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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q137-Q142):

NEW QUESTION # 137
Regarding the settlement timelines for Mutual Fund transactions executed on the Stock Exchange platform, which of the following statements accurately describes the funds pay-in requirement for subscription and the funds pay-out timeline for redemption?

A. Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+2.
B. Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+0 for Liquid funds and T+2 for Equity funds.
C. Funds pay-in for subscription: T+1 ; Funds pay-out for redemption: T+1 for all schemes.
D. Funds pay-in for subscription: T+2; Funds pay-out for redemption: T+3.
E. Funds pay-in for subscription: T+0; Funds pay-out for redemption: T+1 to T+7 depending on the scheme.

Answer: E

Explanation:
Funds pay-in for subscription are done on a T+0 day basis. The transfer of funds for redemption is carried out on a T+1 , T+2, T+3, T+4, T+5, T+6 and T+7 basis depending upon the category of scheme.

NEW QUESTION # 138
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Incorporation of the company
B. Non-payment of dividend
C. Appointment of key managerial personnel
D. Registration of the company's memorandum of association
E. Conduct of Annual General Meetings

Answer: B

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 139
A Clearing Member (CM) maintains a designated clearing account with a Clearing Bank. While the CM is permitted to deposit funds into this account in any form, which of the following specific restrictions is imposed on the withdrawal of funds from this account to ensure regulatory compliance?

A. Funds can be withdrawn directly to the client's beneficiary bank account to facilitate faster payout.
B. Funds can be withdrawn only after obtaining a 'No Objection Certificate' from the Stock Exchange.
C. Funds can be withdrawn only via physical Demand Drafts and not through electronic transfer.
D. Withdrawals are restricted to 50% of the account balance on any given trading day.
E. Funds can be withdrawn only in 'self-name' of the Clearing Member.

Answer: E

Explanation:
According to the regulations governing Clearing Members and Custodians, while a Clearing Member can deposit funds into the clearing accounts in any form, they can withdraw funds from these accounts only in self-name. This restriction helps in maintaining a clear audit trail and preventing third-party risks.

NEW QUESTION # 140
A Trading Member executes the following trades in a specific scrip on a given day:
* Buy 500 shares @ Rs. 100
* Sell 300 shares @ Rs. 105
* Buy 200 shares @ Rs. 95
What are the final Net Quantity and Net Fund obligations for the member to be settled with the Clearing Corporation?

A. Net Qty: 400 (Deliver); Net Funds: Receive Rs. 37,500
B. Net Qty: 400 (Receive); Net Funds: Pay Rs. 69,000
C. Net Qty: 400 (Receive); Net Funds: Pay Rs. 37,500
D. Net Qty: 0; Net Funds: Receive Rs. 1,500
E. Net Qty: 1000 (Receive); Net Funds: Pay Rs. 100,500

Answer: C

Explanation:
Net Quantity:
Total Buy = 500 + 200 = 700.
Total Sell = 300.
Net Qty = 700 - 300 = 400 (Buy/Receive).
Net Funds:
Outflow (Buy) = + (200*95) = 50,000 + 19,000 = Rs. 69,000.
Inflow (Sell) = 300*105 = Rs. 31 ,500.
Net Funds = Inflow - Outflow = 31 ,500 - 69,000 = -37,500.
Negative implies Pay Rs. 37,500.

NEW QUESTION # 141
The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?

A. High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
B. Non-Resident Indians (NRIs) trading through a designated stock broker.
C. Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.
D. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
E. Corporate clients trading in the derivatives segment only.

Answer: D

Explanation:
The source explicitly mentions: 'This process shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.'

NEW QUESTION # 142
......

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