NISM-Series-VII Formal Test: 2026 NISM Realistic NISM Series VII - Securities Operations and Risk Management Certification Formal Test Pass Guaranteed Quiz

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
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
Securities Market Operations	- Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle
Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q72-Q77):

NEW QUESTION # 72
Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A. Confidential insider information regarding upcoming mergers and acquisitions.
B. A comprehensive list of all IPOs expected to hit the market in the next financial year.
C. Details on how an industry is faring and whether current policies favour the industry.
D. Detailed technical analysis of stock price movements and volume data for specific scrips.
E. Mathematical models for algorithmic trading strategies.

Answer: C

Explanation:
According to the text, * *Sector research includes details on how an industry is faring, whether current policies favour the industry, etc.", so that the choice of investing in a particular industry rests with the investor.

NEW QUESTION # 73
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A. When the investor trades in highly correlated indices across different exchanges.
B. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
C. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
D. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
E. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.

Answer: E

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available for institutional investors or PMS directed to do delivery backed transactions.

NEW QUESTION # 74
In the context of Market Participants, which of the following statements accurately characterizes the regulatory status and operational scope of a 'Custodian' in the securities market?

A. Custodians are Clearing Members (like PCMs) but do not possess trading rights.
B. Custodians are registered as Trading Members but outsource clearing to PCMs.
C. Custodians are exempt from registration with SEBI if they are registered banks.
D. Custodians automatically act as the counterparty for all institutional trades.
E. Custodians are primarily responsible for executing trades on the exchange floor.

Answer: A

Explanation:
Custodians are defined as entities that settle trades on behalf of the clients of trading members. They are classified as Clearing Members (similar to Professional Clearing Members) but they do not have trading rights. They require specific registration with SEBI to provide custodial services.

NEW QUESTION # 75
In the context of the 'Trade to trade' or 'Gross obligations' method for determining settlement obligations, how are a member's funds obligations calculated?

A. Funds pay-in is equivalent to the cumulative value of buy transactions, and funds pay-out is equivalent to the cumulative sell value.
B. Funds obligations are determined solely based on the netted quantity of securities delivered.
C. Funds pay-in is the cumulative buy value minus 20% margin, and pay-out is the cumulative sell value.
D. Funds pay-in and pay-out are both calculated on a netted basis across all clients.
E. Funds pay-in is the net of cumulative buy and sell values, while funds pay-out is zero.

Answer: A

Explanation:
Under 'Trade to trade or Gross obligations', transactions will not be netted. A member's funds pay-in will be equivalent to cumulative value of buy transactions and funds pay-out will be equivalent to cumulative sell value.

NEW QUESTION # 76
According to the SEBI (International Financial Services Centres) Guidelines, 2015, which of the following criteria must a 'Person resident in India' satisfy to deal in securities listed in the IFSC?

A. They must invest only through a Foreign Portfolio Investor (FPI) registered in the IFSC.
B. They must be a High Net-worth Individual (HNI) with a minimum net worth of INR 5 Crore.
C. They are eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
D. They are restricted to investing solely in Debt Securities issued by eligible issuers.
E. They must represent a corporate body incorporated in India with a minimum turnover of INR 100 Crore.

Answer: C

Explanation:
As per the SEBI (International Financial Services Centres) Guidelines, 2015, one of the categories of persons eligible to deal in securities listed in IFSC is a 'person resident in India who is eligible under FEMA, to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme of Reserve Bank of India, subject to a minimum investment as specified by the Board from time to time'.

NEW QUESTION # 77
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