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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Topic 2: Securities Market Operations	- Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle
Topic 3: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Topic 4: 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 (Q181-Q186):

NEW QUESTION # 181
Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

A. High Net-worth Individuals (HNls)
B. Qualified Stock Brokers' proprietary trading accounts
C. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS)
D. Clients having arrangements with custodians registered with SEBI for clearing and settlement
E. Retail Individual Investors

Answer: D

Explanation:
The securities direct pay-out shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades. For other clients, the securities are credited directly to their demat accounts by the Clearing Corporation.

NEW QUESTION # 182
For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

A. VaR Margin + 5 times applicable Extreme Loss Margin
B. VaR Margin + 3 times applicable Extreme Loss Margin
C. Span Margin + Exposure Margin
D. 40% of the trade value irrespective ofVaR and ELM
E. VaR Margin + Extreme Loss Margin (ELM)

Answer: A

Explanation:
For Group 1 stocks other than F&O stocks and Units of Equity ETF, the applicable margin for Margin Trading Facility is VaR + 5 times of applicable Extreme Loss Margin. For Group 1 stocks available in F&O, it is VaR + 3 times ELM.

NEW QUESTION # 183
For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

A. 25% of annualized EWMA volatility subject to minimum 10%.
B. Based on 6 sigma, scaled up by √2, subject to a minimum of 14.2% of the underlying price.
C. Based on 6 sigma, scaled up by √2, subject to a minimum of 9.3% of the underlying price.
D. Based on 3.5 sigma scaled up by root 3.
E. Flat rate of 10% of the contract value.

Answer: C

Explanation:
For Index Derivatives, the Price Scan Range is based on 6 sigma, scaled up by square root of 2, subject to at least of the underlying price after considering scaling up. (14.2% applies to Single Stock Derivatives).

NEW QUESTION # 184
Regarding the 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?

A. The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.
B. Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.
C. Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.
D. Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
E. Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.

Answer: D

Explanation:
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. As a result, securities shall be credited to the clients' demat account on the same settlement day.

NEW QUESTION # 185
Under the SEBI (Foreign Portfolio Investors) Regulations, 2019, which of the following entities are classified as Category I Foreign Portfolio Investors? (Select all that apply)

A. Entities from Financial Action Task Force (FATF) member countries
B. Pension funds and university funds
C. Corporate bodies
D. Government and Government related investors
E. Charitable organizations

Answer: A,B,D

Explanation:
According to the SEBI (Foreign Portfolio Investors) Regulations, 2019, Category I FPls include Government and Government related investors (Option E), Pension funds and university funds (Option A), and Entities from FATF member countries (Option C). Charitable organizations and Corporate bodies fall under Category II.

NEW QUESTION # 186
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