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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Depository Operations	- Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
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 (Q83-Q88):

NEW QUESTION # 83
Based on the Securities Contract Regulation Act (SCRA), 1956, select all the instruments that are explicitly included in the definition of 'Securities' from the list below.

A. Government Securities
B. Derivatives
C. Private Promissory Notes between individuals
D. Electronic Gold Receipts
E. Zero Coupon Zero Principal Instruments

Answer: A,B,D,E

Explanation:
The definition of 'Securities' in the SCRA 1956 includes:
* Derivatives
* Government Securities
* Electronic Gold Receipts (receipt issued on basis of deposit of underlying physical gold)
* Zero Coupon Zero Principal Instruments
It also includes shares, bonds, debentures, units of MF/CIS, and Security Receipts. Private promissory notes are not listed in this definition.

NEW QUESTION # 84
Regarding participation in the International Financial Services Centres (IFSC), which of the following categories of resident investors is eligible to deal in securities listed in IFSC?

A. Only resident Qualified Institutional Buyers (QIBs).
B. Residents are strictly prohibited from dealing in securities listed in IFSC.
C. Only resident corporate entities with a net worth exceeding Rs. 100 Crore.
D. A person resident in India eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS).
E. Any resident individual irrespective of investment limit.

Answer: D

Explanation:
As per SEBI (International Financial Services Centres) Guidelines, 2015, a person resident in India who is eligible under FEMA to invest funds offshore, to the extent allowed under the Liberalized Remittance Scheme (LRS) of the Reserve Bank of India, is permitted to deal in securities listed in IFSC.

NEW QUESTION # 85
In the process of Auction of Securities, if the auction or close-out results in proceeds that exceed the claim of the aggrieved party (buyer), how is the remaining amount treated?

A. It is refunded to the defaulting selling member.
B. It is retained by the Clearing Corporation as administrative charges.
C. It is transferred to the Investor Protection Fund (IPF) of the Exchange.
D. It is shared equally between the Clearing Corporation and the aggrieved party.
E. It is credited to the Core Settlement Guarantee Fund (Core SGF).

Answer: E

Explanation:
The Proceeds from Auction or Close-out should be used to settle the claim of the aggrieved party. Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund ('Core SGF') instead of crediting it to the defaulting party's account.

NEW QUESTION # 86
The Money Market in India comprises various segments based on the tenor and type of instrument. Which of the following statements correctly describe the features of these segments/instruments? (Select all that apply)

A. Certificate of Deposits (CDs) issued by All India Financial Institutions can have a maturity period not less than 1 year and not exceeding 3 years.
B. Commercial Papers (CPs) can be issued for maturities exceeding 1 year.
C. Notice Money market involves lending and borrowing for a period between 2 days and 14 days.
D. Term Money market involves lending and borrowing for a period between 15 days and 1 year.
E. Call Money market is meant for overnight lending and borrowing.

Answer: A,C,D,E

Explanation:
Call Money is predominantly overnight. Notice Money is for 2-14 days. Term Money is for 15 days to 1 year. Certificate of Deposits (CDs) can be issued by All India Financial Institutions for a period not less than 1 year and not exceeding 3 years (Banks issue for up to 1 year). Commercial Papers (CPs) are issued for maturities between 7 days and one year; thus, option E is incorrect.

NEW QUESTION # 87
If a selling broker fails to deliver securities, the Clearing Corporation conducts an auction. If this auction remains unresolved because there are no sellers (Auction Fail), the transaction is subject to a 'Close out'. How is the close-out price calculated to compensate the buyer in such a scenario?

A. At the standard valuation price determined by the Clearing Corporation on the T+1 pay-in day.
B. At the highest price prevailing across the exchange from the day of trading up to the auction day OR 20% above the official closing price on the auction day, whichever is higher.
C. At the highest price recorded on the exchange on the trade day only, irrespective of subsequent price movements.
D. At the average weighted trade price of the security during the last 5 trading sessions plus brokerage and statutory levies.
E. At the closing price of the securities on the auction day plus a fixed penalty of 5%.

Answer: B

Explanation:
According to the close-out procedure, if on the auction day there are no sellers, the Clearing Corporation carries out a 'Close out'. In this process, the buyer is compensated by paying the value of the short delivered security at the 'highest price prevailing across the stock exchange from the day of trading till the auction/close out day or 20% above the official closing price on the auction day, whichever is higher'.

NEW QUESTION # 88
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