NISM-Series-VII Valid Test Voucher, NISM-Series-VII Exam Dumps Collection

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Regulatory Framework	15%	- Code of conduct and ethical practices - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations
Topic 2: Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Topic 3: Securities Market Overview	10%	- Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market
Topic 4: Clearing and Settlement	15%	- Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee
Topic 5: Market Microstructure	12%	- Market indices and their calculation - Price discovery and market efficiency - Trading mechanisms and order types
Topic 6: Technology in Securities Markets	8%	- Data security and business continuity - Emerging technologies and their impact - Systems for trading, clearing and settlement
Topic 7: Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Topic 8: Investor Protection	7%	- Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal

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NISM-Series-VII Exam Dumps Collection | NISM-Series-VII Certified Questions

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q117-Q122):

NEW QUESTION # 117
Indian Depository Receipts (IDRs) allow foreign companies to raise funds from the Indian securities markets. Which of the following statements accurately reflects the rules regarding the redemption or conversion of IDRs into underlying equity shares?

A. Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.
B. Two-way fungibility is strictly prohibited for IDRs.
C. Redemption is permitted immediately upon listing of the IDRs.
D. IDRs can only be converted into underlying shares if the issuer is a US-based company.
E. Redemption is permitted only after 3 years from the date of listing.

Answer: A

Explanation:
For IDRs, redemption/conversion into the underlying shares is permitted after 1 year from the date of listing of the IDRs. Two-way fungibility is permitted, allowing conversion between IDRs and underlying shares within available headroom.

NEW QUESTION # 118
Based on the 'Cyber Security and Cyber Resilience Framework (CSCRF)' for Stock Brokers, which of the following correctly match the 'Cyber Resiliency Goals' with their definitions? (Select all that apply)

A. Contain: Localise containment of crisis and isolate trusted functions from untrusted ones to continue business operations.
B. Anticipate: Maintain a state of informed preparedness from adversary attacks.
C. Evolve: To change business functions and its supporting cyber capabilities to minimize adverse impacts of adversary attacks.
D. Recover: Continue essential business functions at times of adversary attacks.
E. Withstand: Restore business functions to the maximum extent subsequent to adversary attacks.

Answer: A,B,C

Explanation:
The CSCRF defines the goals as follows: 'Anticipate' is maintaining informed preparedness. 'Withstand' is continuing essential business functions during attacks (Option B is incorrect as it describes Recover). 'Contain' is localizing the crisis. 'Recover' is restoring business functions (Option D is incorrect as it describes Withstand). 'Evolve' is changing functions to minimize adverse impacts.

NEW QUESTION # 119
When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

A. At the valuation price used for the initial valuation debit plus a 5% close-out charge.
B. At the closing price of the security on the day of the auction plus a fixed penalty of 10%.
C. At the weighted average price of the security on the trading day plus the standard deviation margin.
D. At the highest price recorded for the security during the last 52 weeks.
E. At the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.

Answer: E

Explanation:
If on the auction day, there are no sellers for a particular short delivery, the Clearing Corporation carries out a 'Close out'. The buyer is compensated by paying the value of the short delivered security at the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.

NEW QUESTION # 120
Identify the correct timeline for the 'Auction Pay-in' and 'Auction Pay-out' of securities and funds in the context of the T+1 rolling settlement cycle.

A. Auction Pay-in: T+2; Auction Pay-out: T+3
B. Auction Pay-in: T+2 (Subsequent day); Auction Pay-out: T+2 (Same day)
C. Auction Pay-in: T+1 (Evening); Auction Pay-out: T+2 (Morning)
D. Auction Pay-in: T+1 (After auction session); Auction Pay-out: T+1 (End of day)
E. Auction Pay-in: T+3; Auction Pay-out: T+3

Answer: B

Explanation:
The auction for undelivered quantities is conducted on the settlement day (T+1 The members are required to deliver the shares (Auction Pay-in) to the clearing corporation on or before the auction pay-in day, i.e., the subsequent day (T+2). Pay-out of auction shares and funds is also done on the same day (T+2).

NEW QUESTION # 121
Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When the instruction is received on T+1 day instead of T day.
B. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
C. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
D. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
E. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.

Answer: D

Explanation:
The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'

NEW QUESTION # 122
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