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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q47-Q52):

NEW QUESTION # 47
When handling 'Trade Allocation' for institutional clients in the back office, how is a single order placed with the Custodial Participant code 'INST' processed?

A. The back office receives deal sheets from the front office and distributes the single trade across various sub-schemes of the client, generating appropriate contract notes.
B. The trade is kept in a suspense account until the Custodian confirms the trade on T+2 day.
C. The 'INST' code is replaced with the broker's proprietary account code, and the trade is settled as a proprietary trade.
D. The back office aggregates multiple 'INST' orders into a single block trade for reporting to the Exchange.
E. The trade is automatically allocated pro-rata to all active clients of the broker to ensure fair distribution.

Answer: A

Explanation:
In the case of institutional trades, the front office enters a single order with CP code 'INST'. Subsequently, based on deal sheets received from the front office, the back office user allocates the trade to individual schemes within the parent fund and generates the appropriate contract note. The broker also uploads these allocation details to the clearing corporation.

NEW QUESTION # 48
Which of the following statements accurately reflect the regulatory framework and exposure limits for Margin Trading Facility (MTF)?
(Select all that apply)

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

Answer: C,D,E

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 # 49
Under the revised framework for redressal of investor grievances through SCORES 2.0, which of the following statements accurately describe the timelines and process flows? (Select all that apply)

A. Complaints are automatically forwarded to the Securities Appellate Tribunal if not resolved within 7 days.
B. The first level of review is conducted by SEBI officials immediately upon request by the investor.
C. Entities shall resolve the complaint and upload the Action Taken Report (ATR) on SCORES within 21 calendar days of receipt of the complaint.
D. If the complainant is not satisfied with the ATR, they may request a review within 15 calendar days from the date of the ATR.
E. The Designated Body must submit the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.

Answer: C,D,E

Explanation:
Entities must resolve complaints within 21 calendar days,. Complainants can request a review within 15 calendar days of the ATR. The Designated Body must submit the revised ATR within 10 calendar days of the review sought. Option D is incorrect as auto-escalation is to the next level (Designated Body/SEBI), not SAT. Option E is incorrect as the first review is by the Designated Body.

NEW QUESTION # 50
Under the framework for Repo in Corporate Debt Securities, which of the following is strictly PROHIBITED from being used as collateral by a participant?

A. Units of Debt Exchange Traded Funds (ETFs)
B. Certificates of Deposit (CDs)
C. The participant's own securities or those of related entities
D. Commercial Papers (CPs)
E. Listed corporate bonds rated 'AA' or above

Answer: C

Explanation:
While listed corporate bonds, CPs, CDs, and Units of Debt ETFs are eligible securities for Corporate Bond Repo, participants cannot borrow against the collateral of their own securities or those of related entities.

NEW QUESTION # 51
Regarding the netting of settlement obligations for a member trading in both T+1 and T+0 cycles, which of the following statements is operationally correct?

A. Netting is permitted only for funds, while securities obligations are kept separate.
B. Netting is allowed only if the member opts for the 'Unified Settlement' facility provided by the Clearing Corporation.
C. Obligations are netted across both cycles to reduce liquidity stress.
D. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
E. Securities delivered in T+0 pay-out can be immediately netted against T+1 pay-in obligations for the same day.

Answer: D

Explanation:
The operational guidelines for the T+0 rolling settlement cycle explicitly state: 'There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.'

NEW QUESTION # 52
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