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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Depository Operations	- Corporate actions 1. Dividends, bonuses, splits 2. Record dates and entitlement processing - Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance
Topic 2: Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Topic 3: Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle
Topic 4: Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q233-Q238):

NEW QUESTION # 233
Regarding the operation of the 'Clearing Bank Account' maintained by a Clearing Member, which of the following operational restrictions is explicitly mandated to ensure the account is used exclusively for clearing and settlement operations?

A. Withdrawals are permitted only after obtaining a 'No Objection Certificate' from the Clearing Corporation for each transaction.
B. Funds can be deposited only via Demand Drafts and withdrawn only via electronic transfer.
C. Clearing members are prohibited from depositing proprietary funds into this account; only client funds are permitted.
D. Clearing members can deposit funds in any form but can withdraw funds from these accounts only in self-name.
E. The account must maintain a minimum balance equal to the Base Minimum Capital (BMC) at all times.

Answer: D

Explanation:
The source states: 'Clearing member can deposit fund in these accounts in any form but withdraw funds from these accounts only in self-name.' This ensures the account is used for its intended purpose of clearing and settlement.

NEW QUESTION # 234
Stock Exchanges are required to maintain an Investor Services Fund (ISF) distinct from the Investor Protection Fund (IPF). What is the specific contribution requirement from the Stock Exchange towards the ISF?

A. 5% of the transaction charges collected from members.
B. 100% of the interest earned on the 1% security deposit of issuer companies.
C. The penalty collected for client code modification.
D. 1% of the listing fees received, on a quarterly basis.
E. At least 20% of the listing fees received.

Answer: E

Explanation:
For the Investor Services Fund (ISF), the text states: 'The stock exchange shall set aside at least 20% of the listing fees received for ISF for providing services to the investing public.' Note that 1% of listing fees goes to the IPF, while 20% goes to the ISF.,

NEW QUESTION # 235
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A. By 4:15 PM on T Day
B. By 9:00 AM on T+1 Day
C. By 11:00 AM on T+1 Day
D. By 1:30 PM on T+1 Day
E. By 7:30 AM on T+1 Day

Answer: E

Explanation:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.

NEW QUESTION # 236
Based on the concept of Multilateral Netting, calculate the Net Quantity obligation for Broker 'Z' given the following trades in Security ABC:
1. Broker Y buys 50 shares from Broker Z @ Rs. 10.50
2. Broker X buys 100 shares from Broker Z @ Rs. 10.50

A. Deliver 50 shares
B. Deliver 100 shares
C. Receive 100 shares
D. Receive 150 shares
E. Deliver 150 shares

Answer: E

Explanation:
For Broker Z:
Trade 1: Sell 50 shares (to Y).
Trade 2: Sell 100 shares (to X).
Total Sell = 150 shares. Total Buy = 0 shares.
Net Quantity = Buy - Sell = O - 150 = -150.
A negative quantity implies an obligation to Deliver 150 shares.

NEW QUESTION # 237
In the context of 'Network Security' for Internet Based Trading systems, specific measures are mandatory to protect the exchange connectivity. Which of the following accurately describes the requirement regarding Firewalls and Server Access?

A. Firewalls are required only for Wireless Trading; Server access must use simple text authentication.
B. Firewalls must be placed only at the client terminal end; Server access requires a static IP address without SSL.
C. Suitable Firewalls must be placed between the Internet trading set-up and the trading set-up directly connected to the Exchange; Server access must use Secured Socket Level Security.
D. Firewalls are optional if 2FA is implemented; Server access must use HTTP protocol.
E. Suitable Firewalls must be placed between the broker's back office and the Internet; Server access must use VPN only.

Answer: C

Explanation:
The mandatory security features include: Secured Socket Level Security for server access through Internet and Suitable Firewalls between trading set-up directly connected to an Exchange trading system and the Internet trading set-up.

NEW QUESTION # 238
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