NISM-Series-VII Exam Bible - Reliable NISM-Series-VII Exam Book

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
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
          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
                  Clearing and Settlement- Settlement systems
                  • 1. Margining and risk adjustments
                    • 2. T+1/T+2 settlement cycles
                      - Clearing mechanisms
                      • 1. Netting and settlement obligations
                        • 2. Clearing corporations and counterparties
                          Depository Operations- Demat account framework
                          • 1. NSDL and CDSL roles
                            • 2. Account opening and maintenance
                              - Corporate actions
                              • 1. Dividends, bonuses, splits
                                • 2. Record dates and entitlement processing

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q116-Q121):

                                  NEW QUESTION # 116
                                  Which of the following statements correctly differentiates the operational and regulatory features of 'Triparty Repo' (TREPS) and 'Repo in Corporate Bonds' in the Indian Debt Market?

                                  Answer: B

                                  Explanation:
                                  The source specifies regarding TREPS: 'Unlike Repo, TREPS facilitate the trading of Repo and the seller of the security has a right to substitute the security.' Also, 'funds borrowed on TREPS are exempted from RBI's CRR/SLR computation.' In contrast, for Repo in Corporate Bonds, the source notes: 'participants cannot borrow against the collateral of their own securities or those of related entities'.


                                  NEW QUESTION # 117
                                  In the context of primary market issuance, which of the following correctly defines a 'Retail Individual Investor'?

                                  Answer: B

                                  Explanation:
                                  Retail Individual Investors are defined as an individual investor (Resident Indians, non-resident Indians, HUF) who applies or bids for specified securities for a value of not more than two lakhs rupees.


                                  NEW QUESTION # 118
                                  Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

                                  Answer: C

                                  Explanation:
                                  SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.


                                  NEW QUESTION # 119
                                  While most delivery shortages in compulsory rolling settlements are handled via auction, certain cases result in a direct close-out. For which of the following scenarios is the auction mechanism NOT conducted, and the trade is directly closed out?

                                  Answer: C

                                  Explanation:
                                  In certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window', etc.


                                  NEW QUESTION # 120
                                  A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

                                  Answer: E

                                  Explanation:
                                  According to the leverage and exposure limits for margin trading: 1) The total indebtedness of a broker for the purpose of margin trading shall not exceed 5 times of his net worth (5 10 Cr = 50 Cr). 2) The maximum allowable exposure of the broker towards the margin trading facility shall not exceed the borrowed funds and 50% of his 'net worthe (Borrowed Funds + 50% of 10 Cr = Borrowed Funds + 5 Cr).


                                  NEW QUESTION # 121
                                  ......

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