Quiz 2026 NISM NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification Valid Exam Registration

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q86-Q91):

NEW QUESTION # 86
Select the correct combination of statements regarding the expiry cycle and settlement of Long Dated Index Options and Equity Index Futures in the Indian Securities Market.

A. Statement I: All Index Futures are physically settled. Statement II: Long dated options expire on the first Thursday of the quarter.
B. Statement I: Index Futures are cash settled. Statement II: Long dated options have a maximum expiry of 12 months.
C. Statement I: All Index Futures are cash settled. Statement II: Long dated options are available up to a 5-year expiry cycle with quarterly and half-yearly expiries.
D. Statement I: Index Futures are physically settled. Statement II: Long dated options have a 3-year expiry cycle.
E. Statement I: Index Futures expire on the last Friday of the month. Statement II: Long dated options follow only a monthly expiry cycle.

Answer: C

Explanation:
The source states: 'All Index future and option contracts are cash settled.' Regarding expiry cycles: 'Monthly index contracts generally have 3-month expiry cycle except for the long dated options contracts which are available up to 5-year expiry cycle with quarterly expiries (March, June, Sept & Dec cycle) and half yearly expiries (Jun, Dec cycle).'

NEW QUESTION # 87
Under the framework of 'Interoperability among Clearing Corporations', how are the inter-Clearing Corporation exposures managed in the peer-to-peer link to ensure that a default by one Clearing Corporation does not cause financial loss to the other?

A. By netting the pay-in and pay-out obligations of the Clearing Corporations against the Investor Protection Fund.
B. By maintaining a Core Settlement Guarantee Fund (Core SGF) that is shared equally between all interoperable Clearing Corporations.
C. By maintaining sufficient collateral comprising (a) Margins as per existing Risk Management Framework and (b) Additional capital based on credit risk.
D. By creating a reserve contract for scrips exclusively listed on one exchange to be invoked at the time of outage.
E. By requiring the Stock Exchanges to act as the primary guarantor for any inter-CC default up to 50% of the Minimum Required Corpus.

Answer: C

Explanation:
To manage the inter-Clearing Corporation exposure in the peer-to-peer link, Clearing Corporations shall maintain sufficient collateral with each other. This inter-Clearing Corporation collateral comprises two components: (a) Margins as per the existing Risk Management Framework (initial margin, extreme loss margin, etc.); and (b) Additional capital, to be determined by each Clearing Corporation based on the credit risk from the linked Clearing Corporation.

NEW QUESTION # 88
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
B. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.
C. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
D. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.
E. The employee is strictly prohibited from accessing personal mail or blogs on office premises.

Answer: D

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

NEW QUESTION # 89
Under the 'Management or administration of clients portfolio' regulations, what is the specific investment limit for a portfolio manager offering **non-discretionary or advisory services** regarding **unlisted securities**?

A. They may invest or provide advice for investment up to 10% of the assets under management of such clients in unlisted securities.
B. They may invest up to 50% of the AUM in unlisted securities provided the client is a body corporate.
C. They are strictly prohibited from investing or advising on unlisted securities.
D. They may invest or provide advice for investment up to 25% of the assets under management of such clients in unlisted securities.
E. They may invest 100% of the assets in unlisted securities if the client is a High Net Worth Individual (HNI).

Answer: D

Explanation:
The regulations state: 'The portfolio manager offering non-discretionary or advisory services to clients may invest or provide advice for investment up to 25% of the assets under management of such clients in unlisted securities, in addition to the securities permitted for discretionary portfolio management.'

NEW QUESTION # 90
Which of the following services can a Depository Participant (DP) engage in, as explicitly listed in the NISM workbook? (Select all that apply)

A. Pledging of dematerialized securities & facilitating loans against shares
B. Freezing of the demat account for debits, credits, or both
C. Receiving electronic credit in respect of securities allotted by issuers under IPO
D. Issuing equity research reports for the depository
E. Underwriting of Initial Public Offers (IPOs)

Answer: A,B,C

Explanation:
The services a DP can engage into include: Receiving electronic credit in respect of securities allotted by issuers under IPO; Pledging of dematerialized securities & facilitating loans against shares; Freezing of the demat account for debits, credits, or both. Research reports and Underwriting are not listed as DP services in this section.

NEW QUESTION # 91
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