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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Risk management 3. Trade execution
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q98-Q103):

NEW QUESTION # 98
In the Clearing Process for Derivatives, how is a Trading Member's (TM) open position calculated for the purpose of exposure and daily margin?

A. Sum of Proprietary Open Position, Client Open Long Position, and Client Open Short Position.
B. Gross of all buy and sell transactions without any netting at contract level.
C. Higher of the Proprietary Position or the sum of Client Positions.
D. Sum of Proprietary Net Position and Client Net Positions (netted across all clients).
E. Net of Proprietary Position and Client Positions (Buy - Sell for the entire firm).

Answer: A

Explanation:
A TM's open position is the sum of proprietary open position, client open long position and client open short position. Clients' positions are arrived at by summing together net positions of each individual client, but positions are not netted across clients.

NEW QUESTION # 99
For Securities Trading using Wireless Technology (STWT), specific operational and security controls are mandated to prevent misuse and ensure compliance. Which of the following statements regarding 'Session Login Details' and 'Server Location' is CORRECT?

A. Session login details can be stored if biometric auth is enabled; The server must be located in a Tier-1 city.
B. Session login details must be encrypted and stored on the device; The server must be located within the Exchange premises.
C. Session login details can be stored on the device for ease of access; The server can be located anywhere globally.
D. Session login details should not be stored; The server location is at the discretion of the service provider.
E. Session login details should not be stored on the devices; The broker's server routing orders to the exchange trading system shall be located in India.

Answer: E

Explanation:
The guidelines specify that Session login details should not be stored on the devices used for internet-based trading and securities trading using wireless technology. Furthermore, The broker's server routing orders to the exchange trading system shall be located in India.

NEW QUESTION # 100
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. The Custodial Participant (CP) Code must be entered at the time of order entry.
B. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
C. The custodian settles their deliveries on a gross basis with the stock exchanges.
D. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
E. Institutional investors are permitted to square off their transactions intra-day (Day Trading).

Answer: A,B,D

Explanation:
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

NEW QUESTION # 101
Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A. Pledging of dematerialized securities & facilitating loans against shares
B. Receiving electronic credit in respect of securities allotted by issuers under IPO
C. Underwriting of Initial Public Offers (IPOs)
D. Freezing of the demat account for debits, credits, or both
E. Issuing equity research reports for the depository

Answer: A,B,D

Explanation:
The services a DP can engage into include: Receiving electronic credit in respect of securities allotted by issuers under IPO; Pledging of dematerialized securities & facilitating loans against shares; Freezing of the demat account for debits, credits, or both. Research reports and Underwriting are not listed as DP services in this section.

NEW QUESTION # 102
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
B. The client must mandatorily issue a separate physical receipt instruction for every single trade.
C. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
D. Standing instructions are only valid for government securities and not for equity shares.
E. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.

Answer: A

Explanation:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

NEW QUESTION # 103
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