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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q198-Q203):

NEW QUESTION # 198
In the context of adjustments for corporate actions such as Bonus, Rights, or Mergers in the Equity F&O segment, at what specific point in time is the adjustment carried out?

A. On the Ex-Date of the corporate action before the start of market hours.
B. On the last day on which a security is traded on a 'cum' basis in the underlying equities market after the close of trading hours.
C. On the date of the Board Meeting where the corporate action was announced.
D. On the payout date of the relevant settlement cycle.
E. On the Record Date fixed by the company for the corporate action.

Answer: B

Explanation:
The regulations specify that any adjustment for corporate actions would be carried out on the last day on which a security is traded on a cum basis in the underlying equities market after the close of trading hours.

NEW QUESTION # 199
Consider the following 'Sell' order book for a security. A new Buy Limit Order for 500 shares at a price of Rs. 121.50 is entered into the system.

Based on the price-time priority mechanism, how will this buy order be executed?

A. 150 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
B. 50 shares @ 121.20, 100 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
C. 200 shares @ 121.50, 200 shares @ 121.40, and 100 shares @ 121.20
D. The order will remain pending as the full quantity cannot be matched at a single price.
E. 500 shares @ Rs. 121.50

Answer: B

Explanation:
The order matching is done on a price-time priority basis. The buy order matches with the best sell price first (lowest price). It matches 50 @ 121.20 (T 1), then 100 @ 121.20 (T2), then 200 @ 121.40 (T3). The remaining 150 shares are matched against the order at 121.50 (T4). The executed prices are the passive order prices (121.20, 121.40, 121.50).

NEW QUESTION # 200
In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?

A. The Disciplinary Action Committee (DAC)
B. The Governing Board of the Exchange
C. The Member Committee (MC)
D. The Investor Grievance Redressal Committee (IGRC)
E. The Defaulters' Committee

Answer: C

Explanation:
The guidelines specify: 'The Stock Exchanges shall ensure that once a TM has been declared defaulter, the claim(s) shall be placed before the Member Committee (MC) for sanction and ratification. MC's legitimate claims shall be sent to the IPF Trust for immediate disbursement of the amount.'

NEW QUESTION # 201
While most delivery shortages in compulsory rolling settlements are handled via auction, certain cases result in a direct close-out. For which of the following scenarios is the auction mechanism NOT conducted, and the trade is directly closed out?

A. Shortages in A-Group liquid securities with high trading volume.
B. Shortages arising from institutional trades where the custodian has rejected the trade.
C. Shortages in securities that are under 'Trade for Trade' category or currently under corporate action.
D. Shortages caused by a technical glitch in the broker's back-office software.
E. Shortages where the quantity is less than 500 shares.

Answer: C

Explanation:
In certain delivery shortages, the clearing corporation 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', etc.

NEW QUESTION # 202
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. All existing contracts of the security shall be expired on the last cum date.
B. They are cash-settled immediately at the average price of the last 6 months.
C. They continue to trade with adjusted strike prices until the original expiry date.
D. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
E. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.

Answer: A

Explanation:
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.

NEW QUESTION # 203
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