NISM-Series-VII Exam Topics Pdf, NISM-Series-VII Pass4sure Dumps Pdf

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q131-Q136):

NEW QUESTION # 131
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

A. Only through the official website of the Stock Exchange.
B. Exclusively through physical contract notes sent via post.
C. Via recorded voice messages on landline telephones only.
D. Strictly through in-person meetings at the broker's branch office.
E. Through SMS on to the mobile phone.

Answer: E

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'

NEW QUESTION # 132
Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

A. Professional Clearing Member (PCM)
B. Trading Member-cum-Clearing Member (TCM)
C. Authorized Person
D. Trading cum Self-Clearing Member (SCM)
E. Only Trading Member

Answer: D

Explanation:
According to the market structure classifications, a Trading cum Self-Clearing Member (SCM) has both trading and clearing rights. However, they are permitted to clear and settle trades executed by them only (either on their own account or on account of their clients) and are not permitted to clear trades for custodian participants. In contrast, a Trading Member-cum-Clearing Member can clear for custodial participants, and a Professional Clearing Member has no trading rights.

NEW QUESTION # 133
For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?

A. It is determined by the FIMMDA / FBIL reference rate.
B. It is the weighted average price of the contract during the last half an hour of trading.
C. It is fixed at the previous day's settlement price adjusted for the risk-free interest rate.
D.
E. It is based on the closing price of the underlying security in the Capital Market Segment.

Answer: D

Explanation:

NEW QUESTION # 134
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A. By conducting an auction session on T+1 day along with the regular market auction.
B. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
C. By imposing a standard valuation debit of 20% above the closing price.
D. The trade is annulled, and the buyer is refunded the transaction amount without penalty.
E. By conducting an auction session on T+0 day at 2:30 PM.

Answer: B

Explanation:
The source states that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.'

NEW QUESTION # 135
If the Core SGF is utilized during a calendar month due to a default, specific rules apply to the replenishment of contributions by members. Which of the following is the correct restriction on such replenishment?

A. Replenishment is deferred to the next financial quarter to avoid liquidity stress on members.
B. Replenishment is voluntary and depends on the profitability of the non-defaulting members.
C. Members are liable to replenish the fund only if the default amount exceeds Rs. 100 Crore.
D. Contribution towards replenishment by members is restricted to only once during a period of 30 calendar days, regardless of the number of defaults during the period.
E. Members must replenish the fund immediately after every default without any limit on the number of times in a month.

Answer: D

Explanation:
The source states: 'However, such contribution towards replenishment of Core SGF by the members would be restricted to only once during a period of 30 calendar days regardless of the number of defaults during the period. The period of 30 calendar days shall commence from the date of notice of default...'

NEW QUESTION # 136
......

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