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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q184-Q189):

NEW QUESTION # 184
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 Excess Collateral of other Clients CM Proprietary Collateral
B. CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
C. Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
D. Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral
E. TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral

Answer: D

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 # 185
Every clearing member is required to maintain a separate primary clearing account with a designated clearing bank. Which of the following operational restrictions applies to this account regarding withdrawals?

A. Withdrawals are strictly prohibited; funds must only be used for settlement obligations.
B. Funds can be withdrawn only after obtaining a No Objection Certificate (NOC) from the Stock Exchange.
C. Withdrawals are limited to 50% of the account balance on any given day.
D. Funds can be withdrawn only in the self-name of the clearing member.
E. Funds can be withdrawn directly to third-party vendor accounts for operational expenses.

Answer: D

Explanation:
According to the source, 'Clearing members can deposit funds into these accounts in any form and can withdraw funds from these accounts only in self-name'. This account is to be used exclusively for clearing and settlement operations.

NEW QUESTION # 186
When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

A. At the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.
B. At the valuation price used for the initial valuation debit plus a 5% close-out charge.
C. At the closing price of the security on the day of the auction plus a fixed penalty of 10%.
D. At the weighted average price of the security on the trading day plus the standard deviation margin.
E. At the highest price recorded for the security during the last 52 weeks.

Answer: A

Explanation:
If on the auction day, there are no sellers for a particular short delivery, the Clearing Corporation carries out a 'Close out'. The buyer is compensated by paying the value of the short delivered security at the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.

NEW QUESTION # 187
An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?

A. The complaint is lodged immediately after the intermediary provided an unsatisfactory reply.
B. The complaint is lodged within 6 months from the date the intermediary rejected the initial grievance.
C. The date of the cause of action is more than one year old.
D. The investor has already initiated arbitration proceedings for the same matter.
E. The investor has approached the intermediary, but received no communication, and the cause of action is 8 months old.

Answer: C

Explanation:
According to the guidelines for SCORES, the investor may lodge a complaint within one year from the date of cause of action. SEBI reserves its right to reject a complaint lodged on SCORES if the date of cause of action is more than one-year-old and/or the complainant has not taken up the complaint with the concerned entity prior to the said date.,

NEW QUESTION # 188
Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A. Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.
B. Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
C. Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
D. Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
E. Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.

Answer: A

Explanation:
According to the block mechanism framework, if a sale transaction is not executed, the shares shall continue to remain in the client's demat account and will be unblocked at the end of the T day. This eliminates the movement of shares from the client's demat account for early pay- in and back if the trade is not executed.

NEW QUESTION # 189
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