最新のNISM-Series-VII問題集で試験を準備する

NISM NISM-Series-VII 試験概要:

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. SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A) The pay-out timing is synchronized with the funds pay-out at 10:30 AM.
B) The pay-out timing remains unchanged at 1 :30 PM.
C) The pay-out timing is deferred to T+2 day at 9:00 AM.
D) The pay-out timing is revised from 1:30 PM to 3:30 PM.
E) The pay-out timing is advanced from 1:30 PM to 11 AM.

2. To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A) Quarterly; within 15 days from the end of the quarter.
B) Annually; along with the Annual Returns by October 31st.
C) Monthly; by the 7th of the succeeding month.
D) Event-based; within 7 days of exceeding the exposure limits.
E) Half-yearly; within one month from the half-year ending 31st March and 30th September.

3. According to the SEBI (Prohibition of Insider Trading) Regulations, 2015, certain categories of persons are 'deemed to be connected persons' unless the contrary is established. Which of the following entities fall under this 'deemed' category?

A) An official of a stock exchange or clearing corporation.
B) A banker of the company.
C) A person who has been associated with the company in any capacity 8 months prior to the trade.
D) A holding company or subsidiary company of the listed entity.
E) A concern, firm, or HUF wherein a director of the company has more than 10% of the holding of interest.

4. In the context of primary market issuance, which of the following correctly defines a 'Retail Individual Investor'?

A) Any non-institutional investor applying for securities up to ten lakhs rupees
B) An investor who trades strictly in the cash segment with a turnover less than two lakhs rupees
C) An individual investor whose total annual income is less than two lakhs rupees
D) Any investor who applies for specified securities for a value of not more than five lakhs rupees
E) An individual investor (Resident Indians, NRIs, HUF) who applies for specified securities for a value of not more than two lakhs rupees

5. In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

A) AAA
B) A1
C) A2
D) A3
E) BBB

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