NISM-Series-VII시험대비덤프최신데모인증시험기출자료

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Market Operations	- Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle
Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
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
Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems

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NISM-Series-VII유효한 공부자료 - NISM-Series-VII최신버전 시험공부자료

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q35-Q40):

질문 # 35
Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?

A. The AP must be a corporate body under the Companies Act, 2013.
B. The AP must register as a separate Trading Member with the Exchange.
C. The AP must deposit a separate Base Minimum Capital (BMC) directly with the Clearing Corporation.
D. The Trading Member must obtain specific prior approval for the AP for each segment separately.
E. The AP is legally liable for their own acts, completely absolving the Trading Member.

정답：D

설명：
An Authorized Person is not a member of the Stock Exchange. A Trading Member is entitled to appoint an authorized person to operate trading workstations, but the Trading Member must obtain specific prior approval for each such person, and this approval is segment specific. The Trading Member remains responsible for all acts of omission and commission of the Authorized Person.

질문 # 36
According to the eligibility criteria for 'Accredited Investors' in the Indian securities market, which of the following financial profiles satisfies the requirements for an Individual or HUF to obtain accreditation?

A. Annual Income 2 INR 1 Crore AND Net Worth 2 INR 3 Crore
B. Annual Income INR 2 Crore, irrespective of Net Worth composition
C. Annual Income 2 INR 50 Lakhs AND Net Worth INR 5 Crore
D. Net Worth 2 INR 5 Crore, with no specific requirement for financial assets
E. Net Worth 2 INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets

정답：E

설명：
As per the eligibility criteria for Accredited Investors, an Individual, HIJF, Family Trust, or sole proprietorship must meet one of the following: (i) Annual Income >= INR 2 Crore; OR (ii) Net Worth >= INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets; OR (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore, out of which at least INR 2.5 Crore is in the form of financial assets.

질문 # 37
In the context of the operations of a Depository Participant (DP), what is identified as the 'main activity' pursuant to the trading activity of an investor?

A. Dematerialization of physical securities
B. Settlement and transfer of securities from one beneficiary account to another
C. Freezing of the demat account for debits or credits
D. Receiving non-cash corporate benefits like bonus shares
E. Pledging of dematerialized securities

정답：B

설명：
The main activity of the DP is to open a demat account for an investor. The main activity being the settlement and transfer of securities from one beneficiary account to another pursuant a trading activity of an investor.

질문 # 38
According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A. Only from the Securities and Exchange Board of India (SEBI)
B. From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
C. From the Registrar of Companies (ROC) where the company is registered
D. From any one recognized stock exchange having nationwide trading terminals
E. From the stock exchange with the highest trading volume in the previous financial year

정답：B

설명：
As per the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, if a company is not listed on any exchange having nationwide trading terminals, the in-principle approval is required from all the stock exchange(s) in which the securities of the issuer are proposed to be listed.

질문 # 39
Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

A. Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.
B. Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.
C. Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
D. In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
E. In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.

정답：D

설명：
The source specifies regarding TREPS: 'Unlike Repo, TREPS facilitate the trading of Repo and the seller of the security has a right to substitute the security.' Also, 'funds borrowed on TREPS are exempted from RBI's CRR/SLR computation.' In contrast, for Repo in Corporate Bonds, the source notes: 'participants cannot borrow against the collateral of their own securities or those of related entities'.

질문 # 40
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