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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Clearing and Settlement	- Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Depository Operations	- Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits
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
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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q223-Q228):

NEW QUESTION # 223
Which of the following instruments allows foreign companies to raise capital directly from the Indian securities market in Indian Rupees?

A. American Depository Receipts (ADRs)
B. Foreign Currency Convertible Bonds (FCCBs)
C. Indian Depository Receipts (IDRs)
D. Global Depository Receipts (GDRs)
E. External Commercial Borrowings (ECBs)

Answer: C

Explanation:
Foreign companies can raise capital from Indian markets by issuing IDR (Indian Depository Receipts). This will be in rupee terms. ADRs and GDRs are for Indian companies raising funds abroad,.

NEW QUESTION # 224
In the context of the validation process for Pay-In of securities from a client's demat account to the Member Pool Account, how do Depositories handle a specific transfer instruction where the quantity specified in the instruction exceeds the client-wise net delivery obligation provided by the Clearing Corporation?

A. The instruction is kept pending until the Clearing Corporation updates the obligation to match the instruction.
B. The instruction is rejected in its entirety due to the discrepancy in quantity.
C. The instruction is processed fully, creating an excess balance in the Member Pool Account which is flagged for audit.
D. The instruction is processed fully, but the excess securities are immediately returned to the client's account by the Clearing Member.
E. The instruction is partially processed by the depositories up to the matching obligation quantity.

Answer: E

Explanation:
According to the validation process rules: 'If the quantity in instruction is more than the obligation provided by CC, then the instruction will be partially processed by the depositories (i.e., upto the matching obligation quantity).'

NEW QUESTION # 225
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. Penalties collected from listed companies for non-compliance with LODR Regulations.
B. 1% of the listing fees received, on a quarterly basis.
C. At least 20% of the listing fees received.
D. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
E. Penalty collected from Trading Members for deficiency in modification of client code.

Answer: A,B,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).

NEW QUESTION # 226
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.
B. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
C. The client must mandatorily issue a separate physical receipt instruction for every single trade.
D. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
E. Standing instructions are only valid for government securities and not for equity shares.

Answer: B

Explanation:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

NEW QUESTION # 227
According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A. There is no fee for trade annulment if the request is submitted within 30 minutes.
B. 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
C. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
D. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
E. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.

Answer: B

Explanation:
As per SEBI guidelines on Trade Annulment, Stock exchanges shall charge an application fee equal to 5% of the value of trade(s) for accepting an annulment request from a stock broker, subject to a minimum fee of? 1 lakh and maximum fee of ? 10 lakhs. The amount realised is credited to the Investor Protection Fund.

NEW QUESTION # 228
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