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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Settlement processing 3. Risk management
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q17-Q22):

NEW QUESTION # 17
Which mechanism enables the Clearing Corporation to act as a legal counterparty to all trades, thereby becoming the buyer to every seller and the seller to every buyer, to ensure settlement guarantee and manage default risks?

A. Multilateral Netting
B. Dematerialization
C. Trade Enrichment
D. Interoperability
E. Novation

Answer: E

Explanation:
The Clearing Corporation acts as a legal counterparty to all trades through the process called novation. In this process, the Clearing Corporation becomes the buyer to every seller and the seller to every buyer, ensuring settlement even if a broker/clearing member defaults.

NEW QUESTION # 18
According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?

A. Day trading (squaring off transactions intra-day)
B. Trading in the Block Deal window
C. Using the 'INST' code for order entry
D. Short selling with mandatory delivery obligation
E. Algorithmic trading using Direct Market Access

Answer: A

Explanation:
No institutional investor shall be allowed to do day trading, i.e., square off their transaction intra-day. All transactions would be grossed for institutional investors at the custodian level, and they are required to fulfill their obligation on a gross basis. Naked short selling is also prohibited.

NEW QUESTION # 19
Regarding the contributions to the Core Settlement Guarantee Fund (Core SGF), which of the following statements accurately reflects the regulatory requirements for Clearing Members (CMS) and the Clearing Corporation (CC)?

A. CC contribution shall be at least 50% of the MRC from its own funds, and CM primary contribution shall not exceed 25% of the MRC, with no exposure granted on such contribution.
B. Stock Exchanges must contribute 50% of the MRC, while CC and CMS share the remaining 50% equally.
C. CMS are required to contribute 100% of the MRC in the form of bank guarantees, while CC manages the fund without financial contribution.
D. CMS must contribute at least 50% of the MRC, and this contribution is eligible for margin exposure limits.
E. CC contribution must be at least 25% of the MRC, and CM contribution is voluntary based on trading volume.

Answer: A

Explanation:
The source states: 'CC contribution to Core SGF shall be at least 50 percent of the MRC which should be from its own funds.' And 'The total contribution from members to core SGF for each segment will not be more than 25% of MRC... No exposure shall be available to CMS on their contribution to core SGF.'

NEW QUESTION # 20
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.
B. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.
C. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
D. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
E. The employee must verify the accuracy of the news with at least two independent sources before forwarding.

Answer: B

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

NEW QUESTION # 21
To ensure a smooth settlement process in case of holidays, Clearing Corporations (CCs) are required to follow a specific operational sequence. Which of the following statements accurately describes this sequence regarding multiple settlements scheduled for the same day?

A. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.
B. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.
C. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.
D. The pay-in and pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).
E. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.

Answer: D

Explanation:
According to the guidelines for settlement in case of holidays, 'The CCs shall clear and settle the trades on a sequential basis i.e., the pay-in and the pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).'

NEW QUESTION # 22
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