NISM NISM-Series-VII 問題集

試験コード：NISM-Series-VII

試験名称：NISM Series VII - Securities Operations and Risk Management Certification

最近更新時間：2026-07-05

問題と解答：全334問

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質問 1：
Straight Through Processing (STP) is mandated for institutional trades. Which of the following best describes the operational benefit and definition of STP in the securities trade life cycle?
A. It is a manual process of verifying contract notes against trade logs to ensure accuracy.
B. It involves electronically capturing and processing transactions in one pass, from the point of first 'deal' to final settlement, avoiding manual re-entry.
C. It is a risk management tool used exclusively by the Front Office to block erroneous orders before they reach the exchange.
D. It refers to the process of auctioning securities in case of delivery shortages.
E. It is a mechanism for retail clients to directly settle trades with the Clearing Corporation.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 2：
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?
A. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
B. When the investor trades in highly correlated indices across different exchanges.
C. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
D. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
E. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
正解：E
解説: (Topexam メンバーにのみ表示されます)

質問 3：
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 shall transfer the securities from the client account to the pool account directly without Depository intervention.
B. CCs must generate a physical delivery instruction slip for every client obligation by T+1 morning.
C. CCs must validate the ISINs in the client account against the Exchange master list on T-1 day.
D. CCs shall provide client-wise net delivery obligations on T day to the depositories.
E. CCs must approve every individual transfer instruction manually before execution on the settlement day.
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 4：
What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?
A. It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.
B. It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
C. It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
D. It allows the CM to act as a Custodian for institutional clients without separate registration.
E. It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 5：
According to the SEBI framework for 'Accredited Investors', which of the following combinations of financial criteria would render an Individual, HUF, or Family Trust eligible to be recognized as an Accredited Investor?
A. Annual Income of INR 1.2 Crore and Net Worth of INR 5.5 Crore, out of which INR 3 Crore is in the form of financial assets.
B. Annual Income of INR 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.
C. Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
D. Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.
E. Net Worth of INR 6 Crore with no specific requirement on financial assets.
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 6：
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?
A. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
B. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).
C. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
D. Submission via the dedicated mobile application of the Registrar and Transfer Agent.
E. Submission through the General Ledger account of the Stock Broker.
正解：B
解説: (Topexam メンバーにのみ表示されます)

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NISM Series VII - Securities Operations and Risk Management Certification 認定 NISM-Series-VII 試験問題:

1. Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A) It caters to domestic customers only, offering products in foreign currency.
B) It operates in Indian Rupee (INR) but is exempt from RBI regulations.
C) It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
D) It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
E) It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.

2. For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A) Session login details can be stored on the device for ease of access; The server can be located anywhere globally.
B) Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.
C) Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.
D) Session login details should not be stored; The server location is at the discretion of the service provider.
E) Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.

3. Identify the category of Clearing Member that possesses both trading and clearing rights and is authorized to clear and settle trades for themselves, other trading members, and custodial participants.

A) Professional Clearing Member (PCM)
B) Trading Member-cum-Clearing Member (TCM)
C) Trading cum Self-Clearing Member (SCM)
D) Custodian
E) Authorized Person

4. Under the framework for 'Upstreaming of clients' funds', how should a Trading Member (TM) handle the funds received from clients whose running accounts have been settled?

A) The funds can be used for the TM's operational expenses provided they are replaced within 24 hours.
B) The funds must be immediately transferred to the TM's proprietary account.
C) The funds should be invested in equity mutual funds to generate returns for the client.
D) The funds can be used to settle the running accounts of other clients to ensure liquidity.
E) The funds must remain in the 'Up Streaming Client Nodal Bank Account' and cannot be used for settlement of running accounts of other clients.

5. In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

A) Bilateral netting between brokers -> Confirmation to CC -> Settlement.
B) Gross settlement determination Netting within firm Multilateral netting.
C) List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
D) Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
E) Pay-in of funds Multilateral netting -> Pay-out of securities.

質問と回答：

質問 # 1
正解： D

質問 # 2
正解： C

質問 # 3
正解： B

質問 # 4
正解： E

質問 # 5
正解： C