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NISM NISM-Series-VII Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Trade Life Cycle | - Steps and participants involved in the trade life cycle
|
| Securities Broking Operations | - Front Office, Middle Office and Back Office functions in a Securities Broking Firm
|
| Indian Securities Market | - Overview of the Indian securities market
|
| Investor Grievance Redressal | - Process of investor grievances redressal
|
| Risk Management | - Risk management in a securities broking firm
|
| Regulatory Framework | - Role of the Securities and Exchange Board of India (SEBI)
|
NISM Series VII - Securities Operations and Risk Management Certification Sample Questions:
Transfer of securities from one account to another within the depository system may be done for which of the following purposes?
(Select all that apply)
- A. Transfer for the purpose of evading Stamp Duty.
- B. Transfer due to an 'off-market' transaction (person-to-person).
- C. Transfer arising out of transmission of securities.
- D. Transfer arising out of a transaction done on a recognized Stock Exchange.
- E. Transfer arising out of account closure.
Correct Answer: B,C,D,E 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
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 fund the entire IPO application amount for the investor interest-free.
- C. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
- D. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
- E. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
Correct Answer: E 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)
- A. ISIN (International Securities Identification Number)
- B. UCC (Unique Client Code)
- C. TM ID (Trading Member ID)
- D. Client's Bank Account Number
- E. CM ID (Clearing Member ID)
Correct Answer: A,B,C,E 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?
- A. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
- B. Any resident individual irrespective of investment limit.
- C. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
- D. Only resident Qualified Institutional Buyers (QIBs).
- E. Residents are strictly prohibited from dealing in securities listed in IFSC.
Correct Answer: A 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?
- A. The VIPV recording is optional if the client provides a digitally signed self-declaration.
- B. The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.
- C. The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
- D. The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
- E. The VIPV must be conducted offline and the recording uploaded to the KRA system later.
Correct Answer: C 🗳️
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