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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Topic 2: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries
Topic 3: Market Microstructure	12%	- Trading mechanisms and order types - Market indices and their calculation - Price discovery and market efficiency
Topic 4: Technology in Securities Markets	8%	- Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement
Topic 5: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms
Topic 6: Investor Protection	7%	- Mechanisms for dispute resolution - Investor rights and grievances redressal - Investor education and awareness initiatives
Topic 7: Securities Market Overview	10%	- Structure and segments of Indian securities market - Market participants and their roles - Types of securities and products
Topic 8: Risk Management and Margining	18%	- Margining systems and methodologies - Types of risks in securities operations - Risk monitoring and control measures

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NISM NISM-Series-VII Valid Test Tips & Latest NISM-Series-VII Exam Objectives

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q142-Q147):

NEW QUESTION # 142
In the context of determining the 'venue and seat' of online proceedings for a dispute between an individual investor and a listed company/intermediary, which location is deemed to be the venue and seat?

A. The High Court jurisdiction where the listed company is registered.
B. The location where the Market Infrastructure Institution (Mll) is headquartered.
C. The registered office of the ODR Institution administering the dispute.
D. The location of the SEBI Regional Office nearest to the investor.
E. The place where the investor resides permanently.

Answer: E

Explanation:
The venue and seat of the online proceedings shall be deemed to be the place: 'In case of disputes between investor/client and listed companies... where the investor resides permanently',.

NEW QUESTION # 143
Which regulatory framework governs the operationalization of the Bullion Exchange, Bullion Clearing Corporation, Bullion Depository, and Vault Manager within the IFSC?

A. FEMA (Export of Goods and Services) Regulations, 2015
B. SEBI (Vault Managers) Regulations, 2021
C. SEBI (Custodian of Securities) Regulations, 1996
D. IFSCA (Bullion Exchange) Regulations, 2020
E. RBI (Gold Monetization Scheme) Directions, 2015

Answer: D

Explanation:
IFSCA (International Financial Services Centres Authority) has issued operating guidelines to enable the Bullion Exchange, Bullion Clearing Corporation, Bullion Depository, and Vault Manager in an IFSC to operationalize these activities as per the IFSCA (Bullion Exchange) Regulations, 2020.

NEW QUESTION # 144
Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. High Net Worth Individuals (HNls) who have provided a written waiver.
B. Institutional clients settling trades through custodians.
C. Clients trading in the derivatives segment only.
D. Clients who have a credit balance of less than Rs. 1 lakh.
E. Clients who have logged into their trading account at least once in the last 30 days.

Answer: B

Explanation:
Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.

NEW QUESTION # 145
The relationship between a Depository Participant (DP) and a Depository is governed by an agreement. According to the regulatory norms, where is the form of this agreement specified?

A. In the Articles of Association of the Depository Participant
B. In the SEBI (Stock Brokers) Regulations, 1992
C. In the Securities Contracts (Regulation) Rules, 1957
D. In the bye-laws of the Depository
E. In the Master Circular for Depositories issued by RBI

Answer: D

Explanation:
The relationship between the DPs and the depositories is governed by an agreement made between the two under the Depositories Act. The form of the agreement is specified in the bye-laws of the depository.

NEW QUESTION # 146
What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

A. Inter-depository transfer from the client's account to the Clearing Corporation's account.
B. Automatic sweeping of securities from the client's demat account at 1 PM.
C. Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.
D. Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.
E. Only by way of early pay-in using block mechanism.

Answer: E

Explanation:
The source specifies: 'Pay-in for T+0 sell obligations shall be allowing only by way of early pay-in using block mechanism.'

NEW QUESTION # 147
......

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