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

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NISM NISM-Series-VII Exam Syllabus Topics:

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

1. Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A) Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
B) Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
C) Automatic debit of the client's bank account for the value of securities short delivered.
D) Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
E) Automatic conversion of physical shares to demat shares on the pay-in date.

2. Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A) Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
B) Evidence is optional for internet-based transactions and must be retained for 1 year.
C) In case of a dispute, records can be disposed of immediately after the broker files a response.
D) Evidence must be physical records only, retained for 5 years.
E) Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.

3. Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

A) Maturities less than 14 days; Traded on OTC market only
B) Maturities of exactly 91 days; Traded on NDS-CALL platform
C) Maturities up to 364 days; Traded on RFQ Platform
D) Maturities less than 91 days; Traded on NDS-OM platform
E) Maturities between 91 and 182 days; Traded on CROMS

4. Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A) It caters to domestic customers only, offering products in foreign currency.
B) It operates in Indian Rupee (INR) but is exempt from RBI regulations.
C) It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
D) It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
E) It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).

5. Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

A) The broker system should have on-site as well as remote site back-up capabilities.
B) Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.
C) In case of no activity by the client, the system should provide for automatic trading session logout.
D) The broker shall capture the IP (Internet Protocol) address from where the orders are originating.
E) Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.

Solutions: