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NISM NISM-Series-VII Exam Syllabus Topics:

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

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q38-Q43):

問題 #38
According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A. A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.
B. A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.
C. A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
D. A non-discretionary portfolio manager who invests only in government securities and money market instruments.
E. A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.

答案：C

解題說明：
A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.

問題 #39
What is the primary operational mandate for Clearing Corporations (CCs) and Depositories to ensure the feasibility of multiple settlements occurring on a single day due to holidays?

A. They must operate with reduced staff to minimize coordination errors.
B. They shall follow a strict time schedule to ensure that the settlements are completed on the same day.
C. They must implement a separate risk management framework for holiday settlements.
D. They must extend the settlement cycle to T+2 temporarily.
E. They must seek prior approval from SEBI for every individual settlement run.

答案：B

解題說明：
The text explicitly states: 'The CCs and depositories shall follow a strict time schedule to ensure that the settlements are completed on the same day.'

問題 #40
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A. Arbitration and appellate arbitration facility including video-calling facility.
B. A dedicated legal aid clinic with free lawyers for filing civil suits.
C. A library containing all annual reports of listed companies for the last 10 years.
D. A banking counter for immediate disbursement of Investor Protection Fund claims.
E. A direct hotline to the Ministry of Finance.

答案：A

解題說明：
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.

問題 #41
According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
B. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
C. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.
D. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
E. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.

答案：C

解題說明：
The source specifies that the MRC shall be fixed for a month. By the 15th of every month, the CC reviews/determines the MRC for the next month based on daily stress tests of the preceding month. Specifically, the MRC for the next month shall be the 'higher of the average arrived at as (v) above [Average of all the daily worst case loss numbers] and the segment MRC as per previous review.'

問題 #42
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A. The trade is annulled, and the buyer is refunded the transaction amount without penalty.
B. By imposing a standard valuation debit of 20% above the closing price.
C. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
D. By conducting an auction session on T+0 day at 2:30 PM.
E. By conducting an auction session on T+1 day along with the regular market auction.

答案：C

解題說明：
The source states that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.'

問題 #43
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