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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Topic 2: Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Topic 3: Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Topic 4: 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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q249-Q254):

NEW QUESTION # 249
Stock brokers are permitted to borrow funds for providing Margin Trading Facility (MTF) from specific sources. Which of the following sources is explicitly prohibited for raising funds for MTF?

A. Unsecured long-term loans from promoters and directors.
B. Borrowing from Non-Banking Financial Companies (NBFCs) regulated by RBI.
C. Borrowing from Scheduled Commercial Banks.
D. Issuance of Commercial Paper (CP) subject to RBI guidelines.
E. Using surplus funds of one client to provide margin trading facility to another client.

Answer: E

Explanation:
The stock broker shall not use the funds of any client for providing the margin trading facility to another client, even if the same is authorized by the first client. Permitted sources include own funds, banks, NBFCs, CPs, and loans from promoters/directors.

NEW QUESTION # 250
Which of the following instruments allows foreign companies to raise capital directly from the Indian securities market in Indian Rupees?

A. Foreign Currency Convertible Bonds (FCCBs)
B. Global Depository Receipts (GDRs)
C. External Commercial Borrowings (ECBs)
D. Indian Depository Receipts (IDRs)
E. American Depository Receipts (ADRs)

Answer: D

Explanation:
Foreign companies can raise capital from Indian markets by issuing IDR (Indian Depository Receipts). This will be in rupee terms. ADRs and GDRs are for Indian companies raising funds abroad,.

NEW QUESTION # 251
According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A. From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
B. Only from the Securities and Exchange Board of India (SEBI)
C. From the Registrar of Companies (ROC) where the company is registered
D. From the stock exchange with the highest trading volume in the previous financial year
E. From any one recognized stock exchange having nationwide trading terminals

Answer: A

Explanation:
As per the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, if a company is not listed on any exchange having nationwide trading terminals, the in-principle approval is required from all the stock exchange(s) in which the securities of the issuer are proposed to be listed.

NEW QUESTION # 252
The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

A. OTC markets use a centralized Clearing Corporation to guarantee all trades.
B. Exchange Traded Markets allow buyers and sellers to know each other's identity directly.
C. OTC markets are informal markets where trades are negotiated and settled bilaterally.
D. OTC markets consist of standardized contracts traded on a screen-based system.
E. Exchange Traded Markets do not adhere to a fixed time schedule for settlement.

Answer: C

Explanation:
The source states that OTC markets are informal markets where trades are negotiated, traded over the counter, and settled bilaterally. In contrast, the Exchange Traded Market uses a Clearing Corporation which acts as a counterparty and guarantees settlement, and buyers and sellers do not know each other.

NEW QUESTION # 253
Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?

A. If the Early Pay-In (EPI) benefit has already been provided by the Clearing Corporation to the client for those securities.
B. If the block was created using a physical Delivery Instruction Slip (DIS) instead of eDlS.
C. If the market price of the security increases by more than 5% during the trading day.
D. If the client has an outstanding margin obligation in the derivatives segment.
E. If the Trading Member has not yet transferred the securities to the Clearing Member's pool account.

Answer: A

Explanation:
The regulations stipulate that the Broker or client shall not be allowed to unblock securities if the Early Pay-In (EPI) benefit is provided by the Clearing Corporation to the client for the same.

NEW QUESTION # 254
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