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NISM National Institute of Securities Markets NISM-Series-VII

NISM-Series-VII

考試編碼: NISM-Series-VII

考試名稱: NISM Series VII - Securities Operations and Risk Management Certification

更新時間: 2026-06-25

問題數量: 334 題

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關於 TestPDF 的 NISM NISM-Series-VII考古題

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立即下載 NISM-Series-VII 題庫pdf

購買後,立即下載 NISM-Series-VII 題库 (NISM Series VII - Securities Operations and Risk Management Certification): 成功付款後, 我們的體統將自動通過電子郵箱將你已購買的產品發送到你的郵箱。(如果在12小時內未收到,請聯繫我們,注意:不要忘記檢查你的垃圾郵件。)

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

1. The interoperability framework among Clearing Corporations (CCs) allows Clearing Members to select the CC of their choice. Which of the following products or schemes is explicitly excluded from this interoperability framework?

A) Currency Derivatives
B) Interest Rate Derivatives
C) Securities Lending and Borrowing Scheme (SLB)
D) Equity Derivatives
E) Equity Cash Segment


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


3. Stock Exchanges are required to jointly issue an annual calendar for the settlement of running accounts. According to the regulations, on which specific days of the month/quarter is the settlement of running accounts scheduled to take place?

A) 15th and/or 30th of every month/quarter.
B) Last Friday and/or Saturday of every month/quarter.
C) Any day chosen by the broker provided the gap does not exceed 30/90 days.
D) First Friday and/or Saturday of every month/quarter.
E) First Monday and/or Tuesday of every month/quarter.


4. Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A) Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
B) The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.
C) Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.
D) Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.
E) Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.


5. Regarding the usage of the 'INST' code in the Custodial Participant field during order entry for Foreign Portfolio Investors (FPIs), which of the following statements accurately reflects the restrictions placed on FPIs that are corporate bodies, individuals, or family offices?

A) The 'INST' code can be used only if the trade value exceeds INR 10 Crores.
B) The 'INST' facility is available, but allocation for such trades is allowed only to related FPIs.
C) They are strictly prohibited from using the 'INST' code and must provide the specific CP code at the time of order entry.
D) They can use the 'INST' code without restriction, provided the allocation is completed by 4:15 PM on T day.
E) They must use a special 'CORP' code instead of 'INST' to differentiate themselves from non-corporate institutional investors.


問題與答案:

問題 #1
答案: C
問題 #2
答案: E
問題 #3
答案: D
問題 #4
答案: A
問題 #5
答案: B

NISM-Series-VII 相關考試
NISM-Series-VII - NISM Series VII - Securities Operations and Risk Management Certification
相關認證
National Institute of Securities Markets
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好評  客戶反饋
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