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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q298-Q303):

NEW QUESTION # 298
According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A. 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
B. There is no fee for trade annulment if the request is submitted within 30 minutes.
C. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
D. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
E. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.

Answer: A

Explanation:
As per SEBI guidelines on Trade Annulment, Stock exchanges shall charge an application fee equal to 5% of the value of trade(s) for accepting an annulment request from a stock broker, subject to a minimum fee of? 1 lakh and maximum fee of ? 10 lakhs. The amount realised is credited to the Investor Protection Fund.

NEW QUESTION # 299
Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A. Shortage in securities under the Trade for Trade Surveillance (TFTS) category.
B. Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
C. Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
D. Shortage arising from trades in the T+0 rolling settlement cycle.
E. Shortage arising from trades executed in the Block Deal window.

Answer: A,C,D,E

Explanation:
The source specifies that for certain delivery shortages, CC directly does the close-out without conducting an auction. Examples include: Securities under trade for trade category, securities under corporate action, trades done on block deal window (Section 6.5.2). Additionally, regarding the T+0 rolling settlement cycle, it is stated that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out' (Section 3.4.3 / 5.7). Option C is incorrect because normal rolling settlement shortages are handled via auction.

NEW QUESTION # 300
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. Penalties collected from listed companies for non-compliance with LODR Regulations.
B. At least 20% of the listing fees received.
C. Penalty collected from Trading Members for deficiency in modification of client code.
D. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
E. 1% of the listing fees received, on a quarterly basis.

Answer: A,C,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).

NEW QUESTION # 301
When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

A. Strike Price: Nearest tick size; Market Lot: Nearest integer
B. Strike Price: Exact value up to 2 decimal places; Market Lot: Exact value
C. Strike Price: Rounded up to nearest integer; Market Lot: Rounded down to nearest 100
D. Strike Price: Rounded down to nearest tick; Market Lot: Rounded up to nearest integer
E. Strike Price: Nearest integer; Market Lot: Nearest tick size

Answer: A

Explanation:
With a view to minimizing fraction settlements, the methodology adopted includes carrying out rounding off for the Strike Price to the nearest tick size and Market Lot to the nearest integer.

NEW QUESTION # 302
Under the framework where Unified Payment Interface (UPI) is used as a payment mechanism with ASBA for public issues, individual investors can submit their bid-cum-application forms with UPI IDs to which of the following entities? (Select all that apply)

A. A Syndicate Member
B. A Registrar to an issue and share transfer agent (eligible for this activity)
C. A Depository Participant (eligible for this activity)
D. The Reserve Bank of India designated cell
E. A Stock Broker registered with a recognised stock exchange (eligible for this activity)

Answer: A,B,C,E

Explanation:
The text lists the entities to whom the bid-cum-application form with IJPI ID can be submitted: 'a syndicate member; a stock broker registered with a recognised stock exchange...; a depository participant...; a registrar to an issue and share transfer agent...'. RBI is not an entity for submission of forms.

NEW QUESTION # 303
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