NISM-Series-VII Valid Test Review - NISM-Series-VII Clear Exam

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity
Market Microstructure	12%	- Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types
Securities Market Overview	10%	- Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market
Trading Operations	15%	- Client onboarding and KYC norms - Front office functions and processes - Order management and trade execution
Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Risk Management and Margining	18%	- Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures
Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms
Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q100-Q105):

NEW QUESTION # 100
In the context of stock brokers providing mutual fund services, what specific compliance obligation is imposed by Regulation 4(g) of the SEBI (Investment Advisers) Regulations, 2013?

A. Stock brokers must obtain a separate license from AMFI for providing advisory services.
B. Stock brokers must maintain a minimum net worth of Rs. 1 Crore to offer investment advice.
C. Stock brokers are prohibited from charging any commission on mutual fund distribution if they are registered as InvestmentAdvisers.
D. Stock brokers must ensure client level segregation of advisory and distribution activities at the entity and group level.
E. Stock brokers must route all mutual fund advisory transactions through a separate subsidiary company.

Answer: D

Explanation:
Regulation 4(g) of SEBI (Investment Advisers) Regulations, 2013 requires stock brokers to comply with general obligations... which, inter-alia, provide that client level segregation of advisory and distribution activities needs to be ensured at the entity and group level.

NEW QUESTION # 101
According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?

A. Each transaction effected, showing the name of the security, its value, rates gross and net of brokerage, and names of the clients.
B. Only the net obligation of funds and securities to be settled with the Clearing Corporation.
C. Details of all dematerialized securities held in the broker's pool account and beneficiary account.
D. General expenses, overheads, salaries, and petty cash adjustments for the broking firm.
E. Receipts and payments of funds involving clients, distinguishing between margin and settlement obligations.

Answer: A

Explanation:
The Register of Transactions (Sauda Book) is required to include each transaction effected. It must show the name of the security, its value, rates gross and net of brokerage, and names of the clients.

NEW QUESTION # 102
To ensure a smooth settlement process in case of holidays, Clearing Corporations (CCs) are required to follow a specific operational sequence. Which of the following statements accurately describes this sequence regarding multiple settlements scheduled for the same day?

A. The pay-in and pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).
B. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.
C. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.
D. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.
E. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.

Answer: A

Explanation:
According to the guidelines for settlement in case of holidays, 'The CCs shall clear and settle the trades on a sequential basis i.e., the pay-in and the pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).'

NEW QUESTION # 103
In the process of Auction of Securities, if the auction or close-out results in proceeds that exceed the claim of the aggrieved party (buyer), how is the remaining amount treated?

A. It is refunded to the defaulting selling member.
B. It is shared equally between the Clearing Corporation and the aggrieved party.
C. It is credited to the Core Settlement Guarantee Fund (Core SGF).
D. It is retained by the Clearing Corporation as administrative charges.
E. It is transferred to the Investor Protection Fund (IPF) of the Exchange.

Answer: C

Explanation:
The Proceeds from Auction or Close-out should be used to settle the claim of the aggrieved party. Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund ('Core SGF') instead of crediting it to the defaulting party's account.

NEW QUESTION # 104
For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

A. Flat rate of 10% of the contract value.
B. Based on 6 sigma, scaled up by √2, subject to a minimum of 9.3% of the underlying price.
C. Based on 6 sigma, scaled up by √2, subject to a minimum of 14.2% of the underlying price.
D. Based on 3.5 sigma scaled up by root 3.
E. 25% of annualized EWMA volatility subject to minimum 10%.

Answer: B

Explanation:
For Index Derivatives, the Price Scan Range is based on 6 sigma, scaled up by square root of 2, subject to at least of the underlying price after considering scaling up. (14.2% applies to Single Stock Derivatives).

NEW QUESTION # 105
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