NISM National Institute of Securities Markets NISM-Series-VII

NISM NISM-Series-VII認定試験は、重要な認定試験です。しかし、NISM-Series-VII試験に合格し、証明書を取得することは容易ではありません。ここでは、It-PassportsでのNISM-Series-VII試験資材をあなたに推薦したいです。試験質問回答の助けを借りて、あなたは簡単で試験に楽々合格できます。

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NISM NISM-Series-VII 試験シラバストピック:

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

1. When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A) Provisional Margin Call
B) Shortage Collateral Block
C) Auction Entry Fee
D) Close-out Penalty
E) Valuation Debit

2. The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A) The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
B) The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.
C) The CC matches the client level net obligations with the Block details provided by the depositories.
D) The CC matches the client's available margin in the cash segment with the value of securities blocked.
E) The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.

3. Under the mechanism of 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives', which of the following investor scenarios is ELIGIBLE for the benefit of netting (merged settlements)?

A) A Portfolio Management Service (PMS) client who is mandatorily directed to enter into delivery-backed transactions.
B) A retail investor whose Trading Member clears F&O trades through Clearing Member 'X' and Cash trades through Clearing Member 'Y'.
C) An Institutional Investor (FPI Category l) trading through the same Trading Member and Clearing Member in both segments.
D) An investor trading through two different Trading Members who both clear through the same Clearing Member.
E) A retail investor whose Trading Member clears trades in both F&O and Cash segments through the same Clearing Member.

4. In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A) Bonus Issue
B) Initial Public Offer (IPO)
C) Follow on Public Offer (FPO)
D) Private Placement
E) Rights Issue

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

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

質問と回答：