NISM-Series-VII Test Prep & Sample NISM-Series-VII Exam

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q231-Q236):

NEW QUESTION # 231
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To help the investor make informed investment decisions.
B. To generate additional brokerage by encouraging excessive churning of portfolios.
C. To replace the role of the Investment Adviser completely.
D. To manipulate the market price of illiquid securities.
E. To fulfill the mandatory requirement of the Companies Act, 2013.

Answer: A

Explanation:
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

NEW QUESTION # 232
In the T+1 rolling settlement cycle for institutional trades involving a Custodian, what is the specific deadline for the 'Obligation Transfer Request (OTR)' for trades where the 'INST' code was used?

A. 9:00 AM on T+1 Day
B. 8:00 PM on T Day
C. 11:00 AM on T+1 Day
D. 7:30 AM on T+1 Day
E. 4:15 PM on T Day

Answer: B

Explanation:
The general timeline for custodian-settled trades for institutional clients in T+1 rolling settlement specifies that the Obligation Transfer Request (OTR) for INST trades must be completed on T day up to 8:00 PM.

NEW QUESTION # 233
Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

A. Interoperability
B. Dematerialization
C. Multilateral Netting
D. Trade Enrichment
E. Novation

Answer: E

Explanation:
The Clearing Corporation acts as a legal counterparty to all trades through the process called novation. In this process, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, ensuring settlement even if a broker/clearing member defaults.

NEW QUESTION # 234
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?

A. Settlement for Corporate Bond Repo is guaranteed by the RBI directly, while TREPS is settled bilaterally without a central counterparty.
B. In TREPS, the seller of the security has a right to substitute the security, and funds borrowed are exempted from CRR/SLR computation.
C. Corporate Bond Repo allows participants to borrow funds against the collateral of their own securities, whereas TREPS prohibits this.
D. In TREPS, the seller cannot substitute the security during the repo period, whereas in Corporate Bond Repo, substitution is mandatory.
E. Triparty Repo on corporate bonds uses the NDS-OM platform, while Government Securities use the RFQ platform.

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 # 235
Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A. Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs
B. Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
C. Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
D. Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs
E. Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit

Answer: A

Explanation:
According to the source regarding InvlTs raising funds by way of private placement: 'The minimum investment from any investor should be of rupees one crore.' and 'In case of private placement, trading lot for the purpose of trading of units on the designated stock exchange shall Rs. 25 lakhs.'

NEW QUESTION # 236
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