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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Trade execution 2. Settlement processing 3. Risk management
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q319-Q324):

NEW QUESTION # 319
Which of the following instruments allow Indian companies to raise resources from international capital markets?

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

Answer: A,B,C,D

Explanation:
Indian companies can raise resources from international markets through GDRs, ADRs, FCCBs, ECBs, and Masala Bonds„,. IDRs are used by foreign companies to raise capital from Indian markets.

NEW QUESTION # 320
When a company announces a Bonus Issue in the ratio of A:B, specific adjustments are made to the Strike Price, Market Lot, and Position of Equity F&O contracts. Which of the following formulas correctly represents the Adjustment Factor used for these calculations?

A. (A * B) / (A + B)
B. (A - B) / B
C. (A + B) / B
D. A / (A + B)
E. B / (A + B)

Answer: C

Explanation:
For a Bonus Issue with ratio A:B, the Adjustment factor is calculated as (A+B)/B. For example, for a 1:1 bonus, A= 1, B=1, Factor = (1+1)/1 = 2. This factor is then used to divide the old strike price and multiply the old market lot/position.

NEW QUESTION # 321
If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A. They must obtain an indemnity bond from the investor for the full claim amount.
B. They must pay a non-refundable arbitration fee of Rs. 25,000.
C. They must provide a Bank Guarantee equivalent to 50% of the claim value.
D. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
E. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).

Answer: D

Explanation:
As per the guidelines, 'In case the Market Participant wishes to pursue online arbitration, then the Market Participant must deposit 100% of the admissible claim value with the relevant Mll prior to initiation of the online arbitration'.

NEW QUESTION # 322
Regarding the limitation period for filing complaints, what is the maximum time period from the 'date of cause of action' within which an investor must lodge a complaint on SCORES, provided they have first approached the concerned entity and are unsatisfied with the response?

A. One year
B. Six months
C. Five years
D. Three years
E. Two years

Answer: A

Explanation:
In line with enhancing ease, speed, and accuracy, the investor may lodge a complaint on SCORES within one year from the date of cause of action, provided specific conditions (like rejection by the entity or non-receipt of communication) are met.

NEW QUESTION # 323
Consider the following 'Sell' order book for a security. A new Buy Limit Order for 500 shares at a price of Rs. 121.50 is entered into the system.

Based on the price-time priority mechanism, how will this buy order be executed?

A. 200 shares @ 121.50, 200 shares @ 121.40, and 100 shares @ 121.20
B. 500 shares @ Rs. 121.50
C. The order will remain pending as the full quantity cannot be matched at a single price.
D. 50 shares @ 121.20, 100 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50
E. 150 shares @ 121.20, 200 shares @ 121.40, and 150 shares @ 121.50

Answer: D

Explanation:
The order matching is done on a price-time priority basis. The buy order matches with the best sell price first (lowest price). It matches 50 @ 121.20 (T 1), then 100 @ 121.20 (T2), then 200 @ 121.40 (T3). The remaining 150 shares are matched against the order at 121.50 (T4). The executed prices are the passive order prices (121.20, 121.40, 121.50).

NEW QUESTION # 324
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