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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q97-Q102):

NEW QUESTION # 97
Regarding the operational parameters for the beta version of the T+0 rolling settlement cycle, how is the price band determined and re-calibrated during the trading session?

A. It is fixed at +1-5% of the previous day's closing price without any intraday recalibration.
B. It mirrors the price band of the T+1 market exactly, including any circuit breaker halts.
C. It is set at +1- 10% of the opening price of the T+0 market and remains static throughout the continuous trading session.
D. It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
E. It is dynamically linked to the futures market price with a variance of 0.5%.

Answer: D

Explanation:
According to the source, the price in the T+0 segment will operate with a price band of +100 basis points from the price in the regular T+1 market. This band will be re-calibrated after every 50 basis points movement in the underlying T+1 market.

NEW QUESTION # 98
Under the 'Block Mechanism' in demat accounts for sale transactions, what is the specific operational protocol regarding the movement and unblocking of shares if the sale transaction is **not** executed on the trade day (T day)?

A. Shares are automatically transferred to the Trading Member's pool account and returned to the client on T+1 day.
B. Shares remain blocked until the client explicitly submits a cancellation instruction via the depository participant.
C. Shares are transferred to the Clearing Corporation's settlement pool and returned only after the auction session on T+1 .
D. Shares are debited from the client's account and held in a suspense account by the Depository until the next trading session.
E. Shares continue to remain in the client's demat account and will be unblocked at the end of the T day.

Answer: E

Explanation:
According to the block mechanism framework, if a sale transaction is not executed, the shares shall continue to remain in the client's demat account and will be unblocked at the end of the T day. This eliminates the movement of shares from the client's demat account for early pay- in and back if the trade is not executed.

NEW QUESTION # 99
If a client submits a transfer instruction where the quantity is *less* than the net delivery obligation provided by the Clearing Corporation, what is the outcome of the validation process by the Depositories?

A. The instruction is rejected because it does not fully meet the obligation.
B. The instruction is held in abeyance until a supplementary instruction for the balance quantity is received.
C. The instruction is processed, but a penalty is automatically levied on the client for short delivery.
D. The instruction is routed to the Clearing Member for manual approval before processing.
E. The instruction is carried out by the depositories.

Answer: E

Explanation:
As per the validation logic: 'If the quantity in instruction is less than the obligation provided by CC, then the instruction will be carried out by the depositories.'

NEW QUESTION # 100
Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

A. Special Reports to cater to needs of some investors
B. High-Frequency Arbitrage Reports
C. Stock Research
D. Daily/weekly/fortnightly/monthly newsletters
E. Fundamental Research

Answer: B

Explanation:
The source explicitly lists the following types of reports: "Fundamental Research, Stock Research, Daily/weekly/fortnightly/monthly newsletters, Special Reports to cater to needs of some investors, and Sector Reports* *. 'High-Frequency Arbitrage Reports' is not mentioned in this list.

NEW QUESTION # 101
Apart from the primary clearing account, a Clearing Member is permitted to maintain an 'additional clearing account' with a designated clearing bank. For what specific operational purposes is this additional account utilized?

A. For collecting brokerage and statutory levies from clients.
B. For receiving dividend payments from listed companies on behalf of clients.
C. For the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.
D. For separating proprietary trading funds from client funds.
E. For settlement of commodities derivatives trades only.

Answer: C

Explanation:
The regulations specify that a Clearing Member can maintain and operate an additional clearing account with a designated clearing bank specifically for the purpose of enhancement of collateral in the form of cash and providing early pay-in of funds.

NEW QUESTION # 102
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