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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q20-Q25):

NEW QUESTION # 20
Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A. It must be credited to the Investor Protection Fund (IPF) of the Exchange.
B. It is returned to the defaulting member after deducting a 1% processing fee.
C. It is distributed equally among all non-defaulting clearing members.
D. It should be credited to the Core Settlement Guarantee Fund (Core SGF).
E. It is transferred to the SEBI General Fund.

Answer: D

Explanation:
The proceeds from Auction or Close-out should be used to settle the claim of the aggrieved party. Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund ('Core SGF') instead of crediting it to the defaulting party's account.

NEW QUESTION # 21
Which of the following statements accurately reflect the 'Additional Requirements' and operational controls mandated for Internet Based Trading (IBT) and Securities Trading Using Wireless Technology (STWT)? (Select all that apply)

A. Brokers using Internet based systems are permitted to cross trades of their clients with each other internally to save transaction costs.
B. In case of no activity by the client, the system should provide for automatic trading session logout.
C. The broker system should have on-site as well as remote site back-up capabilities.
D. The broker shall capture the IP (Internet Protocol) address from where the orders are originating.
E. Encryption levels for communication are governed solely by the Stock Exchange's internal policy, independent of DOT regulations.

Answer: B,C,D

Explanation:
Option A is incorrect: 'Brokers using Internet based systems for routing client orders will not be allowed to cross trades of their clients with each other. All orders must be offered to the market for matching.' Option E is incorrect: 'DOT policy and regulation shall govern the level of encryption.' Options B, C, and D are correct based on the 'Additional Requirements' section: Capture IP address, Automatic trading session logout, and On-site as well as remote site back-up capabilities.

NEW QUESTION # 22
Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

A. The Depository Participant (DP)
B. The Securities Appellate Tribunal (SAT)
C. The Association of Mutual Funds in India (AMFI)
D. The Relevant Authority (of the Exchange/Clearing Agency)
E. The Reserve Bank of India (RBI)

Answer: D

Explanation:
The text states that the failure shall render the member liable for actions 'as may be decided by the Relevant Authority.'

NEW QUESTION # 23
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. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
B. The custodian settles their deliveries on a gross basis with the stock exchanges.
C. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
D. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.
E. The Custodial Participant (CP) Code must be entered at the time of order entry.

Answer: A,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 # 24
Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A. It is used to cover the margin obligation of that specific client only.
B. It is used to provide exposure limits to the Clearing Member's other Trading Members.
C. It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.
D. It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
E. It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.

Answer: A

Explanation:
The CCs provide a facility for upfront segment-wise allocation of collateral. The CCs use such collateral allocation information to ensure that the collateral allocated to a client is used towards the margin obligation of that client only.

NEW QUESTION # 25
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