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NISM NISM-Series-VII Exam Syllabus Topics:

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

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q277-Q282):

                                  NEW QUESTION # 277
                                  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?

                                  Answer: D

                                  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 # 278
                                  According to the Securities Contracts (Regulation) Act, 1956 (SCRA), the definition of 'Securities' has been expanded to include various instruments. Which of the following specific instruments is explicitly included in this definition as per the Act?

                                  Answer: D

                                  Explanation:
                                  As per the definition of 'Securities' in the Securities Contract Regulation Act (SCRA), 1956, the term includes 'Electronic Gold Receipt', which means an electronic receipt issued on the basis of deposit of underlying physical gold in accordance with regulations made by SEBI. It also includes Zero Coupon Zero Principal Instruments, among others like shares, bonds, and derivatives.


                                  NEW QUESTION # 279
                                  Stock Exchanges are required to jointly issue an annual calendar for the settlement of running accounts. According to the regulations, on which specific days of the month/quarter is the settlement of running accounts scheduled to take place?

                                  Answer: E

                                  Explanation:
                                  To ensure uniformity and clarity, settlement of running account shall be settled on the "first Friday and/or Saturday" of every month/quarter. Stock exchanges issue the annual calendar for this purpose.


                                  NEW QUESTION # 280
                                  To manage firm-level exposure, a broking firm must employ specific procedures. Which of the following activities is primarily associated with the 'Assessment of the Effectiveness of the Strategies, Policies and Procedures' in the risk management function?

                                  Answer: E

                                  Explanation:
                                  The source states that regarding the assessment of the effectiveness of strategies, policies and procedures: 'Material changes to methodologies, models, and assumptions of risk management and control policies should be reviewed by the governing body.' It also involves considering results of established policies and changes in business activities/markets.


                                  NEW QUESTION # 281
                                  In the context of the Block Mechanism for sale transactions, which of the following statements accurately describes the permissible flow of securities for **matched orders** up to the pay-in day?

                                  Answer: C

                                  Explanation:
                                  For matched orders, blocked securities are debited from the Client's demat account and credited to the linked TM Pool account up to the pay-in day. The TM shall further transfer such securities to the CM Pool account. Crucially, pool-to-pool transfers except from TM pool to CM pool are not permitted.


                                  NEW QUESTION # 282
                                  ......

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