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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q308-Q313):

NEW QUESTION # 308
A stock broker receives a request from a client to maintain a running account for funds to avoid frequent pay-ins and pay-outs. Regarding the authorization for this running account, which of the following conditions is **MANDATORY** for the broker to accept the request?

A. The authorization automatically allows the broker to transfer funds between different clients to manage temporary shortages.
B. The authorization must be signed by the client only and cannot be signed by any Authorized Person or POA holder.
C. The authorization can be signed by the Power of Attorney (POA) holder if the client is traveling abroad.
D. The authorization is valid for a lifetime unless the broker decides to revoke it due to risk management concerns.
E. The actual settlement of funds must be done at least once in a financial year.

Answer: B

Explanation:
According to the guidelines for Mode of Payment and Delivery from Clients, the authorization for maintaining a running account shall be signed by the client only and not by any Authorized Person on his behalf or any holder of the Power of Attorney. The authorization must be dated and revocable, and actual settlement must happen at least once in a calendar quarter or month.

NEW QUESTION # 309
A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A. Auto-pledge of securities in favor of the Clearing Corporation.
B. Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
C. Only by way of early pay-in (EPI) using the block mechanism.
D. Transfer to the Member Pool Account by 10:30 AM on T day.
E. Standard pay-in instruction via physical DIS submitted to the Depository Participant.

Answer: C

Explanation:
The regulations specify that pay-in for T+0 sell obligations shall be allowed only by way of early pay-in using block mechanism.

NEW QUESTION # 310
A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A. A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.
B. A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
C. A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.
D. A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.
E. The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.

Answer: B

Explanation:
Internal shortages occur when a selling client fails to deliver shares to the trading member, but due to netting (a purchase transaction by another buying client in the same security), the member has no delivery obligation to the Clearing Corporation. In such cases, the member requires shares to deliver to the buying client, and an auction (Self Auction) is conducted to procure these shares,.

NEW QUESTION # 311
The interoperability framework among Clearing Corporations (CCs) allows Clearing Members to select the CC of their choice. Which of the following products or schemes is explicitly excluded from this interoperability framework?

A. Interest Rate Derivatives
B. Equity Derivatives
C. Equity Cash Segment
D. Currency Derivatives
E. Securities Lending and Borrowing Scheme (SLB)

Answer: E

Explanation:
The interoperability framework is applicable to all recognized clearing corporations excluding those in IFSC. However, specific schemes are excluded: The Securities Lending and Borrowing Scheme (SLB), Commodity Derivatives, Tri-party repo, Offer for Sale, etc., are kept outside Inter-operability.

NEW QUESTION # 312
Stock Exchanges are mandated to maintain Investor Service Centres (ISCs) to assist investors. Which of the following is specifically listed as a mandatory facility that ISCS must provide to investors regarding the arbitration process?

A. A panel of three arbitrators physically present at the centre during market hours
B. Video-calling facility for attending online arbitration or Grievance Redressal meetings
C. Reimbursement of all travel and lodging expenses for attending hearings
D. Free legal representation by the Exchange's empanelled lawyers
E. Dedicated recording studios for documenting verbal grievances

Answer: B

Explanation:
ISCS are required to provide arbitration and appellate arbitration facility including video-calling facility to investors for attending their online arbitration (including appellate arbitration) or Grievance Redressal meetings.

NEW QUESTION # 313
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