NISM-Series-VII Pdf Format - NISM-Series-VII Valid Test Review

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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

NEW QUESTION # 59
In the case of a **Demerger** where the conditions for re-introducing derivative contracts on the post-restructured company are met, what happens to the *existing* derivative contracts on the pre-restructured company?

A. They are suspended for 3 days and re-listed with new lot sizes on the ex-date.
B. They are automatically converted into contracts of the resultant demerged entity based on the demerger ratio.
C. They are cash-settled immediately at the average price of the last 6 months.
D. They continue to trade with adjusted strike prices until the original expiry date.
E. All existing contracts of the security shall be expired on the last cum date.

Answer: E

Explanation:
If the conditions are satisfied dealing with existing derivative contracts on the pre-restructured company, the course of action is that all existing contracts of the security shall be expired on the last cum date.

NEW QUESTION # 60
When a company announces a Bonus Issue in the ratio of A:B, specific adjustments are made to the Strike Price, Market Lot, and Position of Equity F&O contracts. Which of the following formulas correctly represents the Adjustment Factor used for these calculations?

A. (A - B) / B
B. B / (A + B)
C. A / (A + B)
D. (A * B) / (A + B)
E. (A + B) / B

Answer: E

Explanation:
For a Bonus Issue with ratio A:B, the Adjustment factor is calculated as (A+B)/B. For example, for a 1:1 bonus, A= 1, B=1, Factor = (1+1)/1 = 2. This factor is then used to divide the old strike price and multiply the old market lot/position.

NEW QUESTION # 61
Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A. For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).
B. For clients who have a credit balance of less than Rs. 10,000.
C. For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
D. For clients trading in the derivatives segment with open positions, even if they have excess free cash.
E. For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.

Answer: C

Explanation:
Such periodic settlement of running account may not be necessary for clients availing margin trading facility (MTF) as per SEBI circular, to the extent of funds/securities relating to MTF used by client. It is also not necessary for funds received in the form of BG/FDR or for institutional clients settling trades through custodians.

NEW QUESTION # 62
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. 10% of the order value
B. 20% of the shortage amount
C. 5% of the trade value
D. 2% of the order value
E. 1% of the trade value

Answer: A

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 # 63
Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A. Automatic conversion of physical shares to demat shares on the pay-in date.
B. Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
C. Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
D. Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
E. Automatic debit of the client's bank account for the value of securities short delivered.

Answer: D

Explanation:
For pay-in through NSDL/CDSL, the broker can avail of a facility wherein delivery-out instructions can be generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.

NEW QUESTION # 64
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