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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 2: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 3: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 4: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 5: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
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 (Q113-Q118):

NEW QUESTION # 113
According to the Securities Contract (Regulation) Rules, 1957, and Exchange norms, which of the following conditions render an entity or person ineligible to be admitted as a member of a Stock Exchange? (Select all that apply)

A. The person has been convicted of an offence involving fraud or dishonesty.
B. The person is engaged in any business other than Securities involving personal financial liability, without undertaking to sever connections.
C. The person has compounded with their creditors for less than full discharge of debts.
D. The person has been adjudged bankrupt or a receiver order in bankruptcy has been made against them.
E. The person is a Limited Liability Partnership registered under the Limited Liability Partnership Act, 2008.

Answer: A,B,C,D

Explanation:
Options A, B, C, and D are explicit disqualifications for membership under the regulations. An entity is ineligible if adjudged bankrupt, compounded with creditors for less than full discharge, convicted of fraud/dishonesty, or engaged in other business involving personal financial liability (unless they undertake to sever connections). Option E is incorrect as an LLP is eligible to be admitted as a member provided it meets the financial requirements and norms specified by SEBI.

NEW QUESTION # 114
Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)

A. The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.
B. Pre-Open, Special Pre-Open, and Post close sessions are not applicable.
C. Security shortages are handled through a dedicated auction session on T+0 day.
D. Trading is not permitted on the Ex-date of securities.
E. Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.

Answer: B,D,E

Explanation:
Option A is correct: No trading for T+0 settlement on Ex-date of securities. Option C is correct: Pre-Open, Special Pre-Open, and Post close sessions are not applicable. Option D is correct: Pay-in is allowed only by way of early pay-in using block mechanism. Option B is incorrect as auctions are not conducted (direct close-out applies). Option E is incorrect as the price band is +1- 100 bps with re-calibration.

NEW QUESTION # 115
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
B. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).
C. Submission through the General Ledger account of the Stock Broker.
D. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
E. Submission via the dedicated mobile application of the Registrar and Transfer Agent.

Answer: B

Explanation:
The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'

NEW QUESTION # 116
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
B. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.
C. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.
D. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
E. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.

Answer: C

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

NEW QUESTION # 117
Identify the correct timeline for the 'Auction Pay-in' and 'Auction Pay-out' of securities and funds in the context of the T+1 rolling settlement cycle.

A. Auction Pay-in: T+1 (After auction session); Auction Pay-out: T+1 (End of day)
B. Auction Pay-in: T+2 (Subsequent day); Auction Pay-out: T+2 (Same day)
C. Auction Pay-in: T+3; Auction Pay-out: T+3
D. Auction Pay-in: T+1 (Evening); Auction Pay-out: T+2 (Morning)
E. Auction Pay-in: T+2; Auction Pay-out: T+3

Answer: B

Explanation:
The auction for undelivered quantities is conducted on the settlement day (T+1 The members are required to deliver the shares (Auction Pay-in) to the clearing corporation on or before the auction pay-in day, i.e., the subsequent day (T+2). Pay-out of auction shares and funds is also done on the same day (T+2).

NEW QUESTION # 118
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