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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Depository Operations- Corporate actions
  • 1. Dividends, bonuses, splits
    • 2. Record dates and entitlement processing
      - Demat account framework
      • 1. NSDL and CDSL roles
        • 2. Account opening and maintenance
          Topic 2: Securities Market Operations- Market participants and structure
          • 1. Roles of brokers, exchanges, and investors
            • 2. Order types and trading mechanism basics
              - Trading process
              • 1. Trade confirmation and reporting
                • 2. Order execution and trade lifecycle
                  Topic 3: Risk Management in Securities Markets- Market and operational risk
                  • 1. Types of financial risks
                    • 2. Operational risk controls
                      - Risk mitigation systems
                      • 1. Surveillance and compliance mechanisms
                        • 2. Margins and collateral systems
                          Topic 4: Clearing and Settlement- Settlement systems
                          • 1. Margining and risk adjustments
                            • 2. T+1/T+2 settlement cycles
                              - Clearing mechanisms
                              • 1. Netting and settlement obligations
                                • 2. Clearing corporations and counterparties

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q141-Q146):

                                  NEW QUESTION # 141
                                  According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

                                  Answer: E

                                  Explanation:
                                  As per the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, if a company is not listed on any exchange having nationwide trading terminals, the in-principle approval is required from all the stock exchange(s) in which the securities of the issuer are proposed to be listed.


                                  NEW QUESTION # 142
                                  In the context of determining the 'venue and seat' of online proceedings for a dispute between an individual investor and a listed company/intermediary, which location is deemed to be the venue and seat?

                                  Answer: D

                                  Explanation:
                                  The venue and seat of the online proceedings shall be deemed to be the place: 'In case of disputes between investor/client and listed companies... where the investor resides permanently',.


                                  NEW QUESTION # 143
                                  Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

                                  Answer: D

                                  Explanation:
                                  The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.


                                  NEW QUESTION # 144
                                  In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

                                  Answer: C

                                  Explanation:
                                  According to the general clearing process for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Following this, the Clearing Corporation performs multilateral netting and downloads final obligations by 9:00 a.m.


                                  NEW QUESTION # 145
                                  Identify the financial instrument described by the following features: It is a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors.

                                  Answer: A

                                  Explanation:
                                  Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,.


                                  NEW QUESTION # 146
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