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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Topic 2: Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity
Topic 3: Trading Operations	15%	- Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes
Topic 4: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Topic 5: Regulatory Framework	15%	- Compliance requirements for intermediaries - Code of conduct and ethical practices - SEBI Act, Rules and Regulations
Topic 6: Risk Management and Margining	18%	- Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures
Topic 7: Market Microstructure	12%	- Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types
Topic 8: Investor Protection	7%	- Mechanisms for dispute resolution - Investor education and awareness initiatives - Investor rights and grievances redressal

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q200-Q205):

NEW QUESTION # 200
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

A. Schedule VII
B. Schedule I
C. Schedule X
D. Schedule XI
E. Schedule V

Answer: D

Explanation:
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' (the Direct Listing Scheme) is specified in Schedule Xl of Foreign Exchange Management (Non-debt Instruments) Rules, 2019. This scheme provides the framework for issuing and listing equity shares of public Indian companies on international exchanges.

NEW QUESTION # 201
For the purpose of corporate action adjustments in the Equity F&O segment, under what specific condition is a dividend deemed to be 'extra-ordinary', thereby necessitating an adjustment to the futures and options contracts?

A. If the dividend declared is more than 5% of the paid-up capital of the company.
B. If the dividend is declared as an 'interim' dividend rather than a 'final' dividend.
C. If the dividend amount exceeds 10% of the closing price of the scrip on the record date.
D. If the dividend yield exceeds the risk-free interest rate (MIBOR) prevailing on the declaration date.
E. If the dividend amount is at and above 2% of the market value of the underlying security.

Answer: E

Explanation:
According to the methodology for adjustment in Equity F&O, for extra-ordinary dividends i.e., at and above 2 percent of the market value of the underlying security, there would be an adjustment in Equity F&O. Dividends below this threshold are deemed ordinary and no adjustment is made.

NEW QUESTION # 202
A Trading Member executes trades in both T+1 and T+0 settlement cycles for the same security on the same day. Which of the following statements correctly describes the netting of obligations between these two segments?

A. Netting is permitted only if the member opts for the 'Unified Settlement' facility.
B. Obligations are netted at the client level but not at the member level.
C. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.
D. Sell obligations in T+0 are netted against Buy obligations in T+1 to reduce margin requirements.
E. Funds are netted across segments, but securities are settled separately.

Answer: C

Explanation:
The operational details for T+0 settlement explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'

NEW QUESTION # 203
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
B. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
C. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
D. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
E. Brokers fund the entire IPO application amount for the investor interest-free.

Answer: A

Explanation:
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'

NEW QUESTION # 204
Clearing Members are required to open specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements is legally and operationally ** TRUE** regarding these accounts?

A. Clients are prohibited from transferring shares directly into the member's pool account; all transfers must route through the Exchange.
B. The clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.
C. The clearing member acquires full beneficiary ownership rights over the securities transferred into this account.
D. Credits to this account are not permitted; it is used solely for delivering securities to the Clearing Corporation.
E. These accounts are strictly used for holding the member's long-term proprietary investments to separate them from client assets.

Answer: B

Explanation:
It should be noted that unlike the usual demat accounts, the clearing member does not get any ownership or beneficiary rights over the shares held in these accounts (Clearing member settlement pool accounts). A pool account is a settlement account from where broker deliver securities to exchange's clearing corporation against pay-in obligation.

NEW QUESTION # 205
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