NISM-Series-VII Regualer Update - Your Wisest Choice to Pass NISM Series VII - Securities Operations and Risk Management Certification

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: 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
          Topic 2: 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
                  Topic 3: Risk Management in Securities Markets- Market and operational risk
                  • 1. Types of financial risks
                    • 2. Operational risk controls
                      - Risk mitigation systems
                      • 1. Surveillance and compliance mechanisms
                        • 2. Margins and collateral systems
                          Topic 4: Securities Market Operations- Market participants and structure
                          • 1. Order types and trading mechanism basics
                            • 2. Roles of brokers, exchanges, and investors
                              - Trading process
                              • 1. Order execution and trade lifecycle
                                • 2. Trade confirmation and reporting

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q193-Q198):

                                  NEW QUESTION # 193
                                  Economic efficiency in the securities market is often described by the 'decoupling' of activities. Which of the following best explains the economic impact of this decoupling as defined in the source?

                                  Answer: B

                                  Explanation:
                                  The source explicitly states that securities markets provide channels for allocation of savings to investments and thereby decouple these two activities. As a result, the savers and investors are not constrained by their individual abilities, but by the economy's abilities to save and invest respectively.


                                  NEW QUESTION # 194
                                  Which of the following statements accurately describe the application of the 'Close Out' procedure by the Clearing Corporation? (Select all that apply)

                                  Answer: B,D,E

                                  Explanation:
                                  Option A is correct: Close out happens if auction finds no sellers. Option B is correct: Securities in trade for trade are directly closed out. Option D is correct: Securities under corporate action are directly closed out. Option C is incorrect because surplus is credited to Core SGF. Option E is incorrect because the price formula involves highest price or 20% mark-up.


                                  NEW QUESTION # 195
                                  In the context of the clearing and settlement process within the depository system, SEBI vide its circular dated June 05, 2024, mandated a significant change regarding the pay-out of securities. Which of the following statements accurately describes this revised mechanism?

                                  Answer: B

                                  Explanation:
                                  SEBI vide circular dated June 05, 2024, has decided the securities for pay-out shall be credited directly to the respective client's demat account by the CCs. As a consequence, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. The direct payout shall not be applicable to clients having arrangements with custodians.


                                  NEW QUESTION # 196
                                  Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

                                  Answer: C

                                  Explanation:
                                  The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.


                                  NEW QUESTION # 197
                                  Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

                                  Answer: A,B,C,E

                                  Explanation:
                                  The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.


                                  NEW QUESTION # 198
                                  ......

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