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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing
Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations

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

NEW QUESTION # 231
Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

A. Stock brokers must obtain prior permission from the exchange before offering MTF.
B. Stock brokers shall disclose gross exposure towards MTF to the Stock Exchanges on or before 6:00 PM on T+1 day.
C. Exposure to any single client at any point of time shall not exceed 20% of the broker's maximum allowable exposure.
D. Only corporate brokers with a net worth of at least Rs. 3 crore are eligible to provide MTF.
E. Collateral and Funded stocks need not be marked to market daily if they are Group 1 securities.

Answer: A,B,D

Explanation:
Statement A is correct (Net worth min Rs. 3 Cr). Statement C is correct (Prior permission required). Statement E is correct (Disclosure by 6 PM on T+1 day). Statement B is incorrect because the single client exposure limit is 10%, not 20%. Statement D is incorrect because Collateral and Funded stocks shall be marked to market on a daily basis.

NEW QUESTION # 232
Regarding the utilization of proceeds generated from an Auction or Close-out procedure, what is the regulatory requirement for handling any residual amount remaining after settling the claim of the aggrieved party?

A. It is transferred to the SEBI General Fund.
B. It is returned to the defaulting member after deducting a 1% processing fee.
C. It must be credited to the Investor Protection Fund (IPF) of the Exchange.
D. It is distributed equally among all non-defaulting clearing members.
E. It should be credited to the Core Settlement Guarantee Fund (Core SGF).

Answer: E

Explanation:
The proceeds from Auction or Close-out should be used to settle the claim of the aggrieved party. Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund ('Core SGF') instead of crediting it to the defaulting party's account.

NEW QUESTION # 233
Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A. For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.
B. Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
C. The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
D. Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.
E. The adjustments for corporate actions would be carried out on all open positions.

Answer: C,D,E

Explanation:
Statement A is correct regarding the basic premise of value continuity. Statement C is correct regarding the variables adjusted. Statement E is correct that it applies to open positions. Statement B is incorrect because adjustments apply to all positions, not just ITM. Statement D is incorrect because for Bonus issues, the new strike price is arrived at by *dividing* (not multiplying) the old strike price by the adjustment factor.

NEW QUESTION # 234
In the context of 'Network Security' for Internet Based Trading systems, specific measures are mandatory to protect the exchange connectivity. Which of the following accurately describes the requirement regarding Firewalls and Server Access?

A. Firewalls must be placed only at the client terminal end; Server access requires a static IP address without SSL.
B. Firewalls are optional if 2FA is implemented; Server access must use HTTP protocol.
C. Suitable Firewalls must be placed between the Internet trading set-up and the trading set-up directly connected to the Exchange; Server access must use Secured Socket Level Security.
D. Firewalls are required only for Wireless Trading; Server access must use simple text authentication.
E. Suitable Firewalls must be placed between the broker's back office and the Internet; Server access must use VPN only.

Answer: C

Explanation:
The mandatory security features include: Secured Socket Level Security for server access through Internet and Suitable Firewalls between trading set-up directly connected to an Exchange trading system and the Internet trading set-up.

NEW QUESTION # 235
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. 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.
B. 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.
C. The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
D. 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.
E. 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).

Answer: A,B,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 # 236
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