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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q175-Q180):

NEW QUESTION # 175
Various intermediaries play specific roles in the securities ecosystem. Which specific group of intermediaries is described as providing 'important infrastructure services' to both the primary and secondary markets?

A. Merchant Bankers and Underwriters
B. Foreign Portfolio Investors (FPls) and Mutual Funds
C. Investment Advisors and Research Analysts
D. Registrars and Transfer Agents, Custodians, and Depositories
E. Stock Brokers and Sub-brokers

Answer: D

Explanation:
The source specifically identifies Registrars and Transfer Agents, Custodians, and Depositories as capital market intermediaries which provide important infrastructure services to both the primary and secondary markets.

NEW QUESTION # 176
Under the 'Management or administration of clients portfolio' regulations, what is the specific investment limit for a portfolio manager offering **non-discretionary or advisory services** regarding **unlisted securities**?

A. They may invest or provide advice for investment up to 10% of the assets under management of such clients in unlisted securities.
B. They are strictly prohibited from investing or advising on unlisted securities.
C. They may invest or provide advice for investment up to 25% of the assets under management of such clients in unlisted securities.
D. They may invest up to 50% of the AUM in unlisted securities provided the client is a body corporate.
E. They may invest 100% of the assets in unlisted securities if the client is a High Net Worth Individual (HNI).

Answer: C

Explanation:
The regulations state: 'The portfolio manager offering non-discretionary or advisory services to clients may invest or provide advice for investment up to 25% of the assets under management of such clients in unlisted securities, in addition to the securities permitted for discretionary portfolio management.'

NEW QUESTION # 177
What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?

A. 09:15AM to 12:30 PM
B. 09:00 AM to 3:30 PM
C. 10:00 AM to 2:00 PM
D. 09:15AM to 1:30 PM
E. 09:15 AM to 3:30 PM

Answer: D

Explanation:
The Trade Timings for the T+0 rolling settlement cycle are defined as one continuous trading session from 09:15 AM to 1:30 PM.

NEW QUESTION # 178
Under the framework of 'Interoperability among Clearing Corporations', how are the inter-Clearing Corporation exposures managed in the peer-to-peer link to ensure that a default by one Clearing Corporation does not cause financial loss to the other?

A. By netting the pay-in and pay-out obligations of the Clearing Corporations against the Investor Protection Fund.
B. By maintaining sufficient collateral comprising (a) Margins as per existing Risk Management Framework and (b) Additional capital based on credit risk.
C. By maintaining a Core Settlement Guarantee Fund (Core SGF) that is shared equally between all interoperable Clearing Corporations.
D. By creating a reserve contract for scrips exclusively listed on one exchange to be invoked at the time of outage.
E. By requiring the Stock Exchanges to act as the primary guarantor for any inter-CC default up to 50% of the Minimum Required Corpus.

Answer: B

Explanation:
To manage the inter-Clearing Corporation exposure in the peer-to-peer link, Clearing Corporations shall maintain sufficient collateral with each other. This inter-Clearing Corporation collateral comprises two components: (a) Margins as per the existing Risk Management Framework (initial margin, extreme loss margin, etc.); and (b) Additional capital, to be determined by each Clearing Corporation based on the credit risk from the linked Clearing Corporation.

NEW QUESTION # 179
A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?

A. Standing Instructions are valid only for off-market transfers and not for market trades.
B. Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).
C. Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
D. If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.
E. The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).

Answer: D

Explanation:
The transferee has to submit Receipt Instruction to receive securities into his account. However, for the convenience of investor, transferee can give 'Standing Instructions' (SI) to its DP for receiving in securities. If OSI' is not given, then the transferee has to give separate instructions each time for receiving the securities.

NEW QUESTION # 180
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