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NISM NISM-Series-VII Exam Syllabus Topics:

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

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q36-Q41):

                                  NEW QUESTION # 36
                                  According to the requirements for maintaining books of account, what specific details must be recorded in the 'Register of Transactions' (Sauda Book)?

                                  Answer: D

                                  Explanation:
                                  The Register of Transactions (Sauda Book) is required to include each transaction effected. It must show the name of the security, its value, rates gross and net of brokerage, and names of the clients.


                                  NEW QUESTION # 37
                                  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?

                                  Answer: B

                                  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 # 38
                                  In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

                                  Answer: D

                                  Explanation:
                                  According to the general clearing process for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Following this, the Clearing Corporation performs multilateral netting and downloads final obligations by 9:00 a.m.


                                  NEW QUESTION # 39
                                  Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

                                  Answer: B

                                  Explanation:
                                  According to the market structure classifications, a Trading cum Self-Clearing Member (SCM) has both trading and clearing rights. However, they are permitted to clear and settle trades executed by them only (either on their own account or on account of their clients) and are not permitted to clear trades for custodian participants. In contrast, a Trading Member-cum-Clearing Member can clear for custodial participants, and a Professional Clearing Member has no trading rights.


                                  NEW QUESTION # 40
                                  In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

                                  Answer: D

                                  Explanation:
                                  According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.


                                  NEW QUESTION # 41
                                  ......

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