퍼펙트한NISM-Series-VII최신버전시험덤프자료최신버전덤프샘플문제

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Depository Operations- Corporate actions
  • 1. Record dates and entitlement processing
    • 2. Dividends, bonuses, splits
      - Demat account framework
      • 1. NSDL and CDSL roles
        • 2. Account opening and maintenance
          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- 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
                          Risk Management in Securities Markets- Market and operational risk
                          • 1. Types of financial risks
                            • 2. Operational risk controls
                              - Risk mitigation systems
                              • 1. Surveillance and compliance mechanisms
                                • 2. Margins and collateral systems

                                  >> NISM-Series-VII최신버전 시험덤프자료 <<

                                  NISM-Series-VII합격보장 가능 인증덤프, NISM-Series-VII퍼펙트 덤프 최신 데모문제

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                                  최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q11-Q16):

                                  질문 # 11
                                  Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

                                  정답：A

                                  설명：
                                  For T+0 settlement: Pay-in for T+0 sell obligations is allowed only by way of early pay-in using block mechanism. Trading timings are 09:15 AM to 1:30 PM. The price band is +1- 100 basis points from the T+1 price. There is no netting between T+1 and T+0. Security shortages are directly closed out, not auctioned.


                                  질문 # 12
                                  Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

                                  정답：D

                                  설명：
                                  The text states that the failure shall render the member liable for actions 'as may be decided by the Relevant Authority.'


                                  질문 # 13
                                  In the event of a failure by a selling broker to deliver securities in the normal T+1 rolling settlement, the Clearing Corporation initiates a
                                  'Close Out' procedure if the auction fails or is not applicable. Consider a scenario where a trade was executed on Monday (T) at Rs. 500.
                                  The auction was scheduled for Tuesday (T+1 ) but no shares were offered. The highest price prevailing across the Exchange from Monday to Tuesday was Rs. 540. The official closing price on Tuesday (Close-out day) was Rs. 550. At what price will the transaction be closed out?

                                  정답：A

                                  설명：
                                  According to the Close Out Procedure, the deal will be closed out at the highest price prevailing across the Exchange from the day on which the trade was originally executed till the day of closing out OR 20 percent over the official closing price on the close out day, whichever is HIGHER. Calculation: Highest Price = Rs. 540.20% over Closing Price on Close out day = 550 + (20% of 550) = 550 + 110 = Rs. 660. Since 660 > 540, the close out price is Rs. 660.


                                  질문 # 14
                                  Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

                                  정답：A,B,C,D

                                  설명：
                                  The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.


                                  질문 # 15
                                  Based on the Securities Contract Regulation Act (SCRA), 1956, select all the instruments that are explicitly included in the definition of 'Securities' from the list below.

                                  정답：A,B,D,E

                                  설명：
                                  The definition of 'Securities' in the SCRA 1956 includes:
                                  * Derivatives
                                  * Government Securities
                                  * Electronic Gold Receipts (receipt issued on basis of deposit of underlying physical gold)
                                  * Zero Coupon Zero Principal Instruments
                                  It also includes shares, bonds, debentures, units of MF/CIS, and Security Receipts. Private promissory notes are not listed in this definition.


                                  질문 # 16
                                  ......

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