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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. Record dates and entitlement processing 2. Dividends, bonuses, splits
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
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 (Q244-Q249):

NEW QUESTION # 244
In the context of Interest Rate Derivatives traded on Indian exchanges, specifically for single bond futures on Government of India (GOI) securities, how is the final settlement price determined if the liquidity criteria in the underlying bond are not met during the last two hours of trading?

A. It is based on the polling of prices from the top 5 Primary Dealers if less than 10 trades are executed on the exchange.
B. It is calculated based on the Value Weighted Average Price (VWAP) of the underlying bond executed during the last 30 minutes of trading on the NDS-OM platform.
C. If less than 5 trades are executed in the underlying bond during the last two hours, the FIMMDA/FBIL price shall be used.
D. It is the simple average of the best bid and ask prices available on the NDS-OM platform at 5:00 PM.
E. It is derived from the theoretical price formula: Cash Price + Financing Cost - Income on cash position.

Answer: C

Explanation:
According to the product specifications for Interest Rate Derivatives, the final settlement price for single bond futures is the value weighted average price of the underlying bond based on prices during the last two hours of trading on NDS-OM. However, a specific fallback exists: 'If less than 5 trades are executed in the underlying bond during the last two hours of trading, then FIMMDA/FBIL price shall be used for final settlement.'

NEW QUESTION # 245
Which international capital market instrument issued by Indian companies is subscribed to by a non-resident in foreign currency and carries a fixed interest rate with a conversion feature?

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

Answer: A

Explanation:
Foreign Currency Convertible Bonds (FCCBs) are bonds issued by Indian companies and subscribed to by a non-resident in foreign currency. They carry a fixed interest or coupon rate and are convertible into a certain number of ordinary shares at a predetermined price,.

NEW QUESTION # 246
According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A. 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
B. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
C. There is no fee for trade annulment if the request is submitted within 30 minutes.
D. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
E. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.

Answer: A

Explanation:
As per SEBI guidelines on Trade Annulment, Stock exchanges shall charge an application fee equal to 5% of the value of trade(s) for accepting an annulment request from a stock broker, subject to a minimum fee of? 1 lakh and maximum fee of ? 10 lakhs. The amount realised is credited to the Investor Protection Fund.

NEW QUESTION # 247
SEBI has formalized a Risk Based Supervision (RBS) model for market intermediaries. Which of the following sequences correctly identifies the four distinct steps of this supervision model?

A. Risk Assessment -> Assigning Risk & Impact Rating -> Determining Supervisory Risk Rating Score -> Supervisory Approach
B. Data Collection -> Compliance Check -> Risk Scoring -> Inspection
C. Client Profiling -> Transaction Monitoring Risk Rating -> Surveillance Action
D. Risk Identification -> Risk Analysis -> Risk Mitigation -> Risk Reporting
E. Internal Audit External Audit -> Risk Classification -> Penalty Determination

Answer: A

Explanation:
The Risk Based Supervision model follows four distinct steps: a. Risk Assessment, b. Assigning Risk & Impact Rating, c. Determining Supervisory Risk Rating Score, and d. Supervisory Approach. This model divides entities into risk groups (very low to high) to determine the quantum of supervision.

NEW QUESTION # 248
Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant must obtain a 'No Objection Certificate' from SEBI.
B. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
C. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
D. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
E. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.

Answer: E

Explanation:
According to the source, 'The concerned Market Participant may also initiate dispute resolution through the ODR Portal after having given due notice of at least 15 calendar days to the investor/client for resolution of the dispute which has not been satisfactorily resolved between them'.

NEW QUESTION # 249
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