NISM-Series-VII Practice Guide & NISM-Series-VII Valid Exam Fee

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q156-Q161):

NEW QUESTION # 156
Under the 'Beta version of T+0 rolling settlement cycle on optional basis', which of the following operational parameters regarding trading hours, price bands, and shortage handling is correctly defined?

A. The price band is fixed at +1-5% of the closing price in the regular T+1 market.
B. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles.
C. The trading session operates continuously from 09:15 AM to 3:30 PM.
D. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
E. Security shortages are handled through an auction session conducted on the same day.

Answer: D

Explanation:
For T+0 settlement: Pay-in for T+0 sell obligations is allowed only by way of early pay-in using block mechanism. Trading timings are 09:15 AM to 1:30 PM. The price band is +1- 100 basis points from the T+1 price. There is no netting between T+1 and T+0. Security shortages are directly closed out, not auctioned.

NEW QUESTION # 157
The Clearing Corporation performs three main functions: clearing, settlement, and risk management. Which of the following statements accurately defines the specific scope of the 'clearing' function?

A. It is the process of collecting margins and maintaining the Core Settlement Guarantee Fund.
B. It is the two-way process which involves the actual transfer of funds and securities on the settlement date.
C. It is the process designed to work out what members are due to deliver and what members are due to receive on the settlement date.
D. It involves the handling of exceptional situations like auction settlement and bad delivery.
E. It is the mechanism of linking multiple depositories to facilitate inter-depository transfers.

Answer: C

Explanation:
The clearing function of the clearing corporation is specifically designed to work out (a) what members are due to deliver and (b) what members are due to receive on the settlement date. This determination of obligations is distinct from 'settlement', which involves the actual transfer of funds and securities.

NEW QUESTION # 158
To enable the validation of Pay-In instructions by Depositories, what is the specific role and timeline mandated for Clearing Corporations (CCs) in this process?

A. CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
B. CCs must approve every individual transfer instruction manually before execution on the settlement day.
C. CCs shall provide client-wise net delivery obligations on T day to the depositories.
D. CCs shall transfer the securities from the client account to the pool account directly without Depository intervention.
E. CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.

Answer: C

Explanation:
The process requires that 'CCs shall provide client - wise net delivery obligations on T day to the depositories.' The Depositories then use this data to validate the transfer instructions.

NEW QUESTION # 159
Regarding the operational timeline for the auction of securities by the Clearing Corporation under the compulsory rolling settlement, which of the following statements is accurate?

A. Members participating in the auction must deliver the shares immediately within 1 hour of acceptance of their offer.
B. Auctions are conducted on the T+2 day to allow members extra time to arrange securities.
C. If an auction is not successful in the first attempt, it is automatically rescheduled for the next three consecutive days.
D. Auctions are held exclusively during the pre-open session of the next trading day.
E. The auction for undelivered quantities is conducted on the settlement day itself, typically after the completion of the pay-out process.

Answer: E

Explanation:
The auction for the undelivered quantities is conducted on the settlement day after completion of payout (e.g., between 2:00 p.m. and 2.45 p.m. for BSE and 2:30 pm onwards for NSE). The members participating in the auction are required to deliver the shares on the subsequent day (auction pay-in day),.

NEW QUESTION # 160
While institutional trades generally do not attract upfront margins, specific categories of institutional investors are subject to upfront margining similar to non-institutional trades. Identify the category from the list below.

A. Insurance Companies registered with IRDAI
B. Public Financial Institutions defined under the Companies Act
C. Mutual Funds registered with SEBI
D. Category II FPIs who are corporate bodies, individuals, or family offices
E. Category I Foreign Portfolio Investors (Sovereign Wealth Funds)

Answer: D

Explanation:
Trades of Category II FPIs who are corporate bodies, individuals, or family offices and domestic entities who may choose to settle trades through a Custodian shall be margined on an upfront basis as per the margining framework of non-institutional trades. Other institutional trades are margined on T+1 day subsequent to confirmation.

NEW QUESTION # 161
......

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NISM-Series-VII Practice Guide & NISM-Series-VII Valid Exam Fee

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NISM-Series-VII Practice Guide | NISM NISM-Series-VII Valid Exam Fee: NISM Series VII - Securities Operations and Risk Management Certification Finally Passed

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q156-Q161):

Pass Guaranteed 2026 NISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification Accurate Practice Guide

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