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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q118-Q123):

NEW QUESTION # 118
To ensure a smooth settlement process in case of holidays, Clearing Corporations (CCs) are required to follow a specific operational sequence. Which of the following statements accurately describes this sequence regarding multiple settlements scheduled for the same day?

A. The pay-out of the subsequent settlement must be completed before the pay-in of the first settlement to ensure liquidity.
B. The pay-in and pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).
C. CCs shall process all pay-ins for all scheduled settlements simultaneously before initiating any pay-outs.
D. Settlements are aggregated into a single net obligation for the entire holiday period to avoid sequential processing.
E. CCs shall prioritize the settlement with the highest volume, regardless of the chronological order of trade dates.

Answer: B

Explanation:
According to the guidelines for settlement in case of holidays, 'The CCs shall clear and settle the trades on a sequential basis i.e., the pay-in and the pay-out of the first settlement shall be completed before the commencement of the pay-in and pay-out of the subsequent settlement(s).'

NEW QUESTION # 119
Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.
B. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.
C. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
D. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.
E. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.

Answer: A

Explanation:
As per Regulation 18 of the Stock Brokers Regulations 1992 and SCRR 1957, every stock broker shall preserve the specified books of account for a minimum period of five years. Furthermore, it is advised to preserve the originals (or copies if originals are taken) of documents taken by enforcement agencies during an investigation till the trial is completed.

NEW QUESTION # 120
While Equity Derivatives generally follow a T+1 settlement cycle for daily and final settlement, which specific segment has a Final Settlement cycle of T+2 basis?

A. Stock Options (Physical Settlement)
B. Index Options
C. Index Futures
D. Currency Derivatives
E. Interest Rate Futures

Answer: D

Explanation:
The daily and final settlement of derivative trades is generally done on T+1 working day basis, except for final settlement of currency derivatives segment, where final settlement takes place on a T+2 basis.

NEW QUESTION # 121
Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

A. CM ID (Clearing Member ID)
B. TM ID (Trading Member ID)
C. Client's Bank Account Number
D. ISIN (International Securities Identification Number)
E. UCC (Unique Client Code)

Answer: A,B,D,E

Explanation:
The text states that in case of matching of all details like 'UCC, TM ID, CM ID, ISIN, quantity, settlement details etc.' of the transfer instruction with the obligation data, the instruction shall be carried out. The Client's Bank Account Number is not mentioned as a validation parameter for securities pay-in.

NEW QUESTION # 122
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+2 days
B. T+3 days
C. T+5 days
D. T+1 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 # 123
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