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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q152-Q157):

NEW QUESTION # 152
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A. An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
B. An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).
C. Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
D. An investor trading through different Trading Members who use different Clearing Members.
E. All institutional investors including Foreign Portfolio Investors (FPIs).

Answer: B

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 explicitly stated that this is not available for institutional investors or PMS directed to enter into delivery backed transactions.

NEW QUESTION # 153
Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

A. The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
B. In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.
C. If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
D. The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.
E. Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).

Answer: B,D,E

Explanation:
Option B is correct: 'In no case the auction shall be held beyond a period of one week from the pay-in day'. Option D is correct: 'Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund... instead of crediting it to the defaulting party's account'. Option E is correct: 'Members participating in the auction... are required to deliver the shares... on or before the auction pay-in day, i.e., subsequent day'. Option A is incorrect as auctions are generally held once unless specially approved. Option C is incorrect because auction seller defaults are closed out at the highest price or 20% over the closing price, not the valuation price.

NEW QUESTION # 154
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?

A. By 9:00 AM on T+1 Day
B. By 7:30 AM on T+1 Day
C. By 11:00 AM on T+1 Day
D. By 4:15 PM on T Day
E. By 1:30 PM on T+1 Day

Answer: B

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 # 155
When a short delivery is identified, the Clearing Corporation debits the member by an amount equivalent to the securities not delivered valued at a specific price. What is this specific debit termed as?

A. Valuation Debit
B. Provisional Margin Debit
C. Shortage Penalty
D. Close-out Debit
E. Auction Pre-payment

Answer: A

Explanation:
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as valuation debit. (Section 6.5)

NEW QUESTION # 156
In the context of the T+1 Rolling Settlement schedule for the Cash Market, which of the following specific deadlines is mandated for the completion of custodial confirmation of trades to the Clearing Corporation?

A. By 11:00 AM on T+1 day
B. By 4:15 PM on T day
C. By 9:00 AM on T+1 day
D. By 7:30 AM on T+1 day
E. By 8:30 AM on T+1 day

Answer: D

Explanation:
According to the typical activity schedule for T+1 Rolling Settlement in the Cash Market, the completion of custodial confirmation of trades to the Clearing Corporation/Clearing House must occur by 7:30 AM on the T+1 day. The download of obligation files happens subsequently by 9:00 AM.

NEW QUESTION # 157
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