NISM-Series-VII信息資訊 - NISM-Series-VII熱門考古題

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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q153-Q158):

問題 #153
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. The Custodial Participant (CP) Code must be entered at the time of order entry.
B. The custodian settles their deliveries on a gross basis with the stock exchanges.
C. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
D. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
E. Institutional investors are permitted to square off their transactions intra-day (Day Trading).

答案：A,C,D

解題說明：
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

問題 #154
Distinguishing the roles of market segments is vital for understanding capital formation. Which statement correctly identifies the primary interaction dynamic in the Secondary Market compared to the Primary Market?

A. It ensures availability of adequate capital at reasonable rates for expansion.
B. Dealings are strictly between two investors, and the issuer does not come into the picture.
C. The settlement is always done directly between the issuer and the clearing corporation.
D. The issuer has direct contact with the investor to raise new capital.
E. It is used primarily for Initial Public Offers (IPOs) and Rights Issues.

答案：B

解題說明：
The source clarifies that in the primary market, the issuer has direct contact with the investor. In contrast, in the secondary market, the dealings are between two investors and the issuer does not come into the picture. The secondary market provides liquidity/transferability to existing securities.

問題 #155
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. 900 contracts (Gross Proprietary + Net Client Position)
E. 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)

答案：E

解題說明：
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.

問題 #156
Regarding the operational parameters for the beta version of the T+0 rolling settlement cycle, how is the price band determined and re-calibrated during the trading session?

A. It mirrors the price band of the T+1 market exactly, including any circuit breaker halts.
B. 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.
C. It is dynamically linked to the futures market price with a variance of 0.5%.
D. It is set at +1- 10% of the opening price of the T+0 market and remains static throughout the continuous trading session.
E. It is fixed at +1-5% of the previous day's closing price without any intraday recalibration.

答案：B

解題說明：
According to the source, 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.

問題 #157
Large stock brokers have evolved from pure trading intermediaries into comprehensive 'Financial Services Companies'. In this capacity, which specific service is highlighted as being offered primarily to High Net Worth Individuals (HNIs)?

A. Public Provident Fund (PPF) management
B. Basic savings bank account services
C. Wealth management services
D. Direct Benefit Transfer (DBT) facilitation
E. Micro-credit facilities

答案：C

解題說明：
The text states: 'They also offer wealth management services for high net worth individuals (HNIs).' This is a distinct service offered by big stock brokers who have converted into financial services companies.

問題 #158
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