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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Topic 2: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
Topic 3: Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Topic 4: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 5: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 6: 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 (Q51-Q56):

NEW QUESTION # 51
Under what specific circumstance is a broker or client strictly **prohibited** from unblocking securities that have been blocked in favour of the Clearing Corporation?

A. If the block was created using a physical Delivery Instruction Slip (DIS) instead of eDlS.
B. If the client has an outstanding margin obligation in the derivatives segment.
C. If the market price of the security increases by more than 5% during the trading day.
D. If the Trading Member has not yet transferred the securities to the Clearing Member's pool account.
E. If the Early Pay-In (EPI) benefit has already been provided by the Clearing Corporation to the client for those securities.

Answer: E

Explanation:
The regulations stipulate that the Broker or client shall not be allowed to unblock securities if the Early Pay-In (EPI) benefit is provided by the Clearing Corporation to the client for the same.

NEW QUESTION # 52
Regarding the usage of the 'INST' code in the Custodial Participant field during order entry for Foreign Portfolio Investors (FPIs), which of the following statements accurately reflects the restrictions placed on FPIs that are corporate bodies, individuals, or family offices?

A. The 'INST' facility is available, but allocation for such trades is allowed only to related FPIs.
B. They can use the 'INST' code without restriction, provided the allocation is completed by 4:15 PM on T day.
C. They are strictly prohibited from using the 'INST' code and must provide the specific CP code at the time of order entry.
D. They must use a special 'CORP' code instead of 'INST' to differentiate themselves from non-corporate institutional investors.
E. The 'INST' code can be used only if the trade value exceeds INR 10 Crores.

Answer: A

Explanation:
For FPIs that are corporate bodies, individuals, or family, the 'INST' facility is not available in the similar manner as of non-institutional CP codes. For these FPIs, allocation for 'INST' trades is allowed only to related FPIs.

NEW QUESTION # 53
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?

A. Complaint regarding discrepancy in the demat account holding statement
B. Complaint regarding non-receipt of refund in an Initial Public Offer (IPO)
C. Complaint regarding non-receipt of dividend from a listed company
D. Complaint against a company where a moratorium order is passed in insolvency proceedings
E. Complaint regarding unauthorized trading by a registered stock broker

Answer: D

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 # 54
To facilitate members in meeting their pay-in obligations for a subsequent settlement on a day with multiple settlements due to holidays, what specific requirement is imposed on Depositories regarding inter-depository transfers?

A. Depositories must process transfers instantly using the API-based immediate transfer mechanism.
B. Depositories must suspend inter-depository transfers until all settlements for the day are concluded.
C. Depositories must allow transfers only after the pay-out of the subsequent settlement is complete.
D. Depositories are required to waive the transaction charges for inter-depository transfers executed on such days.
E. Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.

Answer: E

Explanation:
The guidelines specify: 'Further, in-order to meet their pay-in obligations for the subsequent settlement, members may need to move securities from one depository to another. The depositories shall, therefore, facilitate the inter-depository transfers within one hour and before pay- in for the subsequent settlement begins.'

NEW QUESTION # 55
Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

A. Modification between client codes of two unrelated institutional clients will be subject to penalty.
B. Stock Exchanges may allow modifications of client codes of non-institutional trades only to rectify a genuine error in entry of client code.
C. Shifting of trades to the 'error account' of the broker is not treated as modification of client code, provided the trades are subsequently liquidated.
D. Members can modify the Custodial Participant (CP) Code on the T+1 day until 11 AM.
E. Proprietary trades can be modified as client trades and vice versa if the request is made within 45 minutes of trade execution.

Answer: A,B

Explanation:
Statement A is correct (Source: Section 3.2.4). Statement C is correct as modification between unrelated institutional clients attracts penalty. Statement B is incorrect; Proprietary trades cannot be modified as client trades. Statement D is incorrect; CP code modification is allowed on the trade day (T day) up to 4:15 pm (Source: Section 5.6.1 Statement E is incorrect in the context of 'not treated as modification' without conditions; the text says shifting to error account would not be treated as modification *provided* trades are liquidated and not shifted to another code.

NEW QUESTION # 56
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