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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Depository Operations- Corporate actions
  • 1. Record dates and entitlement processing
    • 2. Dividends, bonuses, splits
      - Demat account framework
      • 1. Account opening and maintenance
        • 2. NSDL and CDSL roles
          Topic 2: 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
                  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: Securities Market Operations- Market participants and structure
                          • 1. Order types and trading mechanism basics
                            • 2. Roles of brokers, exchanges, and investors
                              - Trading process
                              • 1. Order execution and trade lifecycle
                                • 2. Trade confirmation and reporting

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q115-Q120):

                                  NEW QUESTION # 115
                                  The Securities Contracts (Regulation) Act, 1956 (SCRA) and the SEBI Act, 1992 have distinct regulatory scopes. Which of the following regulatory functions falls specifically under the direct jurisdiction of the Central Government as per the SCRA, 1956?

                                  Answer: D

                                  Explanation:
                                  The SCRA, 1956 gives the Central Government regulatory jurisdiction over Stock Exchanges through a process of recognition and continued supervision. While SEBI performs many functions, the specific power of recognition of Stock Exchanges originates from the SCRA under Central Government jurisdiction.


                                  NEW QUESTION # 116
                                  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 # 117
                                  Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

                                  Answer: C

                                  Explanation:
                                  Clearing Corporations (CCs) shall continue to settle obligations on a net basis at the CM level. Further, CCs shall continue to maintain segment-wise default waterfalls, regardless of a single settlement across segments. The losses, if any, in case of default of a CM to CC shall be computed on the basis of the segment-wise obligation of CM to CC, on a pro-rata basis.


                                  NEW QUESTION # 118
                                  In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

                                  Answer: C

                                  Explanation:
                                  The process is called novation. Through novation, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, thereby acting as a legal counterparty to all trades. This ensures that if there is a default by either party, the Clearing Corporation is responsible for ensuring settlement.


                                  NEW QUESTION # 119
                                  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)?

                                  Answer: C

                                  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 # 120
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