NISM NISM-Series-VII Online Test | New NISM-Series-VII Test Review

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q230-Q235):

NEW QUESTION # 230
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 guarantees settlement of trades through the process of novation.
B. It reduces the number of payments due by netting transactions.
C. It calculates and controls the margining mechanism.
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 # 231
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 is declared as an 'interim' dividend rather than a 'final' dividend.
B. If the dividend amount exceeds 10% of the closing price of the scrip on the record date.
C. If the dividend yield exceeds the risk-free interest rate (MIBOR) prevailing on the declaration date.
D. If the dividend declared is more than 5% of the paid-up capital of the company.
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 # 232
Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?

A. 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
B. 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
C. 45 calendar days, with no provision for extension to ensure speedy disposal.
D. 10 calendar days, extendable by 10 calendar days upon payment of late fees.
E. 30 calendar days, extendable by 15 days upon approval by the MI.

Answer: B

Explanation:
The source states: 'Such conciliator shall conduct one or more meeting/s for the disputing parties to reach an amicable and consensual resolution within 21 calendar days (unless extended for a maximum period of 10 calendar days by consent of the disputing parties to be recorded in writing/electronically)'.

NEW QUESTION # 233
According to the SEBI framework for 'Accredited Investors', which of the following combinations of financial criteria would render an Individual, HUF, or Family Trust eligible to be recognized as an Accredited Investor?

A. Annual Income of INR 1.2 Crore and Net Worth of INR 5.5 Crore, out of which INR 3 Crore is in the form of financial assets.
B. Annual Income of INR 1.8 Crore and Net Worth of INR 3 Crore.
C. Annual Income of INR 90 Lakhs and Net Worth of INR 10 Crore, out of which INR 3 Crore is in the form of financial assets.
D. Net Worth of INR 6 Crore with no specific requirement on financial assets.
E. Net Worth of INR 8 Crore, out of which INR 2 Crore is in the form of financial assets.

Answer: A

Explanation:
To be an Accredited Investor, an entity must meet one of the following criteria: (i) Annual Income >= INR 2 Crore; (ii) Net Worth INR 7.5 Crore (with at least INR 3.75 Crore in financial assets); or (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore (with at least INR 2.5 Crore in financial assets). Option C meets criterion (iii). Option A fails (Income < 2 Cr). Option B fails (Financial Assets < 3.75 Cr). Option D fails (Net Worth < 7.5 Cr and no financial asset proof). Option E fails (Income < 1 Cr and Financial Assets < 3.75 Cr for the Net Worth only criteria).

NEW QUESTION # 234
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. Follow on Public Offer (FPO)
B. Rights Issue
C. Bonus Issue
D. Private Placement
E. Initial Public Offer (IPO)

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 # 235
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