NISM NISM-Series-VII : NISM Series VII - Securities Operations and Risk Management Certification

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NISM NISM-Series-VII 시험 개요:

NISM NISM-Series-VII 시험 요강 주제:

NISM NISM-Series-VII 응시 전 알아두어야 할 질문들

최신 National Institute of Securities Markets NISM-Series-VII 무료샘플문제

문제 #1

If a selling broker fails to deliver securities, the Clearing Corporation conducts an auction. If this auction remains unresolved because there are no sellers (Auction Fail), the transaction is subject to a 'Close out'. How is the close-out price calculated to compensate the buyer in such a scenario?

A. At the average weighted trade price of the security during the last 5 trading sessions plus brokerage and statutory levies.
B. At the closing price of the securities on the auction day plus a fixed penalty of 5%.
C. At the standard valuation price determined by the Clearing Corporation on the T+1 pay-in day.
D. At the highest price prevailing across the exchange from the day of trading up to the auction day OR 20% above the official closing price on the auction day, whichever is higher.
E. At the highest price recorded on the exchange on the trade day only, irrespective of subsequent price movements.

문제 #2

In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
B. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
C. Brokers fund the entire IPO application amount for the investor interest-free.
D. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
E. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.

문제 #3

Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

A. Netting at the Clearing Member level across all segments.
B. Gross at the individual client level without any netting.
C. Netting is done across all option contracts for a specific underlying security at the client level.
D. After netting the premium payable or receivable positions at the Trading Member/Custodial Participant level for each option contract.
E. Gross at the Trading Member level but netted at the Clearing Member level.

문제 #4

Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

A. Within 7 calendar days of the review sought
B. Within 15 calendar days of the review sought
C. Within 10 calendar days of the review sought
D. Within 21 calendar days of the review sought
E. Within 30 calendar days of the review sought

문제 #5

Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
B. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
C. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
D. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.
E. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.

질문과 대답: