NISM-Series-VII Popular Exams - Certification NISM-Series-VII Dumps

DOWNLOAD the newest BootcampPDF NISM-Series-VII PDF dumps from Cloud Storage for free: https://drive.google.com/open?id=1PWmAzlC9fiDz7uvO17x9IvrrMVGCqGU2

There is almost no innovative and exam-oriented format that can be compared with the precision and relevance of the actual NISM Series VII - Securities Operations and Risk Management Certification exam questions, you get with BootcampPDF brain dumps PDF. As per the format of the NISM-Series-VII Exam, our experts have consciously created a questions and answers pattern. It saves your time by providing you direct and precise information that will help you cover the syllabus contents within no time.

NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process

>> NISM-Series-VII Popular Exams <<

Certification NISM-Series-VII Dumps, Dumps NISM-Series-VII Discount

The NISM-Series-VII Mock Exams not just give you a chance to self-access before you actually sit for the certification exam, but also help you get an idea of the NISM exam structure. It is well known that students who do a mock version of an exam benefit from it immensely. Some NISM certified experts even say that it can be a more beneficial way to prepare for the NISM Series VII - Securities Operations and Risk Management Certification exam than spending the same amount of time studying.

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q62-Q67):

NEW QUESTION # 62
When a short delivery is identified, the Clearing Corporation debits the member by an amount equivalent to the securities not delivered valued at a specific price. What is this specific debit termed as?

A. Provisional Margin Debit
B. Close-out Debit
C. Auction Pre-payment
D. Shortage Penalty
E. Valuation Debit

Answer: E

Explanation:
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as valuation debit. (Section 6.5)

NEW QUESTION # 63
In the context of 'Settlement of Account of Clients who have not traded in the last 30 days', how must a Trading Member (TM) handle a client's credit balance if the client has not executed any transaction for 30 calendar days?

A. The TM can continue to hold the funds until the next quarterly settlement date preferred by the client.
B. The TM is allowed to retain funds up to Rs. 50,000 for administrative charges and return the rest.
C. The TM must return the entire credit balance to the client on the upcoming settlement dates of the monthly running account settlement cycle, irrespective of the client's preference.
D. The TM must obtain a fresh Running Account Authorization from the client to continue holding the funds.
E. The TM must transfer the funds to the Investor Protection Fund (IPF) after 30 days of inactivity.

Answer: C

Explanation:
For clients having a credit balance who have not done any transaction in 30 calendar days, 'the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges'.

NEW QUESTION # 64
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A. Corporate bodies and Family offices
B. Unregulated funds in the form of limited partnerships
C. Pension funds and university funds
D. Government and Government related investors such as central banks and sovereign wealth funds
E. Appropriately regulated entities such as insurance entities from FATF member countries

Answer: C,D,E

Explanation:
Category I FPls include Government and Government related investors (central banks, sovereign wealth funds), Pension funds, university funds, and Appropriately Regulated entities like insurance/reinsurance entities, banks, and asset management companies from FATF member countries. Corporate bodies, family offices, and unregulated funds fall under Category II.

NEW QUESTION # 65
In the T+1 rolling settlement process for the Cash Market, how is the 'Pay-in of Funds' executed between the Clearing Member and the Clearing Corporation?

A. The Clearing Corporation advises the Clearing Bank to debit the Clearing Member's account and credit the Clearing Corporation's account.
B. The Clearing Corporation pulls funds directly from the client's bank account via the UPI block mechanism.
C. The Clearing Member issues a physical cheque to the Clearing Corporation by 11 AM.
D. The Clearing Member transfers funds via RTGS to the Exchange's Investor Protection Fund.
E. The Clearing Bank automatically debits the member's account based on the trade data received directly from the Stock Exchange.

Answer: A

Explanation:
During the pay-in of funds, the Clearing Corporation advises the Clearing Banks to debit the account of Custodians/Clearing members and credit its (Clearing Corporation's) account. The Clearing Bank executes this based on the instruction.

NEW QUESTION # 66
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To help the investor make informed investment decisions.
B. To manipulate the market price of illiquid securities.
C. To replace the role of the Investment Adviser completely.
D. To fulfill the mandatory requirement of the Companies Act, 2013.
E. To generate additional brokerage by encouraging excessive churning of portfolios.

Answer: A

Explanation:
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

NEW QUESTION # 67
......

If you feel nervous about the exam, then you can try the NISM-Series-VII test materials of us, we will help you pass the exam successfully. NISM-Series-VII Soft test engine can stimulate the real exam environment, through this version, and you can have a better understanding what the real exam environment is like. Moreover, NISM-Series-VII test materials are high-quality and they cover the most knowledge points of the exam, and you can have a good command of the exam. We provide you with free update for 365 days after purchasing, and the update version will be sent to your email address automatically.

Certification NISM-Series-VII Dumps: https://www.bootcamppdf.com/NISM-Series-VII_exam-dumps.html

What's more, part of that BootcampPDF NISM-Series-VII dumps now are free: https://drive.google.com/open?id=1PWmAzlC9fiDz7uvO17x9IvrrMVGCqGU2