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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q331-Q336):

NEW QUESTION # 331
In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A. 8:00 PM on T Day
B. 4:15 PM on T Day
C. 11:00 AM on T+1 Day
D. 7:30 AM on T+1 Day
E. 9:00 AM on T+1 Day

Answer: A

Explanation:
The general timeline for custodian-settled trades for institutional clients in T+1 rolling settlement specifies that the Obligation Transfer Request (OTR) for INST trades must be completed on T day up to 8:00 PM.

NEW QUESTION # 332
For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?

A.
B. It is determined by the FIMMDA / FBIL reference rate.
C. It is based on the closing price of the underlying security in the Capital Market Segment.
D. It is fixed at the previous day's settlement price adjusted for the risk-free interest rate.
E. It is the weighted average price of the contract during the last half an hour of trading.

Answer: A

Explanation:

NEW QUESTION # 333
Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A. These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.
B. The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.
C. The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.
D. Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.
E. Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.

Answer: C

Explanation:
It should be noted that unlike the usual demat accounts, the clearing member does not get any ownership or beneficiary rights over the shares held in these accounts (Clearing member settlement pool accounts). A pool account is a settlement account from where broker deliver securities to exchange's clearing corporation against pay-in obligation.

NEW QUESTION # 334
The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

A. OTC markets use a centralized Clearing Corporation to guarantee all trades.
B. Exchange Traded Markets allow buyers and sellers to know each other's identity directly.
C. OTC markets consist of standardized contracts traded on a screen-based system.
D. OTC markets are informal markets where trades are negotiated and settled bilaterally.
E. Exchange Traded Markets do not adhere to a fixed time schedule for settlement.

Answer: D

Explanation:
The source states that OTC markets are informal markets where trades are negotiated, traded over the counter, and settled bilaterally. In contrast, the Exchange Traded Market uses a Clearing Corporation which acts as a counterparty and guarantees settlement, and buyers and sellers do not know each other.

NEW QUESTION # 335
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. Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 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. Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.
E. Evidence must be physical records only, retained for 5 years.

Answer: A

Explanation:
The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'

NEW QUESTION # 336
......

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New NISM-Series-VII Test Pass4sure & NISM-Series-VII Reliable Braindumps Ppt

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NISM-Series-VII Reliable Braindumps Ppt & Free NISM-Series-VII Updates

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q331-Q336):

NISM-Series-VII Test Engine Preparation: NISM Series VII - Securities Operations and Risk Management Certification - NISM-Series-VII Study Guide - Free4Dump

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