NISM NISM-Series-VII Vce Files | NISM-Series-VII Reliable Test Sims

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q176-Q181):

NEW QUESTION # 176
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A. Any resident individual irrespective of investment limit.
B. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
C. Residents are strictly prohibited from dealing in securities listed in IFSC.
D. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
E. Only resident Qualified Institutional Buyers (QIBs).

Answer: D

Explanation:
As per SEBI (International Financial Services Centres) Guidelines, 2015, a person resident in India who is eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS) of the Reserve Bank of India, is permitted to deal in securities listed in IFSC.

NEW QUESTION # 177
Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. Clients who have a credit balance of less than Rs. 1 lakh.
B. Institutional clients settling trades through custodians.
C. High Net Worth Individuals (HNls) who have provided a written waiver.
D. Clients who have logged into their trading account at least once in the last 30 days.
E. Clients trading in the derivatives segment only.

Answer: B

Explanation:
Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.

NEW QUESTION # 178
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
B. Submission via the dedicated mobile application of the Registrar and Transfer Agent.
C. Submission through the General Ledger account of the Stock Broker.
D. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
E. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).

Answer: E

Explanation:
The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'

NEW QUESTION # 179
Regarding the modernization of broker services, what specific technological facility allows brokers to offer clients direct control over orders, faster execution, and reduced risk of manual errors?

A. Manual Order Routing (MOR)
B. Contract Note Digitization (CND)
C. Offline Trading System (OTS)
D. Direct Market Access (DMA)
E. Physical Delivery Instruction Slip (PDIS)

Answer: D

Explanation:
Direct Market Access (DMA) is listed as a facility offered by a stock broker's outlet. While the definition is in later sections, the introduction lists it as a key facility provided by brokers.

NEW QUESTION # 180
To ensure a smooth settlement process in case of holidays, Clearing Corporations (CCs) are required to follow a specific operational sequence. Which of the following statements accurately describes this sequence regarding multiple settlements scheduled for the same day?

A. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.
B. The pay-in and pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).
C. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.
D. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.
E. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.

Answer: B

Explanation:
According to the guidelines for settlement in case of holidays, 'The CCs shall clear and settle the trades on a sequential basis i.e., the pay-in and the pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).'

NEW QUESTION # 181
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