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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Investor Protection	7%	- Mechanisms for dispute resolution - Investor education and awareness initiatives - Investor rights and grievances redressal
Topic 2: Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Topic 3: Market Microstructure	12%	- Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types
Topic 4: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms
Topic 5: Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Topic 6: Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes
Topic 7: Technology in Securities Markets	8%	- Emerging technologies and their impact - Systems for trading, clearing and settlement - Data security and business continuity
Topic 8: Regulatory Framework	15%	- Code of conduct and ethical practices - Compliance requirements for intermediaries - SEBI Act, Rules and Regulations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q183-Q188):

NEW QUESTION # 183
SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)

A. The total number of active clients of the stock broker.
B. The number of sub-broker offices managed by the stock broker.
C. The available total assets of clients with the stock broker.
D. The net worth of the stock broker's promoter group.
E. The proprietary trading volumes of the stock broker.

Answer: A,C,E

Explanation:
The parameters considered for designating a stock broker as a QSB include: (a) the total number of active clients; (b) the available total assets of clients; (c) trading volumes (excluding proprietary); (d) end of day margin obligations; (e) proprietary trading volumes; (f) compliance score; and (g) grievance redressal score. Promoter net worth and number of sub-broker offices are not listed parameters.

NEW QUESTION # 184
The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?

A. Margin money and Base Minimum Capital (BMC) deposit only
B. Settlement dues, Margin money, or Non-settlement dues
C. Settlement dues and Transaction charges only
D. Non-settlement dues and Stamp Duty only
E. Settlement dues and Securities Transaction Tax (STT) only

Answer: B

Explanation:
The source explicitly lists the obligations as: 'A clearing member, failing to discharge his funds obligations relating to settlement dues, margin money or non-settlement dues at the notified time, shall render him liable...'

NEW QUESTION # 185
SEBI has introduced the mechanism of Net Settlement of cash segment and F&O segment upon expiry of stock derivatives. Which of the following scenarios specifically qualifies for this benefit of netting (merged settlements)?

A. Portfolio Managers (PMS) who are mandatorily directed to enter into delivery backed transactions.
B. An investor whose Trading Member clears trades in F&O segment and cash segment through the same Clearing Member (CM).
C. All institutional investors including Foreign Portfolio Investors (FPIs).
D. An institutional investor trading through a Custodian in Cash and a Professional Clearing Member in F&O.
E. An investor trading through different Trading Members who use different Clearing Members.

Answer: B

Explanation:
The benefit of netting (merged settlements) shall be available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is explicitly stated that this is not available for institutional investors or PMS directed to enter into delivery backed transactions.

NEW QUESTION # 186
When determining the settlement obligations in a scenario involving holidays, why is the sequential basis of settlement (completing first settlement before starting the next) critically important?

A. It is required to separate institutional trades from retail trades.
B. It ensures that the pay-out (cash/securities) from the first settlement is available to the member to meet obligations for the subsequent settlement.
C. It allows the stock exchange to close the market early.
D. It allows the Clearing Corporation to recalculate margins for the previous week.
E. It prevents members from trading in the derivatives segment during the cash market settlement.

Answer: B

Explanation:
The sequential basis is adopted so that 'The cash or securities pay out from the first settlement shall be made available to the member for meeting his pay-in obligations for the subsequent settlement(s).'

NEW QUESTION # 187
In the context of Back Office Operations, specifically regarding 'Trade Enrichment', which of the following best describes the process that occurs automatically after trade execution to prepare for clearing and settlement?

A. The generation of a unique client code (IJCC) and mapping it to the client's PAN before the order is routed to the exchange.
B. The netting of buy and sell positions to determine the final open position for the purpose of margin calculation.
C. The manual verification of the 'INST' Custodial Participant code against the clearing member's exposure limits.
D. The automatic appending of brokerage rates, GST, stamp duty, and Securities Transaction Tax (STT) to the raw trade data.
E. The splitting of a single institutional order into multiple sub-accounts based on deal sheets provided by the front office.

Answer: D

Explanation:
Trade Enrichment is defined as the process performed automatically after each trade execution where additional information is included in the trade instruction. The back-office systems maintain masters relating to brokerage rates, GST, stamp duty, and STT charge tables. When trade data is uploaded, this information is appended to every trade to arrive at client-wise brokerage, obligations, and tax amounts.

NEW QUESTION # 188
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