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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q109-Q114):
NEW QUESTION # 109
In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?
- A. New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
- B. New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor
- C. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
- D. New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
- E. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
Answer: E
Explanation:
According to the methodology for adjustment in Equity F&O for Bonus, Stock Splits, and Consolidations: The new strike price shall be arrived at by dividing the old strike price by the adjustment factor. The new market lot/multiplier shall be arrived at by multiplying the old market lot by the adjustment factor.
NEW QUESTION # 110
Which of the following statements correctly describe the clearing and netting processes involving brokers and the Clearing Corporation?
(Select all that apply)
- A. The final pay-in/pay-out of securities and funds is carried out through clearing banks and depository participants.
- B. The Clearing Corporation performs multilateral netting to determine the net settlement obligations of members.
- C. Stock brokers are permitted to net client accounts within their firm at the end of the day.
- D. Every day, the Clearing Corporation sends the clearing member a list of all trading transactions made by him and his clients.
- E. Netting at the Clearing Corporation level is done on a bilateral basis between buying and selling brokers.
Answer: A,B,C,D
Explanation:
All selected statements are correct based on the source text.
- 'Stock brokers are allowed to net the clients account within the firm.' [A]
- 'Clearing is performed by multilateral netting.' [B]
- 'Every day, the clearing corporation sends the clearing member a list of all trading transactions...' [C]
- 'Final pay-in/pay-out... is carried out through clearing banks and depository participants.' [E]
- Statement D is incorrect because netting is multilateral, not bilateral.
NEW QUESTION # 111
Stock brokers are required to report specific transactions to the Financial Intelligence Unit - India (FIU-IND) under the Prevention of Money Laundering Act. Which of the following combinations correctly specifies the submission timelines for the Cash Transaction Report (CTR), Suspicious Transaction Report (STR), and Non-Profit Organization Transaction Report (NTR)?
- A. CTR: By 7th of succeeding month; STR: Within 3 days of conclusion; NTR: By 7th of succeeding month.
- B. CTR: By end of the quarter; STR: Within 15 days of conclusion; NTR: By end of the quarter.
- C. CTR: By 15th of succeeding month; STR: Within 7 days of arriving at a conclusion; NTR: By 15th of succeeding month.
- D. CTR: By 10th of succeeding month; STR: Within 7 days of occurrence; NTR: By 10th of succeeding month.
- E. CTR: By 1 5th of succeeding month; STR: Within 24 hours of conclusion; NTR: By 30th of succeeding month.
Answer: C
Explanation:
The Cash Transaction Report (CTR) for each month shall be submitted to FIU-IND by the 15th of the succeeding month. The Suspicious Transaction Report (STR) shall be submitted within 7 days of arriving at a conclusion that any transaction is of suspicious nature. The Non-Profit Organization Transaction Reports (NTRs) for each month shall be submitted to FIU-IND by the 15th of the succeeding month.
NEW QUESTION # 112
Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?
- A. American Depository Receipts (ADRs)
- B. Global Depository Receipts (GDRs)
- C. Masala Bonds
- D. Foreign Currency Convertible Bonds (FCCBs)
- E. Indian Depository Receipts (IDRs)
Answer: C
Explanation:
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,. FCCBs are issued in foreign currency. IDRs are for foreign companies raising funds in India. GDRs and ADRs are equity-based instruments issued by foreign depository banks,.
NEW QUESTION # 113
The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?
- A. Settlement dues and Securities Transaction Tax (STT) only
- B. Non-settlement dues and Stamp Duty only
- C. Margin money and Base Minimum Capital (BMC) deposit only
- D. Settlement dues and Transaction charges only
- E. Settlement dues, Margin money, or Non-settlement dues
Answer: E
Explanation:
The source explicitly lists the obligations as: 'A clearing member, failing to discharge his funds obligations relating to settlement dues, margin money or non-settlement dues at the notified time, shall render him liable...'
NEW QUESTION # 114
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