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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 2: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Topic 3: Investor Grievance Redressal	- Process of investor grievances redressal 1. Procedures for handling complaints 2. Regulatory requirements
Topic 4: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
Topic 5: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 6: 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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q310-Q315):

NEW QUESTION # 310
To ensure compliance with Margin Trading Facility (MTF) regulations, stock brokers are required to submit a certificate to the exchange.
What is the frequency and timeline for this submission?

A. Event-based; within 7 days of exceeding the exposure limits.
B. Annually; along with the Annual Returns by October 31st.
C. Half-yearly; within one month from the half-year ending 31st March and 30th September.
D. Monthly; by the 7th of the succeeding month.
E. Quarterly; within 15 days from the end of the quarter.

Answer: C

Explanation:
The books of accounts with respect to MTF shall be audited on a half-yearly basis. The stock broker shall submit an auditor's certificate to the exchange, within one month from the date of the half year ending 31st March and 30th September of a year.

NEW QUESTION # 311
Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

A. Issuance of Indian Currency
B. Margin funding
C. Investment advice & Research reports
D. Mobile trading & Smart Order Routing (SOR)
E. Internet-based Online Trading (IBT)

Answer: B,C,D,E

Explanation:
The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.

NEW QUESTION # 312
Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
B. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
C. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
D. The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
E. Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.

Answer: E

Explanation:
Clearing Corporations (CCs) shall continue to settle obligations on a net basis at the CM level. Further, CCs shall continue to maintain segment-wise default waterfalls, regardless of a single settlement across segments. The losses, if any, in case of default of a CM to CC shall be computed on the basis of the segment-wise obligation of CM to CC, on a pro-rata basis.

NEW QUESTION # 313
Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
B. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.
C. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
D. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.
E. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.

Answer: B

Explanation:
As per Regulation 18 of the Stock Brokers Regulations 1992 and SCRR 1957, every stock broker shall preserve the specified books of account for a minimum period of five years. Furthermore, it is advised to preserve the originals (or copies if originals are taken) of documents taken by enforcement agencies during an investigation till the trial is completed.

NEW QUESTION # 314
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. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
B. Standing instructions are only valid for government securities and not for equity shares.
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. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
E. The client must mandatorily issue a separate physical receipt instruction for every single trade.

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 # 315
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