2026 NISM-Series-VII Study Guide | Efficient NISM-Series-VII: NISM Series VII - Securities Operations and Risk Management Certification 100% Pass

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q67-Q72):

NEW QUESTION # 67
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. Indian Depository Receipts (IDRs)
B. Foreign Currency Convertible Bonds (FCCBs)
C. Masala Bonds
D. Global Depository Receipts (GDRs)
E. External Commercial Borrowings (ECBs)

Answer: B

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 # 68
A Trading Member appointed as a syndicate member participates in the book building process for an IPO. Regarding the lifecycle and management of offers (bids) entered into the Stock Exchange system, which of the following statements accurately describes the operational parameters?

A. Offers are batched and uploaded at the end of the day, receiving a collective time stamp for the batch.
B. Offers placed in the system are automatically purged at the end of each trading session if not confirmed by the Registrar.
C. The system accepts offers only during the pre-open session of the Exchange on the issue open days.
D. Once entered and numbered, offers cannot be modified by the Trading Member; they must be cancelled and re-entered.
E. Trading Members can modify or cancel all offers placed in the system from the start till the last day of the book-building process.

Answer: E

Explanation:
As per the study material, 'All the offers placed in the system will remain outstanding till the last day of the book building process. Trading Members can modify/cancel all the offers placed in the system from the start till the last day of the book-building process.' Offers are individually numbered and time-stamped as and when received.

NEW QUESTION # 69
Regarding the execution of a 'Delivery Instruction Slip' (DIS) for debiting a beneficiary account in a depository, which of the following conditions is **MANDATORY** for the instruction to be processed?

A. The DIS must clearly indicate whether the trade is an 'off-market' trade or a 'market' trade.
B. The DIS must be physically submitted even if the client has enabled electronic DIS facilities.
C. The execution date on the DIS cannot be a future date; it must be the same as the submission date.
D. The DIS must be counter-signed by a SEBI registered official.
E. The DIS must be signed only by the primary holder in case of joint accounts.

Answer: A

Explanation:
A beneficiary account can be debited only if the beneficial owner has given 'Delivery Instruction Slip' (DIS) in the prescribed form. The DIS for an off-market trade or for a market trade has to be clearly indicated in the form by marking appropriately.

NEW QUESTION # 70
In the context of Market Participants, which of the following statements accurately characterizes the regulatory status and operational scope of a 'Custodian' in the securities market?

A. Custodians are primarily responsible for executing trades on the exchange floor.
B. Custodians are Clearing Members (like PCMs) but do not possess trading rights.
C. Custodians automatically act as the counterparty for all institutional trades.
D. Custodians are registered as Trading Members but outsource clearing to PCMs.
E. Custodians are exempt from registration with SEBI if they are registered banks.

Answer: B

Explanation:
Custodians are defined as entities that settle trades on behalf of the clients of trading members. They are classified as Clearing Members (similar to Professional Clearing Members) but they do not have trading rights. They require specific registration with SEBI to provide custodial services.

NEW QUESTION # 71
A Trading Member (TM) has the following positions in a specific stock futures contract at the end of a trading day:
Proprietary Account: Buy 2000, Sell 1500
Client A: Buy 1000, Sell 1200
Client B: Buy 500, Sell 100
Based on the methodology for determining the open positions of clearing members in the derivatives segment, what is the TM's 'Open Position' for this contract?

A. 1100 contracts (Net Proprietary + Absolute Net Client Long + Absolute Net Client Short)
B. 500 contracts (Net Proprietary Position only)
C. 900 contracts (Gross Proprietary + Net Client Position)
D. 6300 contracts (Gross Buy + Gross Sell of all accounts)
E. 700 contracts (Net Proprietary + Net Client Position)

Answer: A

Explanation:
A trading member's open position is arrived at by summing up his proprietary and client's open positions. Proprietary positions are calculated on a net basis (Buy - Sell). Client positions are netted at the client level (contract level) and then added up across clients (without netting between clients).
Proprietary Net: 2000 - 1500 = +500 (Long).
ClientA Net: 1000 - 1200 = -200 (Short).
Client B Net: 500 - 100 = +400 (Long).
TM Open Position = Proprietary Open Position (500) + Client Open Long (400) + Client Open Short (200) = 1100 contracts.

NEW QUESTION # 72
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