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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - 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 (Q73-Q78):

NEW QUESTION # 73
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?

A. Initial Public Offer (IPO)
B. Bonus Issue
C. Follow on Public Offer (FPO)
D. Private Placement
E. Rights Issue

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 # 74
To ensure a smooth settlement process in case of holidays, Clearing Corporations (CCs) are required to follow a specific operational sequence. Which of the following statements accurately describes this sequence regarding multiple settlements scheduled for the same day?

A. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.
B. The pay-in and pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).
C. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.
D. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.
E. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.

Answer: B

Explanation:
According to the guidelines for settlement in case of holidays, 'The CCs shall clear and settle the trades on a sequential basis i.e., the pay-in and the pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).'

NEW QUESTION # 75
When determining the settlement obligations in a scenario involving holidays, why is the sequential basis of settlement (completing first settlement before starting the next) critically important?

A. It prevents members from trading in the derivatives segment during the cash market settlement.
B. It ensures that the pay-out (cash/securities) from the first settlement is available to the member to meet obligations for the subsequent settlement.
C. It allows the stock exchange to close the market early.
D. It allows the Clearing Corporation to recalculate margins for the previous week.
E. It is required to separate institutional trades from retail trades.

Answer: B

Explanation:
The sequential basis is adopted so that 'The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).'

NEW QUESTION # 76
Regarding the contributions to the Core Settlement Guarantee Fund (Core SGF), which of the following statements accurately reflects the regulatory requirements for Clearing Members (CMS) and the Clearing Corporation (CC)?

A. CC contribution shall be at least 50% of the MRC from its own funds, and CM primary contribution shall not exceed 25% of the MRC, with no exposure granted on such contribution.
B. Stock Exchanges must contribute 50% of the MRC, while CC and CMS share the remaining 50% equally.
C. CMS are required to contribute 100% of the MRC in the form of bank guarantees, while CC manages the fund without financial contribution.
D. CMS must contribute at least 50% of the MRC, and this contribution is eligible for margin exposure limits.
E. CC contribution must be at least 25% of the MRC, and CM contribution is voluntary based on trading volume.

Answer: A

Explanation:
The source states: 'CC contribution to Core SGF shall be at least 50 percent of the MRC which should be from its own funds.' And 'The total contribution from members to core SGF for each segment will not be more than 25% of MRC... No exposure shall be available to CMS on their contribution to core SGF.'

NEW QUESTION # 77
An investor wishes to lodge a complaint against a registered intermediary on the SCORES platform. Under the current limitation period guidelines, which of the following scenarios would likely lead to SEBI reserving the right to reject the complaint?

A. The date of the cause of action is more than one year old.
B. The investor has approached the intermediary, but received no communication, and the cause of action is 8 months old.
C. The complaint is lodged immediately after the intermediary provided an unsatisfactory reply.
D. The investor has already initiated arbitration proceedings for the same matter.
E. The complaint is lodged within 6 months from the date the intermediary rejected the initial grievance.

Answer: A

Explanation:
According to the guidelines for SCORES, the investor may lodge a complaint within one year from the date of cause of action. SEBI reserves its right to reject a complaint lodged on SCORES if the date of cause of action is more than one-year-old and/or the complainant has not taken up the complaint with the concerned entity prior to the said date.,

NEW QUESTION # 78
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