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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q16-Q21):

NEW QUESTION # 16
Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A. Continuous Trading Session
B. Pre-open Session
C. Early Pay-in via Block Mechanism
D. Post Close Session
E. Auction Session

Answer: B,D,E

Explanation:
According to the source, 'Pre-open, Special Pre-open, Block window, Auction, Periodic call auction and Post close session are not applicable under T+0 settlement.' Note: While a later circular advised facilitating a block deal window, the core exclusions listed include Pre-Open, Auction, and Post Close. Continuous Trading and Early Pay-in are applicable features.

NEW QUESTION # 17
Which of the following instruments allows foreign companies to raise capital directly from the Indian securities market in Indian Rupees?

A. External Commercial Borrowings (ECBs)
B. American Depository Receipts (ADRs)
C. Foreign Currency Convertible Bonds (FCCBs)
D. Global Depository Receipts (GDRs)
E. Indian Depository Receipts (IDRs)

Answer: E

Explanation:
Foreign companies can raise capital from Indian markets by issuing IDR (Indian Depository Receipts). This will be in rupee terms. ADRs and GDRs are for Indian companies raising funds abroad,.

NEW QUESTION # 18
Which of the following statements correctly reflect the general responsibilities and investment restrictions imposed on a Portfolio Manager by SEBI? (Select all that apply)

A. The portfolio manager shall not borrow funds or securities on behalf of the client.
B. The discretionary portfolio manager can deploy client funds in bill discounting if authorized by the client.
C. The portfolio manager shall segregate each client's holding in securities in separate accounts.
D. The portfolio manager is permitted to lend securities held on behalf of clients to third parties to generate extra income without restriction.
E. Portfolio Managers may invest in units of Mutual Funds only through the direct plan.

Answer: A,C,E

Explanation:
Option A is correct: 'The portfolio manager shall not borrow funds or securities on behalf of the client.' Option C is correct: 'Portfolio Managers may invest in units of Mutual Funds only through direct plan.' Option D is correct: 'shall segregate each client's holding in securities in separate accounts.' Option B is incorrect as lending is generally prohibited except as provided under regulation. Option E is incorrect as deploying funds in bill discounting is prohibited.

NEW QUESTION # 19
Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

A. If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
B. Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).
C. In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.
D. The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
E. The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.

Answer: B,C,E

Explanation:
Option B is correct: 'In no case the auction shall be held beyond a period of one week from the pay-in day'. Option D is correct: 'Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund... instead of crediting it to the defaulting party's account'. Option E is correct: 'Members participating in the auction... are required to deliver the shares... on or before the auction pay-in day, i.e., subsequent day'. Option A is incorrect as auctions are generally held once unless specially approved. Option C is incorrect because auction seller defaults are closed out at the highest price or 20% over the closing price, not the valuation price.

NEW QUESTION # 20
Which of the following statements accurately reflect the roles and functions of a Clearing Corporation as a central counterparty (COP)?
(Select all that apply)

A. It reduces the number of payments due by netting transactions.
B. It calculates and controls the margining mechanism.
C. It guarantees settlement of trades through the process of novation.
D. It provides independent legal enforcement of contracts, reducing the need for buyers and sellers to take legal action against one another.
E. It executes client orders on the stock exchange platform on behalf of the trading members.

Answer: A,B,C,D

Explanation:
The Clearing Corporation guarantees settlement (novation), reduces payments via netting, provides dispute resolution/legal enforcement (buyers/sellers don't sue each other), and calculates/controls margining. Option D is incorrect because the Clearing Corporation does not execute orders; execution is the function of the Stock Exchange/Trading Members.

NEW QUESTION # 21
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