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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Topic 2: Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Topic 3: Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties
Topic 4: Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q308-Q313):

NEW QUESTION # 308
Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A. Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral
B. Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral
C. Client Collateral Excess Collateral of other Clients CM Proprietary Collateral
D. TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral
E. CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral

Answer: B

Explanation:
According to the margin payment and collateral segregation guidelines, on receipt of a trade from a client account by the CC, the margin shall first be blocked from the value of the client collateral. If the client collateral is not sufficient, the residual margin shall be blocked from the TM proprietary collateral. If the TM proprietary collateral is also not sufficient, then the residual margin shall be blocked from the CM proprietary collateral.

NEW QUESTION # 309
Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

A. Depositories Act, 1996
B. SEBI (Intermediaries) Regulations, 2008
C. Securities Contracts (Regulation) Rules, 1957
D. Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018
E. SEBI (Stock Brokers) Regulations, 1992

Answer: D

Explanation:
The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.

NEW QUESTION # 310
Economic efficiency in the securities market is often described by the 'decoupling' of activities. Which of the following best explains the economic impact of this decoupling as defined in the source?

A. It ensures that savers and investors are constrained by the economy's abilities rather than their individual abilities.
B. It allows savers to directly manage the administrative operations of the issuer.
C. It eliminates the need for financial intermediaries in the transfer of resources.
D. It restricts the allocation of savings to government-backed securities only.
E. It mandates that investors must possess surplus funds equal to the issuer's total capital.

Answer: A

Explanation:
The source explicitly states that securities markets provide channels for allocation of savings to investments and thereby decouple these two activities. As a result, the savers and investors are not constrained by their individual abilities, but by the economy's abilities to save and invest respectively.

NEW QUESTION # 311
To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A. T+5 days
B. T+3 days
C. T+1 days
D. T+2 days
E. T+6 days

Answer: B

Explanation:
The text states: 'The T+3 timeline for listing after the closure of public issue will be applicable for all public issues opening on or after December 1, 2023.'

NEW QUESTION # 312
Entities operating in the IFSC at GIFT City are recognized as non-resident entities under FEMA regulations. Which combination of fiscal incentives is explicitly available to these entities?

A. Exemption from Security Transaction Tax (STT), Commodity Transaction Tax (CT T), Dividend Distribution Tax (DDT), and Capital Gains waiver.
B. Rebate on Corporate Tax for the first 2 years only.
C. Exemption from GST only.
D. Exemption from Stamp Duty and Registration Fees only.
E. Waiver of Import Duty on Gold and Silver only.

Answer: A

Explanation:
The IFSC at GIFT, Gandhinagar is a deemed foreign territory where entities are recognized as non-resident entities under FEMA regulations. The benefits provided include exemptions from security transaction tax (STT), commodity transaction tax, dividend distribution tax, capital gains waiver, and no income tax.

NEW QUESTION # 313
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