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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Securities Market Operations- Market participants and structure
  • 1. Order types and trading mechanism basics
    • 2. Roles of brokers, exchanges, and investors
      - Trading process
      • 1. Order execution and trade lifecycle
        • 2. Trade confirmation and reporting
          Depository Operations- Corporate actions
          • 1. Dividends, bonuses, splits
            • 2. Record dates and entitlement processing
              - Demat account framework
              • 1. NSDL and CDSL roles
                • 2. Account opening and maintenance
                  Risk Management in Securities Markets- Market and operational risk
                  • 1. Operational risk controls
                    • 2. Types of financial risks
                      - Risk mitigation systems
                      • 1. Margins and collateral systems
                        • 2. Surveillance and compliance mechanisms
                          Clearing and Settlement- Clearing mechanisms
                          • 1. Clearing corporations and counterparties
                            • 2. Netting and settlement obligations
                              - Settlement systems
                              • 1. T+1/T+2 settlement cycles
                                • 2. Margining and risk adjustments

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q226-Q231):

                                  NEW QUESTION # 226
                                  According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

                                  Answer: D

                                  Explanation:
                                  The utilization of the Settlement Guarantee Fund is generally in the following order: 1. Monies of defaulting member. 2. Insurance, if any. 3. resources (equal to 5% of the segment 4. Core SGF of the segment.


                                  NEW QUESTION # 227
                                  To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

                                  Answer: B

                                  Explanation:
                                  The text states: 'The T+3 timeline for listing after the closure of public issue will be applicable for all public issues opening on or after December 1, 2023.'


                                  NEW QUESTION # 228
                                  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)?

                                  Answer: D

                                  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 # 229
                                  The relationship between a Depository Participant (DP) and a Depository is governed by an agreement. According to the regulatory norms, where is the form of this agreement specified?

                                  Answer: C

                                  Explanation:
                                  The relationship between the DPs and the depositories is governed by an agreement made between the two under the Depositories Act. The form of the agreement is specified in the bye-laws of the depository.


                                  NEW QUESTION # 230
                                  In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

                                  Answer: D

                                  Explanation:
                                  According to the source, resources in the primary market can be raised through a public issue or private placement. If the issue is made to a select group of people, it is termed as a Private Placement. A public issue is when anybody and everybody can subscribe. A Rights Issue is for existing shareholders, and a Bonus issue is without cost involved.


                                  NEW QUESTION # 231
                                  ......

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