NISM-Series-VII Exam Topics, NISM-Series-VII Valid Test Labs

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Clearing and Settlement- Clearing mechanisms
  • 1. Netting and settlement obligations
    • 2. Clearing corporations and counterparties
      - Settlement systems
      • 1. Margining and risk adjustments
        • 2. T+1/T+2 settlement cycles
          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
                  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- Market participants and structure
                          • 1. Order types and trading mechanism basics
                            • 2. Roles of brokers, exchanges, and investors
                              - Trading process
                              • 1. Order execution and trade lifecycle
                                • 2. Trade confirmation and reporting

                                  >> NISM-Series-VII Exam Topics <<

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q238-Q243):

                                  NEW QUESTION # 238
                                  When implementing the recommended Web Interfaces and Protocols between a Trading Web Server and Trading Client Terminals for IBT, which technical standards are suggested for adoption?

                                  Answer: B

                                  Explanation:
                                  Between a Trading Web Server and Trading Client Terminals, Interfaces Standards as per recommendations of IETF (Internet Engineering Task Force) and W3C (World Wide Web Consortium) may be adopted. E.g.: HTTP Ver 4 or above HTML Ver 4/XML.


                                  NEW QUESTION # 239
                                  Which of the following benefits is explicitly granted to 'Accredited Investors' under the 'regulation-light framework'?

                                  Answer: B

                                  Explanation:
                                  Accredited Investors are entitled to benefits such as participating in investment products with an investment amount lesser than the minimum amount mandated in the respective Regulations ('lower ticket size') and relaxation from certain regulatory requirements ('regulation-light framework')-.


                                  NEW QUESTION # 240
                                  A registered Trading Member desires to clear and settle trades executed by them on their own account as well as for their clients. However, they specifically do not intend to clear trades for 'Custodial Participants'. Which category of membership on the Clearing Corporation corresponds strictly to these operational rights and limitations?

                                  Answer: A

                                  Explanation:
                                  A Trading cum Self-Clearing Member (SCM) has trading as well as clearing rights. They are permitted to clear and settle trades executed by them only, either on their own account or on account of their clients, but not for custodian participants. In contrast, a TCM can clear for custodian participants.


                                  NEW QUESTION # 241
                                  In the context of determining the 'venue and seat' of online proceedings for a dispute between an individual investor and a listed company/intermediary, which location is deemed to be the venue and seat?

                                  Answer: A

                                  Explanation:
                                  The venue and seat of the online proceedings shall be deemed to be the place: 'In case of disputes between investor/client and listed companies... where the investor resides permanently',.


                                  NEW QUESTION # 242
                                  Which SEBI regulation lays down the general conditions for capital market issuances including Initial Public Offers (IPO), Rights Issues, and Qualified Institutional Placements (QIP)?

                                  Answer: C

                                  Explanation:
                                  The SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (ICDR Regulations) lays down general conditions for capital market issuances like public and rights issuances, preferential issues, and qualified institutional placements.


                                  NEW QUESTION # 243
                                  ......

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