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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q236-Q241):

NEW QUESTION # 236
Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
B. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
C. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.
D. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
E. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.

Answer: E

Explanation:
As per Regulation 18 of the Stock Brokers Regulations 1992 and SCRR 1957, every stock broker shall preserve the specified books of account for a minimum period of five years. Furthermore, it is advised to preserve the originals (or copies if originals are taken) of documents taken by enforcement agencies during an investigation till the trial is completed.

NEW QUESTION # 237
SEBI introduced Chapter IVA in the SEBI (Stock Brokers) Regulations, 1992, to mandate an 'Institutional Mechanism for Prevention and Detection of Fraud or Market Abuse'. Which of the following is NOT explicitly listed as a required component of this mechanism?

A. Obligations of the stock-broker and its employees
B. Escalation and reporting mechanisms
C. Mandatory rotation of the Principal Officer every 3 years
D. Whistle Blower Policy
E. Systems for surveillance of trading activities and internal controls

Answer: C

Explanation:
The source lists the obligations/mechanisms under Chapter IVA as: 1) Systems for surveillance of trading activities and internal controls, 2) Obligations of the stock-broker and its employees, 3) Escalation and reporting mechanisms, and 4) Whistle Blower Policy. Mandatory rotation of the Principal Officer is not mentioned in this specific list.,

NEW QUESTION # 238
Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

A. Net Worth: Rs. 2 Crore; Minimum Investment: Rs. 25 Lakh
B. Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 25 Lakh
C. Net Worth: Rs. 10 Crore; Minimum Investment: Rs. 1 Crore
D. Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 50 Lakh
E. Net Worth: Rs. 3 Crore; Minimum Investment: Rs. 50 Lakh

Answer: D

Explanation:
The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.

NEW QUESTION # 239
Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A. Receiving electronic credit in respect of securities allotted by issuers under IPO
B. Issuing equity research reports for the depository
C. Freezing of the demat account for debits, credits, or both
D. Pledging of dematerialized securities & facilitating loans against shares
E. Underwriting of Initial Public Offers (IPOs)

Answer: A,C,D

Explanation:
The services a DP can engage into include: Receiving electronic credit in respect of securities allotted by issuers under IPO; Pledging of dematerialized securities & facilitating loans against shares; Freezing of the demat account for debits, credits, or both. Research reports and Underwriting are not listed as DP services in this section.

NEW QUESTION # 240
Which of the following statements accurately describe the operational procedures and timelines within the Clearing Process of the Indian securities market (Cash Segment)? (Select all that apply)

A. Final obligations for funds and securities are downloaded to members by the Clearing Corporation on T+1 day by 9:00 am.
B. Clearing Members are required to maintain a single consolidated clearing account for all segments (Cash, Derivatives, Debt) to facilitate netting.
C. Institutional trades are subject to upfront margin collection similar to retail client trades.
D. The Clearing Corporation performs multilateral netting to determine the net settlement obligations of clearing members.
E. Modification of the Custodial Participant (CP) code is permitted on T day up to 4:15 pm.

Answer: A,D,E

Explanation:
Statement A is correct (CP code modification on T day upto 4:15 pm). Statement B is correct (Final obligation download on T+1 by 9:00 am). Statement D is correct (CC performs multilateral netting). Statement C is incorrect because members must maintain separate and distinct primary clearing accounts for each segment. Statement E is incorrect because institutional trades are generally exempted from upfront margins (margined on T+1).

NEW QUESTION # 241
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