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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Topic 2: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 3: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Risk management 3. Settlement processing
Topic 4: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 6: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q204-Q209):

NEW QUESTION # 204
Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
(Select all that apply)

A. In case of extra-ordinary dividend, the total dividend amount is reduced from all strike prices of option contracts.
B. If shareholders in the AGM change the rate declared by the Board, the market price reference changes to the closing price on the day previous to the AGM.
C. Adjustment for extra-ordinary dividend is carried out only on futures contracts, not options.
D. Dividends below 2% of the market value of the underlying stock are deemed ordinary dividends and no adjustment is made.
E. The revised strike prices due to extra-ordinary dividend are applicable from the record date.

Answer: A,B,D

Explanation:
StatementA is correct: Dividends below 2% are ordinary and not adjusted. Statement B is correct: Total dividend amount is reduced from strike prices. Statement D is correct: If AGM changes the rate, the reference is the closing price previous to the date of the AGM. Statement C is incorrect because revised prices are applicable from the ex.dividend date. Statement E is incorrect as adjustments apply to strike prices of options as well.

NEW QUESTION # 205
In the context of the clearing and settlement ecosystem, the Clearing Corporation assumes the role of a legal counterparty to all trades executed on the Stock Exchange. What is the specific legal term for this process where the original contract between the buyer and seller is replaced by two new contracts with the Clearing Corporation?

A. Adjudication
B. Subrogation
C. Novation
D. Indemnification
E. Arbitration

Answer: C

Explanation:
The process is called novation. Through novation, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, thereby acting as a legal counterparty to all trades. This ensures that if there is a default by either party, the Clearing Corporation is responsible for ensuring settlement.

NEW QUESTION # 206
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
B. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
C. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
D. Brokers fund the entire IPO application amount for the investor interest-free.
E. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.

Answer: B

Explanation:
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'

NEW QUESTION # 207
In the event of holidays affecting the settlement schedule, Clearing Corporations (CCs) follow specific guidelines to ensure smooth settlement. Which of the following statements accurately describes the procedure for sequential settlement and inter-depository transfers?

A. Settlements are postponed to the next working week to ensure all banks are operational.
B. CCs prioritize the settlement with the highest value regardless of the chronological order of trade dates.
C. Depositories must facilitate inter-depository transfers within one hour and before the pay-in for the subsequent settlement begins.
D. The pay-out from the first settlement is blocked for 24 hours and cannot be used for the subsequent settlement's pay-in.
E. CCs club multiple settlements into a single netted obligation to avoid sequential processing delays.

Answer: C

Explanation:
To meet pay-in obligations for subsequent settlements during holidays, members may need to move securities from one depository to another. The depositories shall, therefore, facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.

NEW QUESTION # 208
When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A. The VIPV recording is optional if the client provides a digitally signed self-declaration.
B. The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
C. The VIPV must be conducted offline and the recording uploaded to the KRA system later.
D. The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
E. The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.

Answer: B

Explanation:
The source states that for VIPV: 'The intermediary shall ensure that photograph of the client downloaded through the Aadhaar authentication / verification process matches with the investor in the VIPV.' Also, the VIPV must be in a live environment, and include random questions/responses.

NEW QUESTION # 209
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