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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Risk Management in Securities Markets	- Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 2: 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
Topic 3: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance
Topic 4: 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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q255-Q260):

NEW QUESTION # 255
In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A. Private Placement
B. Bonus Issue
C. Initial Public Offer (IPO)
D. Rights Issue
E. Follow on Public Offer (FPO)

Answer: A

Explanation:
According to the source, resources in the primary market can be raised through a public issue or private placement. If the issue is made to a select group of people, it is termed as a Private Placement. A public issue is when anybody and everybody can subscribe. A Rights Issue is for existing shareholders, and a Bonus issue is without cost involved.

NEW QUESTION # 256
SEBI designates certain stock brokers as 'Qualified Stock Brokers' (QSBs) based on specific parameters to ensure appropriate governance and risk management. Which of the following parameters are explicitly considered for designating a stock broker as a QSB?
(Select all that apply)

A. The available total assets of clients with the stock broker.
B. The number of sub-broker offices managed by the stock broker.
C. The net worth of the stock broker's promoter group.
D. The total number of active clients of the stock broker.
E. The proprietary trading volumes of the stock broker.

Answer: A,D,E

Explanation:
The parameters considered for designating a stock broker as a QSB include: (a) the total number of active clients; (b) the available total assets of clients; (c) trading volumes (excluding proprietary); (d) end of day margin obligations; (e) proprietary trading volumes; (f) compliance score; and (g) grievance redressal score. Promoter net worth and number of sub-broker offices are not listed parameters.

NEW QUESTION # 257
Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A. As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
B. Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.
C. Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
D. The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
E. In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.

Answer: A,C,E

Explanation:
StatementA is incorrect because the direct pay-out is *not* applicable to clients having arrangements with custodians. Statement B is correct regarding sequential settlement. Statement C is correct regarding DDPI. Statement D is incorrect because purchasers *can* give one- time standing instructions. Statement E is correct regarding the revised timing to 3:30 PM.

NEW QUESTION # 258
Regarding the operational parameters for the beta version of the T+0 rolling settlement cycle, how is the price band determined and re-calibrated during the trading session?

A. It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
B. It mirrors the price band of the T+1 market exactly, including any circuit breaker halts.
C. It is dynamically linked to the futures market price with a variance of 0.5%.
D. It is set at +1- 10% of the opening price of the T+0 market and remains static throughout the continuous trading session.
E. It is fixed at +1-5% of the previous day's closing price without any intraday recalibration.

Answer: A

Explanation:
According to the source, the price in the T+0 segment will operate with a price band of +100 basis points from the price in the regular T+1 market. This band will be re-calibrated after every 50 basis points movement in the underlying T+1 market.

NEW QUESTION # 259
Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A. Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.
B. Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
C. Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.
D. For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
E. Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.

Answer: A,C,D

Explanation:
StatementA is correct. Statement B is correct. Statement D is correct. Statement C is incorrect as pooling of funds is discontinued. Statement E is incorrect as Mutual Fund Distributors registered with AMFI who are permitted by the stock exchanges can also participate.

NEW QUESTION # 260
......

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