FREE NISM Mock Test

FREE NISM MOCK TEST
For 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
__________ ___________________________________________
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
__________ ___________________________________________
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
__________ ___________________________________________
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
__________ ___________________________________________
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
__________ ___________________________________________
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
__________ ___________________________________________
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
__________ ___________________________________________
Q7. Exchanges may ask for higher base capital to its trading members/ brokers than prescribed by SEBI
FALSE TRUE
Free
LOGO AREA
__________ ___________________________________________
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
__________ ___________________________________________
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
__________ ___________________________________________
Q10. The broker has to keep records of _____________
AGREEMENTS WITH SUB-BROKERS

AGREEMENTS WITH CLIENTS KYC FORMS ALL OF THE ABOVE
Free
LOGO AREA
__________ ___________________________________________
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
__________ ___________________________________________
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

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

Încărcat de

Informații document

Drepturi de autor

Formate disponibile

Partajați acest document

Partajați sau inserați document

Opțiuni de partajare

Vi se pare util acest document?

Este necorespunzător acest conținut?

Drepturi de autor:

Formate disponibile

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

Încărcat de

Drepturi de autor:

Formate disponibile

+55 32 3836 55 55 +55 32 9685 55 55

+55 32 3836 55 55 +55 32 9685 55 55

Q2. Which of the following procedures recommended by Risk management approach

SEBI EXCHANGE CLIENT BROKER

Q4. The regulatory powers of SEBI are applicable to

ALL OF THE ABOVE

Q9. Panel of arbitrators of the exchange consists of

Q10. The broker has to keep records of _____________

AGREEMENTS WITH SUB-BROKERS

For more such questions visit www.prepcafe.in

Default address Avenue, 4214, 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 ___________________________________________

+55 32 3836 55 55 +55 32 9685 55 55

S-ar putea să vă placă și