Latest NISM NISM-Series-VII Questions - Get Essential Exam Knowledge [2026]

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: 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
          Topic 2: Risk Management in Securities Markets- Risk mitigation systems
          • 1. Surveillance and compliance mechanisms
            • 2. Margins and collateral systems
              - Market and operational risk
              • 1. Types of financial risks
                • 2. Operational risk controls
                  Topic 3: Depository Operations- Corporate actions
                  • 1. Dividends, bonuses, splits
                    • 2. Record dates and entitlement processing
                      - Demat account framework
                      • 1. NSDL and CDSL roles
                        • 2. Account opening and maintenance
                          Topic 4: Securities Market Operations- Market participants and structure
                          • 1. Roles of brokers, exchanges, and investors
                            • 2. Order types and trading mechanism basics
                              - Trading process
                              • 1. Order execution and trade lifecycle
                                • 2. Trade confirmation and reporting

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q239-Q244):

                                  NEW QUESTION # 239
                                  When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

                                  Answer: C

                                  Explanation:
                                  If on the auction day, there are no sellers for a particular short delivery, the Clearing Corporation carries out a 'Close out'. The buyer is compensated by paying the value of the short delivered security at the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.


                                  NEW QUESTION # 240
                                  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?

                                  Answer: E

                                  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 # 241
                                  Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
                                  (Select all that apply)

                                  Answer: C,D,E

                                  Explanation:
                                  StatementA is correct: Dividends below 2% are ordinary and not adjusted. Statement B is correct: Total dividend amount is reduced from strike prices. Statement D is correct: If AGM changes the rate, the reference is the closing price previous to the date of the AGM. Statement C is incorrect because revised prices are applicable from the ex.dividend date. Statement E is incorrect as adjustments apply to strike prices of options as well.


                                  NEW QUESTION # 242
                                  SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

                                  Answer: A

                                  Explanation:
                                  The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'


                                  NEW QUESTION # 243
                                  For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

                                  Answer: C

                                  Explanation:
                                  The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.


                                  NEW QUESTION # 244
                                  ......

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