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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q184-Q189):
NEW QUESTION # 184
Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)
- A. The broker shall capture the IP (Internet Protocol) address from where the orders are originating.
- B. The broker system should have on-site as well as remote site back-up capabilities.
- C. Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.
- D. In case of no activity by the client, the system should provide for automatic trading session logout.
- E. Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.
Answer: A,B,D
Explanation:
Option A is incorrect: 'Brokers using Internet based systems for routing client orders will not be allowed to cross trades of their clients with each other. All orders must be offered to the market for matching.' Option E is incorrect: 'DOT policy and regulation shall govern the level of encryption.' Options B, C, and D are correct based on the 'Additional Requirements' section: Capture IP address, Automatic trading session logout, and On-site as well as remote site back-up capabilities.
NEW QUESTION # 185
Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?
- A. For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
- B. For clients who have a credit balance of less than Rs. 10,000.
- C. For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
- D. For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
- E. For clients trading in the derivatives segment with open positions, even if they have excess free cash.
Answer: C
Explanation:
Such periodic settlement of running account may not be necessary for clients availing margin trading facility (MTF) as per SEBI circular, to the extent of funds/securities relating to MTF used by client. It is also not necessary for funds received in the form of BG/FDR or for institutional clients settling trades through custodians.
NEW QUESTION # 186
In the context of the beta version of the T+0 rolling settlement cycle, how is the applicable price band for a security determined and managed relative to the regular T+1 market?
- A. It is set at +1- 1% of the previous day's closing price and remains static throughout the trading session 09:15 AM to 3:30 PM.
- B. It operates with a fixed price band of +/- 5% irrespective of the movement in the T+1 market.
- C. It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
- D. It mirrors the dynamic price band of the T+1 market exactly, flexing only when the T+1 market hits its circuit limit.
- E. It operates with a price band of +50 basis points from the opening price of the T+0 market, without any re-calibration during the session.
Answer: C
Explanation:
According to the operational details for T+0 settlement, the price in the T+0 segment will operate with a price band of +100 basis points from the price in the regular T+1 market. This band will be re-calibrated after every 50 basis points movement in the underlying T+1 market.
NEW QUESTION # 187
A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?
- A. 500 contracts (Net Proprietary Position only)
- B. 700 contracts (Net Proprietary + Net Client Position)
- C. 6300 contracts (Gross Buy + Gross Sell of all accounts)
- D. 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)
- E. 900 contracts (Gross Proprietary + Net Client Position)
Answer: D
Explanation:
A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
Proprietary Net: 2000 - 1500 = +500 (Long).
ClientA Net: 1000 - 1200 = -200 (Short).
Client B Net: 500 - 100 = +400 (Long).
TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.
NEW QUESTION # 188
Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)
- A. In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
- B. The final settlement of Currency Derivatives occurs on a T+1 basis.
- C. Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.
- D. Exchange-traded equity derivatives contracts on Indices are cash-settled.
- E. Equity Cash market trades executed on T day are settled on T+1 day.
Answer: C,D,E
Explanation:
Statement A is correct (T+1 rolling settlement). Statement C is correct (Pay-in upto 11:00 AM on T+1 Statement E is correct (Indices are cash-settled). Statement B is incorrect because Cash Settlement involves exchange of price differentials, not physical assets. Statement D is incorrect because the final settlement of Currency Derivatives occurs on a T+2 basis.
NEW QUESTION # 189
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