Contains actual NISM Series VII - Securities Operations and Risk Management CertificationNISM-Series-VII NISM Series VII - Securities Operations and Risk Management Certification questions to facilitate preparation

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 2: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Topic 3: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 4: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Topic 5: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Risk management 3. Trade execution
Topic 6: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q262-Q267):

NEW QUESTION # 262
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 restricts the allocation of savings to government-backed securities only.
C. It allows savers to directly manage the administrative operations of the issuer.
D. It mandates that investors must possess surplus funds equal to the issuer's total capital.
E. It eliminates the need for financial intermediaries in the transfer of resources.

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 # 263
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A. All institutional investors including Foreign Portfolio Investors (FPIs).
B. An investor trading through different Trading Members who use different Clearing Members.
C. An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
D. An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).
E. Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.

Answer: D

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is explicitly stated that this is not available for institutional investors or PMS directed to enter into delivery backed transactions.

NEW QUESTION # 264
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 separating proprietary trading funds from client funds.
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 collecting brokerage and statutory levies from clients.
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 # 265
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A. Mandatory conversion of the clearing member to a trading-only member.
B. Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
C. Transfer of client positions to the Investor Protection Fund.
D. Seizure of the member's personal assets outside the clearing system.
E. Permanent cancellation of the certificate of registration.

Answer: B

Explanation:
Non-fulfilment of margin obligations allows the clearing agency to, at its discretion and without further notice, initiate disciplinary action inter-alia including withdrawal of trading facilities and/or clearing facility, close out of outstanding positions, imposing penalties, collecting appropriate deposits, and invoking bank guarantees/fixed deposit receipts.

NEW QUESTION # 266
For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

A. Based on 3.5 sigma scaled up by root 3.
B. Flat rate of 10% of the contract value.
C. 25% of annualized EWMA volatility subject to minimum 10%.
D. Based on 6 sigma, scaled up by √2, subject to a minimum of 14.2% of the underlying price.
E. Based on 6 sigma, scaled up by √2, subject to a minimum of 9.3% of the underlying price.

Answer: E

Explanation:
For Index Derivatives, the Price Scan Range is based on 6 sigma, scaled up by square root of 2, subject to at least of the underlying price after considering scaling up. (14.2% applies to Single Stock Derivatives).

NEW QUESTION # 267
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