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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
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. Different products traded 2. Various market participants and their roles
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
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 NISM-Series-VII Prüfungsfragen mit Lösungen (Q247-Q252):

247. Frage
Distinguishing the roles of market segments is vital for understanding capital formation. Which statement correctly identifies the primary interaction dynamic in the Secondary Market compared to the Primary Market?

A. It ensures availability of adequate capital at reasonable rates for expansion.
B. Dealings are strictly between two investors, and the issuer does not come into the picture.
C. The issuer has direct contact with the investor to raise new capital.
D. The settlement is always done directly between the issuer and the clearing corporation.
E. It is used primarily for Initial Public Offers (IPOs) and Rights Issues.

Antwort: B

Begründung:
The source clarifies that in the primary market, the issuer has direct contact with the investor. In contrast, in the secondary market, the dealings are between two investors and the issuer does not come into the picture. The secondary market provides liquidity/transferability to existing securities.

248. Frage
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. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
B. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
C. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
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.

Antwort: E

Begründung:
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.

249. Frage
Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?

A. To calculate the historical volatility of the most liquid securities over the past 5 years.
B. To determine the daily settlement price of illiquid futures contracts.
C. To validate the accuracy of the software used for margin calculation.
D. To identify under which market conditions and scenarios the combination of margins, Core SGF, and other financial resources would prove insufficient.
E. To test the operational capability of the backup disaster recovery site.

Antwort: D

Begründung:
The source defines Reverse stress test as: 'CC shall periodically carry out reverse stress tests designed to identify under which market conditions and under what scenarios the combination of its margins, Core SGF and other financial resources prove insufficient to meet its obligations'.

250. Frage
A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

A. 6300 contracts (Gross Buy + Gross Sell of all accounts)
B. 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)
C. 700 contracts (Net Proprietary + Net Client Position)
D. 900 contracts (Gross Proprietary + Net Client Position)
E. 500 contracts (Net Proprietary Position only)

Antwort: B

Begründung:
A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
Proprietary Net: 2000 - 1500 = +500 (Long).
ClientA Net: 1000 - 1200 = -200 (Short).
Client B Net: 500 - 100 = +400 (Long).
TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.

251. Frage
Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A. Pre-open Session
B. Continuous Trading Session
C. Early Pay-in via Block Mechanism
D. Post Close Session
E. Auction Session

Antwort: A,D,E

Begründung:
According to the source, 'Pre-open, Special Pre-open, Block window, Auction, Periodic call auction and Post close session are not applicable under T+0 settlement.' Note: While a later circular advised facilitating a block deal window, the core exclusions listed include Pre-Open, Auction, and Post Close. Continuous Trading and Early Pay-in are applicable features.

252. Frage
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