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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Topic 2: Securities Market Overview	10%	- Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market
Topic 3: Investor Protection	7%	- Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution
Topic 4: Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity
Topic 5: Risk Management and Margining	18%	- Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies
Topic 6: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Clearing process and roles of clearing corporations - Settlement cycle and mechanisms
Topic 7: Market Microstructure	12%	- Trading mechanisms and order types - Market indices and their calculation - Price discovery and market efficiency
Topic 8: Regulatory Framework	15%	- Code of conduct and ethical practices - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q103-Q108):

NEW QUESTION # 103
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Appointment of key managerial personnel
B. Incorporation of the company
C. Conduct of Annual General Meetings
D. Non-payment of dividend
E. Registration of the company's memorandum of association

Answer: D

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 104
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Appointment of key managerial personnel
B. Incorporation of the company
C. Conduct of Annual General Meetings
D. Non-payment of dividend
E. Registration of the company's memorandum of association

Answer: D

NEW QUESTION # 105
Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A. It requires manual intervention by the broker for every order to ensure risk compliance.
B. Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
C. It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.
D. Investment managers acting on behalf of institutional clients are prohibited from using DMA.
E. It is available to all retail investors without specific authorization.

Answer: C

Explanation:
Direct Market Access (DMA) is a facility which allows brokers to offer clients direct access to the exchange trading system through the broker's infrastructure 'without manual intervention by the broker'. Advantages include 'faster execution of client orders, reduced risk of errors associated with manual order entry'. Brokers must specifically authorize clients or investment managers after fulfilling KYC and due diligence.

NEW QUESTION # 106
Which of the following statements accurately reflect the regulatory requirements regarding the 'Statement of Accounts' and dispute resolution related to the settlement of funds? (Select all that apply)

A. The actual settlement of funds must be done by the broker at least once in a calendar quarter or month, depending on the client's preference.
B. The Statement of Accounts must contain an extract from the client ledger for funds and the register of securities.
C. Clients must bring any dispute arising from the statement of running account to the notice of the broker within 30 working days from the date of the statement.
D. Brokers are permitted to perform inter-client adjustments for the purpose of settlement if the total fund balance at the broker level is sufficient.
E. If a client requests a return of funds lying with the Clearing Corporation, the broker must transfer them within 7 working days.

Answer: A,B,C

Explanation:
Statement A is correct (Statement must contain extracts). Statement B is correct (Dispute notice within 30 working days). Statement D is correct (Settlement frequency is monthly/quarterly). Statement C is incorrect because 'There is no inter-client adjustment for the purpose of settlement'. Statement E is incorrect because funds lying with the Clearing Member/Clearing Corporation must be transferred within 'three working days' from the request, not 7.

NEW QUESTION # 107
Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?

A. 100% of the higher margin of the two positions.
B. 0% (Total margin exemption).
C. 30% of the applicable upfront margin.
D. 25% of the total applicable margin on the eligible offsetting positions.
E. 40% of the total applicable margin.

Answer: D

Explanation:
In cases where positions in derivatives segment for stock futures and index futures are in the same expiry month, a **spread margin of 25%" of the total applicable margin on the eligible offsetting positions shall be levied. (30% is for eligible equity indices pairs).

NEW QUESTION # 108
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