시험패스에유효한NISM-Series-VII인증덤프공부자료덤프자료

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 2: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Topic 3: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 4: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Topic 5: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 6: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution

>> NISM-Series-VII인증덤프공부자료 <<

NISM-Series-VII최신시험후기 - NISM-Series-VII최고품질 덤프문제모음집

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q40-Q45):

질문 # 40
A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

A. 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)
B. 700 contracts (Net Proprietary + Net Client Position)
C. 500 contracts (Net Proprietary Position only)
D. 6300 contracts (Gross Buy + Gross Sell of all accounts)
E. 900 contracts (Gross Proprietary + Net Client Position)

정답：A

설명：
A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
Proprietary Net: 2000 - 1500 = +500 (Long).
ClientA Net: 1000 - 1200 = -200 (Short).
Client B Net: 500 - 100 = +400 (Long).
TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.

질문 # 41
For the purpose of identifying an 'extra-ordinary' dividend (which triggers adjustment in Equity F&O), the declared dividend must be at and above 2% of the market value of the underlying stock. How is this 'market price' specifically defined for the calculation?

A. The volume-weighted average price (VWAP) of the scrip on the cum-dividend date.
B. The closing price of the scrip on the record date fixed for the purpose of dividend payment.
C. The closing price of the scrip on the date of the Annual General Meeting (AGM) where the dividend is approved.
D. The average closing price of the scrip for the last 5 trading days prior to the record date.
E. The closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the Board meeting.

정답：E

설명：
To decide whether the dividend is 'extra-ordinary', the market price would mean the closing price of the scrip on the day previous to the date on which the announcement of the dividend is made by the Company after the meeting of the Board of Directors. However, if the announcement is made after market hours, the same day's closing price is taken.

질문 # 42
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. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.
B. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.
C. 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).
D. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.
E. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.

정답：C

설명：
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).'

질문 # 43
Entities operating in the IFSC at GIFT City are recognized as non-resident entities under FEMA regulations. Which combination of fiscal incentives is explicitly available to these entities?

A. Exemption from Stamp Duty and Registration Fees only.
B. Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.
C. Rebate on Corporate Tax for the first 2 years only.
D. Exemption from GST only.
E. Waiver of Import Duty on Gold and Silver only.

정답：B

설명：
The IFSC at GIFT, Gandhinagar is a deemed foreign territory where entities are recognized as non-resident entities under FEMA regulations. The benefits provided include exemptions from security transaction tax (STT), commodity transaction tax, dividend distribution tax, capital gains waiver, and no income tax.

질문 # 44
When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A. Shortage Collateral Block
B. Provisional Margin Call
C. Auction Entry Fee
D. Close-out Penalty
E. Valuation Debit

정답：E

설명：
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as 'valuation debit'.

질문 # 45
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