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Quiz NISM - NISM-Series-VII - NISM Series VII - Securities Operations and Risk Management Certification Pass-Sure Excellect Pass Rate

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q255-Q260):

NEW QUESTION # 255
Under the Beta version of the T+0 rolling settlement cycle, how are securities shortages handled differently compared to the standard T+1 settlement cycle?

A. The trade is annulled and no close out or auction is performed.
B. Shortages are settled using the Securities Lending and Borrowing (SLB) mechanism immediately.
C. Shortages are carried forward to the T+1 auction session.
D. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
E. Shortages are auctioned on T+0 day at 4:00 PM.

Answer: D

Explanation:
In the Beta version of T+0 rolling settlement, an auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.

NEW QUESTION # 256
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 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.
B. 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.
C. Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
D. Net Worth of INR 6 Crore with no specific requirement on financial assets.
E. Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.

Answer: B

Explanation:
To be an Accredited Investor, an entity must meet one of the following criteria: (i) Annual Income >= INR 2 Crore; (ii) Net Worth INR 7.5 Crore (with at least INR 3.75 Crore in financial assets); or (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore (with at least INR 2.5 Crore in financial assets). Option C meets criterion (iii). Option A fails (Income < 2 Cr). Option B fails (Financial Assets < 3.75 Cr). Option D fails (Net Worth < 7.5 Cr and no financial asset proof). Option E fails (Income < 1 Cr and Financial Assets < 3.75 Cr for the Net Worth only criteria).

NEW QUESTION # 257
Select the correct statements regarding the 'Settlement of Funds' and 'Mode of Payment' compliance requirements for stock brokers.
(Select all that apply)

A. Brokers are permitted to accept cash from clients for margin purposes up to Rs. 20,000.
B. All payments from/to clients must be strictly by account payee crossed cheques/demand drafts or direct credit into the bank account.
C. Brokers must maintain an audit trail of funds received through electronic fund transfers to ensure they are from the client's own account.
D. For clients with outstanding obligations on the settlement date, the broker may retain the requisite funds towards such obligations.
E. Authorization for maintaining a running account can be signed by the client's Power of Attorney (POA) holder.

Answer: B,C,D

Explanation:
Statement A is incorrect; Brokers should 'not accept cash'. Statement B is correct. Statement C is incorrect; authorization must be signed 'by the client only and not by any... holder of the Power of Attorney'. Statement D is correct. Statement E is correct.

NEW QUESTION # 258
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Eligibility for priority sector lending classification
B. Waiver of stamp duty on the underlying collateral
C. Automatic guarantee by the Central Government
D. Exemption from RBI's CRR/SLR computation
E. Exemption from Securities Transaction Tax (STT)

Answer: D

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 259
Since auction sessions are not applicable under the T+0 settlement cycle, how are securities shortages handled by the Clearing Corporation?

A. Shortages are directly closed out at a rate of 20% above the official closing price of the T+1 market.
B. Shortages are directly closed out at above the highest price of the day across all exchanges for the T+0 market.
C. Shortages are deemed as 'bad delivery' and the trade is annulled immediately.
D. Shortages are settled by borrowing securities from the Securities Lending and Borrowing (SLB) segment automatically.
E. Shortages are carried forward to the T+1 auction session conducted on the next day.

Answer: B

Explanation:
In the T+0 settlement cycle, an auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.

NEW QUESTION # 260
......

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