NISM-Series-VII通過考試,新版NISM-Series-VII題庫上線
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P.S. VCESoft在Google Drive上分享了免費的、最新的NISM-Series-VII考試題庫:https://drive.google.com/open?id=1uJlgi_ZYpiFiYBBpg-o563jnSnYsX5BD
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最新的 National Institute of Securities Markets NISM-Series-VII 免費考試真題 (Q21-Q26):
問題 #21
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?
- A. Conduct of Annual General Meetings
- B. Appointment of key managerial personnel
- C. Registration of the company's memorandum of association
- D. Incorporation of the company
- E. Non-payment of dividend
答案:E
解題說明:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).
問題 #22
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?
- A. A library containing all annual reports of listed companies for the last 10 years.
- B. A dedicated legal aid clinic with free lawyers for filing civil suits.
- C. A direct hotline to the Ministry of Finance.
- D. Arbitration and appellate arbitration facility including video-calling facility.
- E. A banking counter for immediate disbursement of Investor Protection Fund claims.
答案:D
解題說明:
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.
問題 #23
Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?
- A. It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
- B. It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
- C. It caters to domestic customers only, offering products in foreign currency.
- D. It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
- E. It operates in Indian Rupee (INR) but is exempt from RBI regulations.
答案:A
解題說明:
An IFSC is defined as a jurisdiction that provides world-class financial services to non-residents and residents (to the extent permissible under current regulations) in a currency other than the domestic currency (Indian rupee) of the location where the IFSC is located.
問題 #24
Which of the following statements accurately reflect the nature and regulation of 'Research Reports' provided by stock brokers? (Select all that apply)
- A. Research advice and recommendations can be delivered online or via SMS.
- B. Brokerage houses must comply with SEBI (Research Analysts) Regulation, 2014.
- C. Research reports normally educate investors about industry trends and which company scrips to buy, sell, or hold.
- D. Brokers are exempt from SEBI regulations when providing research reports if they are also registered as Merchant Bankers.
- E. Sector reports focus solely on the financial statements of a single company without considering industry policies.
答案:A,B,C
解題說明:
Statement A is correct ('educate investors about the industry trends... which company scrips to buy, sell or hold'). Statement C is correct ('comply with... SEBI (Research Analysts) Regulation, 2014'). Statement E is correct ('can be obtained as SMS... more online now'). Statement B is incorrect (strict rules apply). Statement D is incorrect (Sector reports cover how an industry is faring and policies).
問題 #25
To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?
- A. Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
- B. Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.
- C. Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
- D. Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).
- E. Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.
答案:C
解題說明:
The trading members who are AMFI Registration Number (ARN) holders and have passed the NISM certification examination are permitted to participate in the trading of the mutual funds units through the exchange trading platform. Further, eligible members would have to register as distributor with the mutual fund company. Hence, eligible members would be able to place orders only in respect of Mutual Fund Companies where they have registered as distributor.
問題 #26
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