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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q255-Q260):

NEW QUESTION # 255
Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
B. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.
C. The Market Participant must obtain a 'No Objection Certificate' from SEBI.
D. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
E. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.

Answer: B

Explanation:
According to the source, 'The concerned Market Participant may also initiate dispute resolution through the ODR Portal after having given due notice of at least 15 calendar days to the investor/client for resolution of the dispute which has not been satisfactorily resolved between them'.

NEW QUESTION # 256
In the context of the Cash Market segment, how is the role of a 'Custodian' distinct from that of a standard Trading Member regarding the settlement of trades?

A. Custodians are primarily responsible for the proprietary trading of the Clearing Corporation.
B. Custodians execute trades on the exchange floor but outsource the clearing function to Professional Clearing Members.
C. Custodians act as Clearing Members but not Trading Members; they settle trades on behalf of institutional clients executed through other Trading Members.
D. Custodians settle trades only for retail clients who do not have a valid PAN.
E. Custodians automatically guarantee all trades executed by any Trading Member without the need for trade confirmation.

Answer: C

Explanation:
The text defines Custodians as: 'Custodians are also clearing members like PCMs but not trading members. They settle trades on behalf of the clients of the trading members, when a particular trade is assigned to them for settlement.' This specifically applies to institutional clients.

NEW QUESTION # 257
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A. By 11:00 AM on T+1 Day
B. By 7:30 AM on T+1 Day
C. By 1:30 PM on T+1 Day
D. By 9:00 AM on T+1 Day
E. By 4:15 PM on T Day

Answer: B

Explanation:
According to the General Clearing process in Cash Segment 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. Subsequently, the final obligations are downloaded by 9:00 a.m.

NEW QUESTION # 258
Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A. Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
B. The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
C. For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.
D. The adjustments for corporate actions would be carried out on all open positions.
E. Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.

Answer: B,D,E

Explanation:
Statement A is correct regarding the basic premise of value continuity. Statement C is correct regarding the variables adjusted. Statement E is correct that it applies to open positions. Statement B is incorrect because adjustments apply to all positions, not just ITM. Statement D is incorrect because for Bonus issues, the new strike price is arrived at by *dividing* (not multiplying) the old strike price by the adjustment factor.

NEW QUESTION # 259
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?

A. Exceeds Rs. 20,00,000(Rupees Twenty Lakhs)
B. Exceeds Rs. 50,00,000(Rupees Fifty Lakhs)
C. Exceeds Rs. 10,00,000 (Rupees Ten Lakhs)
D. Exceeds Rs. 1,00,00,000 (Rupees One Crore)
E. Exceeds Rs. 30,00,000 (Rupees Thirty Lakhs)

Answer: E

Explanation:
The source specifies: 'In the event that the aggregate of the claim and/or counter-claim amount exceeds Rs 30,00,000 (Rupees Thirty Lakhs) or such amount as specified from time to time, the matter shall be referred to an Arbitral Tribunal consisting of three Arbitrators'.

NEW QUESTION # 260
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