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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 3: 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
Topic 4: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles

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최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제 (Q80-Q85):

질문 # 80
Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

A. The funds can be used to settle the running accounts of other clients to ensure liquidity.
B. The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.
C. The funds must be immediately transferred to the TM's proprietary account.
D. The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.
E. The funds should be invested in equity mutual funds to generate returns for the client.

정답：B

설명：
To safeguard against misuse, 'Trading Member shall ensure that funds, if any, received from clients, whose running account has been settled, remain in the +1Jp Streaming Client Nodal Bank Accounte and no such funds shall be used for settlement of running account of other clients',.

질문 # 81
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
B. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
C. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
D. Brokers fund the entire IPO application amount for the investor interest-free.
E. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.

정답：A

설명：
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'

질문 # 82
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client must mandatorily issue a separate physical receipt instruction for every single trade.
B. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
C. Standing instructions are only valid for government securities and not for equity shares.
D. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
E. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.

정답：E

설명：
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

질문 # 83
Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)

A. Netting of delivery obligations is strictly for the purpose of settlement.
B. The benefit of netting is available to non-institutional Custodial Participants (CPs) clearing through the same entity registered both as a custodian in cash and as a CM in F&O.
C. Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.
D. Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.
E. Clearing Corporations continue to maintain segment-wise default waterfalls.

정답：A,B,E

설명：
Statement A is correct: Netting is available for non-institutional CPs clearing through the same entity registered as custodian in cash and CM in F&O. Statement B is incorrect: Investors whose TM clears through different CM/CC will not be able to avail the benefit. Statement C is incorrect: STT/Stamp Duty continue to be computed on a segment-wise level. Statement D is correct: Netting is only for the purpose of settlement. Statement E is correct: CCs continue to maintain segment-wise default waterfalls.

질문 # 84
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A. Transfer of client positions to the Investor Protection Fund.
B. Mandatory conversion of the clearing member to a trading-only member.
C. Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
D. Permanent cancellation of the certificate of registration.
E. Seizure of the member's personal assets outside the clearing system.

정답：C

설명：
Non-fulfilment of margin obligations allows the clearing agency to, at its discretion and without further notice, initiate disciplinary action inter-alia including withdrawal of trading facilities and/or clearing facility, close out of outstanding positions, imposing penalties, collecting appropriate deposits, and invoking bank guarantees/fixed deposit receipts.

질문 # 85
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