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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing
Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms
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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q309-Q314):

NEW QUESTION # 309
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
B. The client must mandatorily issue a separate physical receipt instruction for every single trade.
C. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
D. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
E. Standing instructions are only valid for government securities and not for equity shares.

Answer: C

Explanation:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

NEW QUESTION # 310
With the implementation of direct pay-out of securities to client accounts by Clearing Corporations, what is the revised timing for the pay- out of securities in the T+1 rolling settlement cycle?

A. 9:00 AM on T+2 day
B. 10:30 AM on T+1 day
C. 1:30 PM on T+1 day
D. 3:30 PM on T+1 day
E. End of Day (EOD) on T day

Answer: D

Explanation:
SEBI has advised Clearing Corporations to facilitate the direct credit of pay-out securities to the respective client's demat account. As a consequence, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM.

NEW QUESTION # 311
In the context of the clearing and settlement process within the depository system, SEBI vide its circular dated June 05, 2024, mandated a significant change regarding the pay-out of securities. Which of the following statements accurately describes this revised mechanism?

A. The direct pay-out mechanism is mandatory for all clients, including those having arrangements with SEBI registered custodians.
B. Securities are held in a temporary 'Transit Account' by the Depository until the client issues a Receipt Instruction.
C. Securities for pay-out must be credited to the Clearing Member's Pool Account, who then has 24 hours to transfer them to the client.
D. Securities for pay-out shall be credited directly to the respective client's demat account by the Clearing Corporations.
E. The timing of the payout of securities remains 1 PM despite the direct credit mechanism.

Answer: D

Explanation:
SEBI vide circular dated June 05, 2024, has decided the securities for pay-out shall be credited directly to the respective client's demat account by the CCs. As a consequence, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. The direct payout shall not be applicable to clients having arrangements with custodians.

NEW QUESTION # 312
In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A. Follow on Public Offer (FPO)
B. Rights Issue
C. Bonus Issue
D. Private Placement
E. Initial Public Offer (IPO)

Answer: D

Explanation:
According to the source, resources in the primary market can be raised through a public issue or private placement. If the issue is made to a select group of people, it is termed as a Private Placement. A public issue is when anybody and everybody can subscribe. A Rights Issue is for existing shareholders, and a Bonus issue is without cost involved.

NEW QUESTION # 313
Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A. Only days when the Reserve Bank of India (RBI) is closed.
B. Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.
C. Only Saturdays and Sundays.
D. Only Exchange trading holidays.
E. Public holidays declared under the Negotiable Instruments Act only.

Answer: B

NEW QUESTION # 314
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