100% Pass 2026 NISM Efficient NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification Dumps Reviews

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q313-Q318):

NEW QUESTION # 313
A stock broker intends to provide an Internet Based Trading (IBT) facility to clients using their own infrastructure. According to the regulatory framework, what is the specific Net Worth requirement for the broker, and what is the timeline within which the Stock Exchange must communicate its decision on the application?

A. Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 15 working days.
B. Minimum Net Worth: Rs. 1 Crore; Decision Timeline: 15 calendar days.
C. Minimum Net Worth: Rs. 10 Lakhs; Decision Timeline: 7 working days.
D. Minimum Net Worth: Rs. 50 Lakhs; Decision Timeline: 7 calendar days.
E. Minimum Net Worth: Rs. 25 Lakhs; Decision Timeline: 30 working days.

Answer: D

Explanation:
The broker must have a minimum net worth of Rs.50 lacs if the broker is providing the Internet based facility on his own. The stock exchange should grant approval or reject the application as the case may be and communicate its decision to the member within 7 calendar days of the date of completed application submitted to the exchange.

NEW QUESTION # 314
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Under which of the following conditions is this benefit of netting (merged settlements) specifically available to an investor?

A. When the investor is a Portfolio Manager (PMS) directed to enter into delivery backed transactions only.
B. When the investor uses different Clearing Members for Cash and F&O segments but they are interoperable.
C. When the investor is an Institutional Investor (including FPIs) whose transactions are backed by delivery.
D. When the investor trades and clears through the same Trading Member (TM) - Clearing Member (CM) combination in both Cash and F&O segments.
E. When the investor trades in highly correlated indices across different exchanges.

Answer: D

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available for institutional investors or PMS directed to do delivery backed transactions.

NEW QUESTION # 315
When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

A. At the weighted average price of the security on the trading day plus the standard deviation margin.
B. At the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.
C. At the closing price of the security on the day of the auction plus a fixed penalty of 10%.
D. At the valuation price used for the initial valuation debit plus a 5% close-out charge.
E. At the highest price recorded for the security during the last 52 weeks.

Answer: B

Explanation:
If on the auction day, there are no sellers for a particular short delivery, the Clearing Corporation carries out a 'Close out'. The buyer is compensated by paying the value of the short delivered security at the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.

NEW QUESTION # 316
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 cash settled. Statement II: Long dated options are available up to a 5-year expiry cycle with quarterly and half-yearly expiries.
B. Statement I: Index Futures are physically settled. Statement II: Long dated options have a 3-year expiry cycle.
C. Statement I: Index Futures expire on the last Friday of the month. Statement II: Long dated options follow only a monthly expiry cycle.
D. Statement I: Index Futures are cash settled. Statement II: Long dated options have a maximum expiry of 12 months.
E. Statement I: All Index Futures are physically settled. Statement II: Long dated options expire on the first Thursday of the quarter.

Answer: A

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 # 317
Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A. It operates in Indian Rupee (INR) but is exempt from RBI regulations.
B. It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
C. It caters to domestic customers only, offering products in foreign currency.
D. It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
E. It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).

Answer: E

Explanation:
An IFSC is defined as a jurisdiction that provides world-class financial services to non-residents and residents (to the extent permissible under current regulations) in a currency other than the domestic currency (Indian rupee) of the location where the IFSC is located.

NEW QUESTION # 318
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