最新National Institute of Securities Markets NISM-Series-VII考試題庫，NISM NISM-Series-VII課程的擬真試題下載

問題1
SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)

A. The proprietary trading volumes of the stock broker.

B. The available total assets of clients with the stock broker.

C. The number of sub-broker offices managed by the stock broker.

D. The net worth of the stock broker's promoter group.

E. The total number of active clients of the stock broker.

正確答案: A,B,E

說明：（僅 NewDumps 成員可見）

問題2
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?

A. Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)

B. Exceeds Rs. 1,00,00,000 (Rupees One Crore)

C. Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)

D. Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)

E. Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)

正確答案: D

說明：（僅 NewDumps 成員可見）

問題3
Select the correct statements regarding the 'Settlement of Funds' and 'Mode of Payment' compliance requirements for stock brokers.
(Select all that apply)

A. For clients with outstanding obligations on the settlement date, the broker may retain the requisite funds towards such obligations.

B. Brokers must maintain an audit trail of funds received through electronic fund transfers to ensure they are from the client's own account.

C. Authorization for maintaining a running account can be signed by the client's Power of Attorney (POA) holder.

D. Brokers are permitted to accept cash from clients for margin purposes up to Rs. 20,000.

E. All payments from/to clients must be strictly by account payee crossed cheques/demand drafts or direct credit into the bank account.

正確答案: A,B,E

說明：（僅 NewDumps 成員可見）

問題4
In the process of Auction of Securities, if the auction or close-out results in proceeds that exceed the claim of the aggrieved party (buyer), how is the remaining amount treated?

A. It is transferred to the Investor Protection Fund (IPF) of the Exchange.

B. It is refunded to the defaulting selling member.

C. It is credited to the Core Settlement Guarantee Fund (Core SGF).

D. It is shared equally between the Clearing Corporation and the aggrieved party.

E. It is retained by the Clearing Corporation as administrative charges.

正確答案: C

說明：（僅 NewDumps 成員可見）

問題5
Regarding 'Two-factor authentication' for login sessions in Internet Based Trading (IBT), which of the following implementation details is explicitly advisable/required?

A. It should be implemented using only SMS-based OTP without any other factor.

B. Two-factor authentication is optional and can be replaced by a static high-complexity password.

C. The second factor must always be biometric verification.

D. Public Key Infrastructure (PKI) based implementation using digital signatures is advisable, and the two factors should not be the same.

E. The two factors should be identical (e.g., two different passwords).

正確答案: D

說明：（僅 NewDumps 成員可見）

問題6
The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?

A. Non-settlement dues and Stamp Duty only

B. Settlement dues, Margin money, or Non-settlement dues

C. Margin money and Base Minimum Capital (BMC) deposit only

D. Settlement dues and Securities Transaction Tax (STT) only

E. Settlement dues and Transaction charges only

正確答案: B

說明：（僅 NewDumps 成員可見）

問題7
Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)

A. The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.

B. Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.

C. Trading is not permitted on the Ex-date of securities.

D. Security shortages are handled through a dedicated auction session on T+0 day.

E. Pre-Open, Special Pre-Open, and Post close sessions are not applicable.

正確答案: B,C,E

說明：（僅 NewDumps 成員可見）

問題8
When determining the settlement obligations in a scenario involving holidays, why is the sequential basis of settlement (completing first settlement before starting the next) critically important?

A. It allows the Clearing Corporation to recalculate margins for the previous week.

B. It is required to separate institutional trades from retail trades.

C. It prevents members from trading in the derivatives segment during the cash market settlement.

D. It ensures that the pay-out (cash/securities) from the first settlement is available to the member to meet obligations for the subsequent settlement.

E. It allows the stock exchange to close the market early.

正確答案: D

說明：（僅 NewDumps 成員可見）

問題9
If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A. The instruction is processed, but a penalty is automatically levied on the client for short delivery.

B. The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.

C. The instruction is carried out by the depositories.

D. The instruction is rejected because it does not fully meet the obligation.

E. The instruction is routed to the Clearing Member for manual approval before processing.

正確答案: C

說明：（僅 NewDumps 成員可見）

問題10
Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A. Public holidays declared under the Negotiable Instruments Act only.

B. Only Saturdays and Sundays.

C. Only Exchange trading holidays.

D. Only days when the Reserve Bank of India (RBI) is closed.

E. Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.

正確答案: E

問題11
What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

A. Inter-depository transfer from the client's account to the Clearing Corporation's account.

B. Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.

C. Only by way of early pay-in using block mechanism.

D. Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.

E. Automatic sweeping of securities from the client's demat account at 1 PM.

正確答案: C

說明：（僅 NewDumps 成員可見）

問題12
Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

A. Setting limits based on upfront deposits/margins for each trading member/client and monitoring positions on a continuous basis.

B. Computing obligations of all trading members to determine positions to settle.

C. Performing the actual transfer of funds and securities to the Clearing Corporation.

D. Confirming the genuineness of transaction details provided by the Clearing Corporation.

E. Opening demat accounts for retail clients.

正確答案: A

說明：（僅 NewDumps 成員可見）

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