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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Topic 2: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
Topic 3: 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 4: Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q195-Q200):

NEW QUESTION # 195
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.
B. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
C. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
D. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
E. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.

Answer: E

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

NEW QUESTION # 196
SEBI has mandated the Direct Pay-out of securities to client demat accounts. What is the specific operational consequence of this mandate regarding the revision of the securities pay-out timing in the T+1 settlement cycle?

A. The pay-out timing is deferred to T+2 day at 9:00 AM.
B. The pay-out timing is advanced from 1:30 PM to 11 AM.
C. The pay-out timing remains unchanged at 1 :30 PM.
D. The pay-out timing is revised from 1:30 PM to 3:30 PM.
E. The pay-out timing is synchronized with the funds pay-out at 10:30 AM.

Answer: D

Explanation:
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1:30 PM to 3:30 PM. This ensures securities are credited on the same settlement day.

NEW QUESTION # 197
SEBI introduced the 'Demat Debit and Pledge Instruction' (DDPI) to replace the Power of Attorney (POA) for certain functions. For which of the following specific purposes does the DDPI authorize the stock broker/stock broker and depository participant to access the client's beneficial owner (BO) account?

A. Updating the client's address and contact details in the KRA system.
B. Executing off-market trades between parties other than related parties.
C. Transferring funds from the client's bank account to the broker's proprietary account.
D. Meeting pay-in obligations for the settlement of trades executed by the client.
E. Opening a new demat account with another depository participant on behalf of the client.

Answer: D

Explanation:
Under DDPI, the clients shall explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose of meeting pay-in obligations for settlement of trades executed by them. The DDPI shall serve the same purpose of POA and significantly mitigate the misuse of POA.

NEW QUESTION # 198
Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

A. Securities Contracts (Regulation) Rules, 1957
B. Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018
C. SEBI (Intermediaries) Regulations, 2008
D. Depositories Act, 1996
E. SEBI (Stock Brokers) Regulations, 1992

Answer: B

Explanation:
The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.

NEW QUESTION # 199
Which of the following statements correctly describe the logic for blocking margins from collateral for different types of trades under the client collateral segregation framework? (Select all that apply)

A. For a client trade, if TM proprietary collateral is insufficient, the residual margin is blocked from the collateral of other clients of the same TM.
B. If a CM'S proprietary collateral is insufficient for a TM's proprietary trade, the CC utilizes the Core SGF immediately.
C. For a trade from a client account, if client collateral is insufficient, the residual margin is blocked from the TM proprietary collateral.
D. For a trade from the proprietary account of a TM, margin is first blocked from the TM proprietary collateral, and if insufficient, from the CM proprietary collateral.
E. Margins based on trades from the proprietary account of the CM are blocked from the proprietary collateral of the CM only.

Answer: C,D,E

Explanation:
Statement A is correct: Client trade margin logic is Client Collateral -> TM Prop -> CM Prop. Statement B is correct: TM Prop trade margin logic is TM Prop CM Prop. Statement C is correct: CM Prop trade margin logic is CM Prop only. Statement D is incorrect because client collateral is segregated and cannot be used for other clients or prop trades. Statement E is incorrect as it refers to the default waterfall, not the initial blocking logic.

NEW QUESTION # 200
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