FREE NISM Mock Test - NISM Series VII : Securities Operations and Risk Management by NISM PrepCafe. Study Material and NISM Workbook for NISM Series VII: SORM Certification Examination is also available at www.PrepCafe.in

FREE NISM MOCK TESTFor NISM Series VII: Securities Operations and Risk Management Certification Examination __________ Default address Avenue, 4214, LOGO AREA Postal code 80.250-210 / Curitiba PR BR | +55 32 3836 55 55 +55 32 9685 55 55 | Default address Avenue, 4214, Postal code 80.250-210 / Curitiba PR BR ___________________________________________ www.default.com www.default.com +55 32 3836 55 55 +55 32 9685 55 55 NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST The examination seeks to create a common minimum knowledge benchmark as the requisite standard for associated persons of a registered stock-broker / trading member / clearing member in recognized stock exchanges, involved in (a) assets or funds of investor or clients (b) redressal of investor grievances, (c) internal control or risk management and (d) activities having a bearing on operational risk. Assessment Structure The examination consists of 100 questions of 1 mark each and should be completed in 2 hours. The passing score for the examination is 50%. There shall be negative marking of 25% of the marks assigned to a question. Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q1. Folio number is mandatory for a stock broker when a request is made in ________ mode, for additional subscription of MF units. DEPOSITORY PHYSICAL BOTH A AND B NONE OF THE ABOVE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q2. Which of the following procedures recommended by Risk management approach are CLIENT MANAGEMENT METHODS CUSTOMER DOCUMENTATION TRADE-ENTRY PROCEDURES ALL OF THE ABOVE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q3. Which of the following entity provide details of all trade entered in to on a particular day to the clearing house/corporation? SEBI EXCHANGE CLIENT BROKER Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q4. The regulatory powers of SEBI are applicable to ALL OTHER PERSONS ASSOCIATED WITH THE SECURITIES MARKETS ALL INTERMEDIARIES IN THE SECURITIES MARKETS CORPORATES WITH RESPECT TO ISSUANCE OF CAPITAL AND TRANSFER OF SECURITIES ALL OF THE ABOVE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q5. Margin trading facility provided by the broker to the clients through BORROWINGS FROM SCHEDULED COMMERCIAL BANKS HIS OWN FUNDS BORROWINGS FROM NBFCS GOVERNED BY RBI ALL OF THE ABOVE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q6. In case of mergers, un-expired contracts as on the last cum-date would be compulsorily settled at the settlement price, when the merger takes place between two entities YES NO Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q7. Exchanges may ask for higher base capital to its trading members/ brokers than prescribed by SEBI • FALSE • TRUE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q8. Foreign Currency Convertible bonds (FCCBs) are issued by listed companies in a particular country and subscribed to by a non-resident of that country TRUE FALSE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q9. Panel of arbitrators of the exchange consists of POLICE OFFICERS FROM LOCAL POLICE STATIONS SEBI NOMINEE RETIRED JUDGES FROM HIGH COURTS ALL OF THE ABOVE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ NISM Series VII: Securities Operations and Risk Management Certification Examination – FREE MOCK TEST Q10. The broker has to keep records of _____________ AGREEMENTS WITH SUB-BROKERS AGREEMENTS WITH CLIENTS KYC FORMS ALL OF THE ABOVE Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ For more such questions visit www.prepcafe.in Features No registration required Unlimited FREE access Real testing environment Multiple mock tests Extensive study materials Discussion forum Reward point system available Free LOGO AREA NISM Certification Examinations Study Materials and Free Mocks Tests Default address Avenue, 4214, +55 32 3836 55 55 Postal code 80.250-210 / Curitiba PR BR +55 32 9685 55 55 available at www.prepcafe.in www.default.com __________ ___________________________________________ Thank You For more, visit www.PrepCafe.in __________ __________ Default address Avenue, 4214, Postal code 80.250-210 / Curitiba PR BR ___________________________________________ LOGO AREA www.default.com +55 32 3836 55 55 +55 32 9685 55 55 Default address Avenue, 4214, Postal code 80.250-210 / Curitiba PR BR ___________________________________________ www.default.com +55 32 3836 55 55 +55 32 9685 55 55