after netting the obligations of all clients/constituents clearing through them.
E. It considers all open futures positions after the close of trading on the expiry day.

Answer: B,D,E

Explanation:
Delivery Settlement applies to individual stock derivatives (not Index, which are cash settled). It considers all open futures positions after close of trading on expiry day and all in-the-money option contracts which are exercised and assigned. The final position at a clearing member is arrived at after netting the obligations of all clients/constituents/trading members clearing through the respective clearing member.

NEW QUESTION # 31
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