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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q84-Q89):

NEW QUESTION # 84
Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?

A. To identify under which market conditions and scenarios the combination of margins, Core SGF, and other financial resources would prove insufficient.
B. To validate the accuracy of the software used for margin calculation.
C. To calculate the historical volatility of the most liquid securities over the past 5 years.
D. To determine the daily settlement price of illiquid futures contracts.
E. To test the operational capability of the backup disaster recovery site.

Answer: A

Explanation:
The source defines Reverse stress test as: 'CC shall periodically carry out reverse stress tests designed to identify under which market conditions and under what scenarios the combination of its margins, Core SGF and other financial resources prove insufficient to meet its obligations'.

NEW QUESTION # 85
In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

A. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
B. New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
C. New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor
D. New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
E. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor

Answer: E

Explanation:
According to the methodology for adjustment in Equity F&O for Bonus, Stock Splits, and Consolidations: The new strike price shall be arrived at by dividing the old strike price by the adjustment factor. The new market lot/multiplier shall be arrived at by multiplying the old market lot by the adjustment factor.

NEW QUESTION # 86
Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

A. In case of a dispute, records can be disposed of immediately after the broker files a response.
B. Evidence is optional for internet-based transactions and must be retained for 1 year.
C. Evidence must be physical records only, retained for 5 years.
D. Evidence can be physical records, telephone recordings, emails, or SMS logs, and must be retained for a minimum of 3 years.
E. Telephone recordings are mandatory only for institutional clients and must be kept for 2 years.

Answer: D

Explanation:
The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'

NEW QUESTION # 87
Under the SCORES 2.0 framework, if a complainant is dissatisfied with the resolution provided by the entity and requests a first review, the Designated Body (DB) may seek clarification from the entity. What is the specific timeline mandated for the Designated Body to submit the revised Action Taken Report (ATR) to the complainant after seeking such clarification?

A. Within 7 calendar days of the review sought
B. Within 10 calendar days of the review sought
C. Within 15 calendar days of the review sought
D. Within 21 calendar days of the review sought
E. Within 30 calendar days of the review sought

Answer: B

Explanation:
According to the SCORES 2.0 framework, the Designated Body shall stipulate the timeline in such a manner to ensure that the Designated Body submits the revised ATR to the complainant on SCORES within 10 calendar days of the review sought.

NEW QUESTION # 88
Which of the following statements accurately reflect the roles and functions of a Clearing Corporation as a central counterparty (COP)?
(Select all that apply)

A. It executes client orders on the stock exchange platform on behalf of the trading members.
B. It guarantees settlement of trades through the process of novation.
C. It calculates and controls the margining mechanism.
D. It provides independent legal enforcement of contracts, reducing the need for buyers and sellers to take legal action against one another.
E. It reduces the number of payments due by netting transactions.

Answer: B,C,D,E

Explanation:
The Clearing Corporation guarantees settlement (novation), reduces payments via netting, provides dispute resolution/legal enforcement (buyers/sellers don't sue each other), and calculates/controls margining. Option D is incorrect because the Clearing Corporation does not execute orders; execution is the function of the Stock Exchange/Trading Members.

NEW QUESTION # 89
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