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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q105-Q110):

NEW QUESTION # 105
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

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

Answer: D

Explanation:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.

NEW QUESTION # 106
Certain types of complaints fall outside the purview of the SEBI Complaints Redress System (SCORES). Which of the following is explicitly NOT dealt with through SCORES?

A. Complaints regarding unauthorized trading by a sub-broker.
B. Complaints regarding dematerialization delays by a Depository Participant.
C. Complaints against companies where a moratorium order is passed in insolvency proceedings.
D. Complaints against registered stock brokers regarding non-receipt of funds.
E. Complaints against listed companies regarding non-receipt of dividends.

Answer: C

Explanation:
At present, complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt with through SCORES. Other exclusions include complaints against unlisted/delisted companies, sub-judice cases, and those under other regulators like RBI/IRDAI.,

NEW QUESTION # 107
What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A. It allows the CM to act as a Custodian for institutional clients without separate registration.
B. It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
C. It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
D. It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
E. It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.

Answer: E

Explanation:
Inter-operability among Clearing Corporations enables a Clearing Member to select the Clearing Corporation of its choice to clear and settle trades executed in multiple exchanges. This allows market participants to consolidate their clearing and settlement functions at a single Clearing Corporation.

NEW QUESTION # 108
To participate in the trading of mutual fund units through the stock exchange trading platform, a trading member must fulfill specific criteri a. Which of the following combinations accurately represents the mandatory requirements for a trading member to place orders for a specific Mutual Fund Company?

A. Hold an AMFI Registration Number (ARN), pass the relevant NISM certification examination, and register as a distributor with the specific Mutual Fund Company.
B. Register directly with SEBI as an Investment Adviser, hold a valid ARN, and execute a Service Level Agreement with the Clearing Corporation.
C. Obtain a specific 'MF-Trading' license from the Stock Exchange, maintain a minimum net worth of Rs. 50 Lakhs, and hold a valid ARN.
D. Hold a valid SEBI Registration as a Portfolio Manager, pass the NISM Series-V-A examination, and register with the Association of Mutual Funds in India (AMFI).
E. Be a registered Depository Participant, hold a valid ARN, and have a dedicated Mutual Fund desk with at least two certified employees.

Answer: A

Explanation:
The trading members who are AMFI Registration Number (ARN) holders and have passed the NISM certification examination are permitted to participate in the trading of the mutual funds units through the exchange trading platform. Further, eligible members would have to register as distributor with the mutual fund company. Hence, eligible members would be able to place orders only in respect of Mutual Fund Companies where they have registered as distributor.

NEW QUESTION # 109
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A. Transfer of client positions to the Investor Protection Fund.
B. Seizure of the member's personal assets outside the clearing system.
C. Mandatory conversion of the clearing member to a trading-only member.
D. Permanent cancellation of the certificate of registration.
E. Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.

Answer: E

Explanation:
Non-fulfilment of margin obligations allows the clearing agency to, at its discretion and without further notice, initiate disciplinary action inter-alia including withdrawal of trading facilities and/or clearing facility, close out of outstanding positions, imposing penalties, collecting appropriate deposits, and invoking bank guarantees/fixed deposit receipts.

NEW QUESTION # 110
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NISM Certified professionals are often more sought after than their non-certified counterparts and are more likely to earn higher salaries and promotions. Moreover, cracking the NISM Series VII - Securities Operations and Risk Management Certification (NISM-Series-VII) exam helps to ensure that you stay up to date with the latest trends and developments in the industry, making you more valuable assets to your organization.

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