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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q320-Q325):

NEW QUESTION # 320
To provide depository services to investors, a stock broker or trading member must register as a Depository Participant (DP). Under which specific legislative framework is this registration mandated and governed?

A. The SEBI Act, 1992 and the Depositories Act, 1996
B. The Companies Act, 2013 and the Banking Regulation Act, 1949
C. The Prevention of Money Laundering Act, 2002 and SEBI (Intermediaries) Regulations, 2008
D. The Information Technology Act, 2000 and the Indian Contract Act, 1872
E. The Securities Contracts (Regulation) Act, 1956 and the RBI Act, 1934

Answer: A

Explanation:
To provide depository services, the broker or the trading member has to get registered as a depository participant of a depository as per the SEBI Act 1992 and the Depositories Act of 1996.

NEW QUESTION # 321
In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

A. A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
B. A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
C. No review option is available; the complainant must approach the civil court immediately.
D. A mandatory arbitration process initiated automatically upon dissatisfaction.
E. Two levels of review: First by the 'Designated Body' and Second by SEBI.

Answer: E

Explanation:
SCORES 2.0 provides two levels of review: First review by the 'Designated Body' if the investor is dissatisfied with the resolution provided by the concerned regulated entity. Second review by SEBI if the investor is still dissatisfied after the first review.

NEW QUESTION # 322
Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

A. Retail Individual Investors
B. High Net-worth Individuals (HNls)
C. Clients having arrangements with custodians registered with SEBI for clearing and settlement
D. Qualified Stock Brokers' proprietary trading accounts
E. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS)

Answer: C

Explanation:
The securities direct pay-out shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades. For other clients, the securities are credited directly to their demat accounts by the Clearing Corporation.

NEW QUESTION # 323
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
B. At least 20% of the listing fees received.
C. Penalty collected from Trading Members for deficiency in modification of client code.
D. Penalties collected from listed companies for non-compliance with LODR Regulations.
E. 1% of the listing fees received, on a quarterly basis.

Answer: A,C,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).

NEW QUESTION # 324
Regarding the 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?

A. Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
B. The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.
C. Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.
D. Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.
E. Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.

Answer: A

Explanation:
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. As a result, securities shall be credited to the clients' demat account on the same settlement day.

NEW QUESTION # 325
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