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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Types of financial risks 2. Operational risk controls
Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q59-Q64):

NEW QUESTION # 59
In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

A. By 1:30 PM on T+1 Day
B. By 4:15 PM on T Day
C. By 7:30 AM on T+1 Day
D. By 9:00 AM on T+1 Day
E. By 11:00 AM on T+1 Day

Answer: C

Explanation:
According to the general clearing process for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Following this, the Clearing Corporation performs multilateral netting and downloads final obligations by 9:00 a.m.

NEW QUESTION # 60
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
B. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
C. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
D. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.
E. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.

Answer: D

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

NEW QUESTION # 61
Why are Institutional Investors (including Foreign Portfolio Investors) explicitly excluded from the mechanism of Net Settlement of cash segment and physical settlement of F&O segment upon expiry?

A. Because they are not required to pay margins in the F&O segment.
B. Because they trade through Custodians who do not have clearing rights in the F&O segment.
C. Because their trading volumes are too high to be accommodated in a net settlement process.
D. Because the extant regulatory framework specifies that all transactions by institutional investors in the cash market should be backed by delivery.
E. Because they are subject to different tax treaties which prevent segment-wise netting.

Answer: D

Explanation:
Netting of settlement obligations of cash segment and physical settlement of F&O segment shall not be available for the institutional investors (including all categories of FPIs) since the extant regulatory framework specifies that all transactions by the institutional investors (including all categories of Foreign Portfolio Investors) in cash market should be backed by delivery.

NEW QUESTION # 62
According to the eligibility criteria for 'Accredited Investors' in the Indian securities market, which of the following financial profiles satisfies the requirements for an Individual or HUF to obtain accreditation?

A. Net Worth 2 INR 5 Crore, with no specific requirement for financial assets
B. Annual Income 2 INR 1 Crore AND Net Worth 2 INR 3 Crore
C. Annual Income INR 2 Crore, irrespective of Net Worth composition
D. Annual Income 2 INR 50 Lakhs AND Net Worth INR 5 Crore
E. Net Worth 2 INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets

Answer: E

Explanation:
As per the eligibility criteria for Accredited Investors, an Individual, HIJF, Family Trust, or sole proprietorship must meet one of the following: (i) Annual Income >= INR 2 Crore; OR (ii) Net Worth >= INR 7.5 Crore, out of which at least INR 3.75 Crore is in the form of financial assets; OR (iii) Annual Income >= INR 1 Crore + Net Worth >= INR 5 Crore, out of which at least INR 2.5 Crore is in the form of financial assets.

NEW QUESTION # 63
According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

A. 5% of the trade value
B. 2% of the order value
C. 10% of the order value
D. 20% of the shortage amount
E. 1% of the trade value

Answer: C

Explanation:
The source explicitly lists the contributions to the IPF. One such contribution is: 'Penalty collected from TMs for default in pay-in by an investor in an Offer For Sale (OFS) transaction - 10% of the order value.'

NEW QUESTION # 64
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