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NISM NISM-Series-VII Exam Syllabus Topics:

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

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Quiz 2026 Marvelous NISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification Sample Test Online

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q160-Q165):

NEW QUESTION # 160
Regarding the beta version of the T+0 rolling settlement cycle introduced on an optional basis, which of the following operational parameters is mandated by SEBI?

A. Trading hours for the T+0 segment shall be identical to the T+1 segment, i.e., 09:15 AM to 3:30 PM.
B. The price band in the T+0 segment will be fixed at +1- 10% of the previous day's closing price.
C. Securities shortages in the T+0 market shall be handled by conducting an auction session on T+1 day.
D. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.
E. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles to improve liquidity.

Answer: D

Explanation:
For the T+0 settlement cycle: There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle. Additionally, trade timings are 09:15 AM to 1 PM, the price band is +100 basis points from the T+1 price, and security shortages are directly closed out (no auction).

NEW QUESTION # 161
To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A. Half-yearly; within one month from the half-year ending 31st March and 30th September.
B. Event-based; within 7 days of exceeding the exposure limits.
C. Annually; along with the Annual Returns by October 31st.
D. Monthly; by the 7th of the succeeding month.
E. Quarterly; within 15 days from the end of the quarter.

Answer: A

Explanation:
The books of accounts with respect to MTF shall be audited on a half-yearly basis. The stock broker shall submit an auditor's certificate to the exchange, within one month from the date of the half year ending 31st March and 30th September of a year.

NEW QUESTION # 162
Which of the following statements accurately describe the regulatory and operational framework regarding Clearing Banks and Clearing Members? (Select all that apply)

A. Every clearing member must maintain a separate and distinct primary clearing account for each segment.
B. Clearing Banks are responsible for determining the final net settlement obligations of the Clearing Members.
C. Clearing Members are permitted to withdraw funds from their clearing accounts in favor of third-party beneficiaries.
D. Additional clearing accounts may be maintained for the specific purpose of enhancing collateral in the form of cash.
E. Clearing Members must irrevocably authorize the Clearing Bank to allow the Clearing Corporation to access their accounts for debiting and crediting.

Answer: A,D,E

Explanation:
Statement A is correct as members must maintain separate accounts for each segment. Statement C is correct regarding irrevocable authorization. Statement E is correct regarding additional accounts for collateral enhancement. Statement B is incorrect because withdrawals are allowed only in 'self-name'. Statement D is incorrect because the Clearing Corporation (not the bank) determines the obligations.

NEW QUESTION # 163
In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

A. The entire Core SGF corpus on a pro-rata basis.
B. Capped additional contribution by non-defaulting members.
C. Clearing Corporation resources equal to 5% of the segment MRC.
D. Penalties credited to the Core SGF.
E. Stock Exchange contribution to the Core SGF.

Answer: C

Explanation:
According to the Default Waterfall specified in the source, the order is: 1. Monies of defaulting member, 2. Insurance, if any, 3. CC resources (equal to 5% of the segment MRC), and then 4. Core SGF of the segment (starting with Penalties, then CC contribution of at least 25%, etc.).

NEW QUESTION # 164
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To help the investor make informed investment decisions.
B. To replace the role of the Investment Adviser completely.
C. To generate additional brokerage by encouraging excessive churning of portfolios.
D. To manipulate the market price of illiquid securities.
E. To fulfill the mandatory requirement of the Companies Act, 2013.

Answer: A

Explanation:
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

NEW QUESTION # 165
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