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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing
Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q75-Q80):

NEW QUESTION # 75
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A. Submission through the General Ledger account of the Stock Broker.
B. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).
C. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
D. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
E. Submission via the dedicated mobile application of the Registrar and Transfer Agent.

Answer: B

Explanation:
The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'

NEW QUESTION # 76
Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

A. Authorized Person
B. Only Trading Member
C. Trading Member-cum-Clearing Member (TCM)
D. Trading cum Self-Clearing Member (SCM)
E. Professional Clearing Member (PCM)

Answer: D

Explanation:
According to the market structure classifications, a Trading cum Self-Clearing Member (SCM) has both trading and clearing rights. However, they are permitted to clear and settle trades executed by them only (either on their own account or on account of their clients) and are not permitted to clear trades for custodian participants. In contrast, a Trading Member-cum-Clearing Member can clear for custodial participants, and a Professional Clearing Member has no trading rights.

NEW QUESTION # 77
Regarding the 'Default Waterfall' in the context of the Net Settlement mechanism for Cash and F&O segments, which of the following statements is correct?

A. The default waterfall is triggered only after liquidating the defaulting member's proprietary assets across all exchanges.
B. The Core Settlement Guarantee Fund (SGF) of the F&O segment is utilized first for any default arising from the net settlement obligation.
C. Default losses are covered solely by the Investor Protection Fund (IPF) in the case of net settlement defaults.
D. Clearing Corporations create a unified single default waterfall covering both segments to match the merged settlement.
E. Clearing Corporations continue to maintain segment-wise default waterfalls, and losses are computed on the basis of segment-wise obligations on a pro-rata basis.

Answer: E

Explanation:
Clearing Corporations (CCs) shall continue to settle obligations on a net basis at the CM level. Further, CCs shall continue to maintain segment-wise default waterfalls, regardless of a single settlement across segments. The losses, if any, in case of default of a CM to CC shall be computed on the basis of the segment-wise obligation of CM to CC, on a pro-rata basis.

NEW QUESTION # 78
Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A. Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
B. Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.
C. The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.
D. Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.
E. Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.

Answer: A

Explanation:
The source states: 'Clearing member can deposit fund in these accounts in any form but withdraw funds from these accounts only in self-name.' This ensures the account is used for its intended purpose of clearing and settlement.

NEW QUESTION # 79
Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A. Market makers are appointed solely by SEBI and not by the Exchanges
B. Market makers are required to provide only buy quotes to ensure exit options for investors
C. Market making is restricted to the derivatives segment only
D. Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges
E. Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges

Answer: D

Explanation:
While market making operates under guidelines, for Small and Medium Enterprise (SME) Exchanges, market making has been made mandatory in respect of all scrips listed and traded on the SME Exchange. Their main responsibility is to provide two-way (buy and sell) quotes.

NEW QUESTION # 80
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