NISM NISM-Series-VII Exam Questions 2026 Tips To Pass

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 3: Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Topic 4: Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q264-Q269):

NEW QUESTION # 264
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. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
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. The Custodial Participant (CP) Code must be entered at the time of order entry.
E. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.

Answer: B,D,E

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 # 265
While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

A. Ready forward contracts in debt securities
B. Infrastructure Investment Trusts (InvITs)
C. Real Estate Investment Trusts (REITs)
D. Commodity Derivatives
E. Equity Derivatives settled physically

Answer: A

Explanation:
The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.

NEW QUESTION # 266
Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A. Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.
B. Because they are subject to different tax treaties which prevent segment-wise netting.
C. Because their trading volumes are too high to be accommodated in a net settlement process.
D. Because they are not required to pay margins in the F&O segment.
E. Because they trade through Custodians who do not have clearing rights in the F&O segment.

Answer: A

Explanation:
Netting of settlement obligations of cash segment and physical settlement of F&O segment shall not be available for the institutional investors (including all categories of FPIs) since the extant regulatory framework specifies that all transactions by the institutional investors (including all categories of Foreign Portfolio Investors) in cash market should be backed by delivery.

NEW QUESTION # 267
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A. Corporate bodies and Family offices
B. Unregulated funds in the form of limited partnerships
C. Pension funds and university funds
D. Government and Government related investors such as central banks and sovereign wealth funds
E. Appropriately regulated entities such as insurance entities from FATF member countries

Answer: C,D,E

Explanation:
Category I FPls include Government and Government related investors (central banks, sovereign wealth funds), Pension funds, university funds, and Appropriately Regulated entities like insurance/reinsurance entities, banks, and asset management companies from FATF member countries. Corporate bodies, family offices, and unregulated funds fall under Category II.

NEW QUESTION # 268
Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A. Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral
B. CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
C. TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral
D. Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
E. Client Collateral Excess Collateral of other Clients CM Proprietary Collateral

Answer: A

Explanation:
According to the margin payment and collateral segregation guidelines, on receipt of a trade from a client account by the CC, the margin shall first be blocked from the value of the client collateral. If the client collateral is not sufficient, the residual margin shall be blocked from the TM proprietary collateral. If the TM proprietary collateral is also not sufficient, then the residual margin shall be blocked from the CM proprietary collateral.

NEW QUESTION # 269
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