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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Topic 2: Technology in Securities Markets	8%	- Data security and business continuity - Systems for trading, clearing and settlement - Emerging technologies and their impact
Topic 3: Investor Protection	7%	- Investor education and awareness initiatives - Mechanisms for dispute resolution - Investor rights and grievances redressal
Topic 4: Securities Market Overview	10%	- Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market
Topic 5: Clearing and Settlement	15%	- Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee
Topic 6: Trading Operations	15%	- Front office functions and processes - Client onboarding and KYC norms - Order management and trade execution
Topic 7: Market Microstructure	12%	- Trading mechanisms and order types - Price discovery and market efficiency - Market indices and their calculation
Topic 8: Regulatory Framework	15%	- Compliance requirements for intermediaries - Code of conduct and ethical practices - SEBI Act, Rules and Regulations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q313-Q318):

NEW QUESTION # 313
Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

A. Whenever the account balance falls below the minimum required balance
B. Immediately upon receipt of a market rumour regarding the security
C. Upon implied consent derived from the client's trading pattern
D. Only on receipt of instructions from the beneficial owner and thereafter confirming the same to the beneficial owner
E. Based on a standing instruction from the Stock Exchange for all accounts

Answer: D

Explanation:
A participant shall register the transfer of securities to or from a beneficial owner's account only on receipt of instructions from the beneficial owner and thereafter confirm the same to the beneficial owner.

NEW QUESTION # 314
While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

A. Equity Derivatives settled physically
B. Infrastructure Investment Trusts (InvITs)
C. Commodity Derivatives
D. Real Estate Investment Trusts (REITs)
E. Ready forward contracts in debt securities

Answer: E

Explanation:
The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.

NEW QUESTION # 315
Clearing Members perform three core functions: Clearing, Settlement, and Risk Management. Which of the following activities correctly falls under the 'Risk Management' function of a Clearing Member?

A. Computing obligations of all trading members to determine positions to settle.
B. Confirming the genuineness of transaction details provided by the Clearing Corporation.
C. Setting limits based on upfront deposits/margins for each trading member/client and monitoring positions on a continuous basis.
D. Performing the actual transfer of funds and securities to the Clearing Corporation.
E. Opening demat accounts for retail clients.

Answer: C

Explanation:
The source explicitly lists the functions of Clearing Members. Under Risk Management, it lists: 'Setting limits based on upfront deposits / margins for each trading member/client and monitoring positions on a continuous basis.' Option A is the 'Clearing' function. Option B isthe 'Settlement' function.

NEW QUESTION # 316
What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A. It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.
B. It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
C. It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
D. It allows the CM to act as a Custodian for institutional clients without separate registration.
E. It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.

Answer: E

Explanation:
Inter-operability among Clearing Corporations enables a Clearing Member to select the Clearing Corporation of its choice to clear and settle trades executed in multiple exchanges. This allows market participants to consolidate their clearing and settlement functions at a single Clearing Corporation.

NEW QUESTION # 317
In certain market segments or scenarios, the Clearing Corporation bypasses the auction mechanism and directly initiates a 'Close Out' for delivery shortages. Which of the following is a specific case where this direct close-out procedure is mandated?

A. Shortages where the value is less than Rs. 1 Lakh.
B. Internal shortages within a broker's firm that could not be resolved via self-auction.
C. Shortages arising from institutional trades not confirmed by the Custodian.
D. Trades executed in the Block Deal window.
E. Shortages in liquid securities (Group l) where the impact cost is less than 1%.

Answer: D

Explanation:
The source specifies that in certain delivery shortages, the clearing corporation directly does the close-out without conducting an auction. Examples provided include 'Securities under trade for trade category, securities under corporate action, trades done on block deal window etc.'

NEW QUESTION # 318
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