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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Trade Life Cycle- Steps and participants involved in the trade life cycle
  • 1. Clearing and settlement process
  • 2. Role of the back office in a securities broking firm
Topic 2: Indian Securities Market- Overview of the Indian securities market
  • 1. Various market participants and their roles
  • 2. Different products traded
Topic 3: Securities Broking Operations- Front Office, Middle Office and Back Office functions in a Securities Broking Firm
  • 1. Trade execution
  • 2. Risk management
  • 3. Settlement processing
Topic 4: Risk Management- Risk management in a securities broking firm
  • 1. Identifying and mitigating risks
  • 2. Compliance and control measures
Topic 5: Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Regulatory oversight
  • 2. Investor protection
Topic 6: Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints

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The NISM NISM-Series-VII certification from NISM is a sought-after recognition of FreeCram skills and knowledge. With this NISM Series VII - Securities Operations and Risk Management Certification certification, professionals can enhance their careers, boost earnings, and showcase their expertise in a competitive job market. The benefits of passing the NISM-Series-VII Exam are numerous, but preparing for the exam is not a simple feat.

NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q159-Q164):

NEW QUESTION # 159
When a stock broker's collateral utilization breaches the specific percentage (currently 90%), the 'Risk Reduction Mode' is triggered. Which of the following operational restrictions and conditions apply during this mode? (Select all that apply)

Answer: A,C,D

Explanation:
In Risk Reduction Mode: 1) All unexecuted orders shall be cancelled. 2) Only orders with Immediate or Cancel attribute shall be permitted. 3) Fresh order placed by member to reduce the open position will be accepted. Option D is incorrect because non-margined orders shall *not* be accepted. Option E is incorrect because Client and Custodial Participant code modification shall *not* be permitted.


NEW QUESTION # 160
Which type of risk, identified in the risk management framework for stock brokers, encompasses the scenario where a disruption at a firm or settlement system causes a 'domino effect' throughout financial markets?

Answer: C

Explanation:
Systemic Risk refers to '(1) the scenario that a disruption at a firm, in a market segment, or to a settlement system could cause a 'domino effect' throughout the financial markets... or (2) a 'crisis of confidence' among investors, creating illiquid conditions'.


NEW QUESTION # 161
Stock brokers bring out regular research reports for their clients. Which of the following is NOT explicitly listed in the NISM workbook as a type of research report typically provided by brokers?

Answer: B

Explanation:
The source explicitly lists the following types of reports: "Fundamental Research, Stock Research, Daily/weekly/fortnightly/monthly newsletters, Special Reports to cater to needs of some investors, and Sector Reports* *. 'High-Frequency Arbitrage Reports' is not mentioned in this list.


NEW QUESTION # 162
Select the correct statements regarding the online risk management system capabilities that a broker must possess for Middle Office Operations. (Select all that apply)

Answer: B,D,E

Explanation:
The source specifies: 'The broker system should have an on-line risk management capability for all orders placed on the Exchange platform.' (Option A). 'The system should have pre-defined limits / checks such as Order Quantity and Value Limits... and only such orders which are within the parameters specified by the RMS are allowed to be pushed into exchange trading engines.' (Option C). 'The broker system should have capability to generate reports relating to margin requirements, payments, and delivery obligations.' (Option E).,


NEW QUESTION # 163
In the context of the SEBI Complaints Redress System (SCORES), certain types of complaints are explicitly excluded from its purview Which of the following scenarios represents a complaint that is NOT dealt with through SCORES?

Answer: A

Explanation:
Complaints against a sick company or a company where a moratorium order is passed in winding up / insolvency proceedings are not dealt through SCORES. The other options represent valid grievances against active intermediaries or listed companies.


NEW QUESTION # 164
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