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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
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
Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
Risk Management- Risk management in a securities broking firm
  • 1. Compliance and control measures
  • 2. Identifying and mitigating risks
Securities Broking Operations- Front Office, Middle Office and Back Office functions in a Securities Broking Firm
  • 1. Trade execution
  • 2. Settlement processing
  • 3. Risk management
Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints
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 認定 NISM-Series-VII 試験問題 (Q34-Q39):

質問 # 34
Under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to the Securities Market) Regulations, 2003, specific activities are defined as manipulative or unfair. Which of the following scenarios describes 'Front Running', a prohibited practice under these regulations?

正解：B

解説：
Front running involves the usage of non-public information to directly or indirectly buy or sell securities in advance of a substantial order, anticipating that the price may change when the information (the order) becomes public. This gives the broker an unfair advantage.


質問 # 35
Which SEBI regulation lays down the general conditions for capital market issuances including Initial Public Offers (IPO), Rights Issues, and Qualified Institutional Placements (QIP)?

正解：B

解説：
The SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018 (ICDR Regulations) lays down general conditions for capital market issuances like public and rights issuances, preferential issues, and qualified institutional placements.


質問 # 36
When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

正解：A、C、D

解説：
In Risk Reduction Mode: 1) All unexecuted orders shall be cancelled. 2) Only orders with Immediate or Cancel attribute shall be permitted. 3) Fresh order placed by member to reduce the open position will be accepted. Option D is incorrect because non-margined orders shall *not* be accepted. Option E is incorrect because Client and Custodial Participant code modification shall *not* be permitted.


質問 # 37
What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

正解：A

解説：
The Trade Timings for the T+0 rolling settlement cycle are defined as one continuous trading session from 09:15 AM to 1:30 PM.


質問 # 38
Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

正解：A

解説：
The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'


質問 # 39
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