NISM National Institute of Securities Markets NISM-Series-VII

近年、多くの人々は、NISM　NISM-Series-VII認定試験を取ることを選択します。あなたのスキルを測定する重要な基盤であるNISMの証明書を取得することを助けるのは原因です。NISM証明書を使用すると、より良い生活を得ることができます。

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題:

1. When determining the settlement obligations in a scenario involving holidays, why is the sequential basis of settlement (completing first settlement before starting the next) critically important?

A) It ensures that the pay-out (cash/securities) from the first settlement is available to the member to meet obligations for the subsequent settlement.
B) It is required to separate institutional trades from retail trades.
C) It allows the Clearing Corporation to recalculate margins for the previous week.
D) It prevents members from trading in the derivatives segment during the cash market settlement.
E) It allows the stock exchange to close the market early.

2. According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?

A) Short selling with mandatory delivery obligation
B) Trading in the Block Deal window
C) Using the 'INST' code for order entry
D) Algorithmic trading using Direct Market Access
E) Day trading (squaring off transactions intra-day)

3. Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A) Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
B) Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
C) Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
D) Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.
E) Shortages are carried forward to the T+1 auction session conducted on the next day.

4. If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A) The instruction is processed, but a penalty is automatically levied on the client for short delivery.
B) The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.
C) The instruction is carried out by the depositories.
D) The instruction is rejected because it does not fully meet the obligation.
E) The instruction is routed to the Clearing Member for manual approval before processing.

5. 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?

A) The Relevant Authority (of the Exchange/Clearing Agency)
B) The Securities Appellate Tribunal (SAT)
C) The Reserve Bank of India (RBI)
D) The Depository Participant (DP)
E) The Association of Mutual Funds in India (AMFI)

質問と回答：