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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Investor Protection	7%	- Mechanisms for dispute resolution - Investor education and awareness initiatives - Investor rights and grievances redressal
Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact
Risk Management and Margining	18%	- Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures
Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Market Microstructure	12%	- Price discovery and market efficiency - Trading mechanisms and order types - Market indices and their calculation
Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee
Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices
Securities Market Overview	10%	- Structure and segments of Indian securities market - Market participants and their roles - Types of securities and products

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q28-Q33):

NEW QUESTION # 28
Which of the following scenarios is explicitly EXEMPT from the mandatory periodic settlement of running accounts for funds?

A. Clients trading in the derivatives segment only.
B. Clients who have a credit balance of less than Rs. 1 lakh.
C. High Net Worth Individuals (HNls) who have provided a written waiver.
D. Clients who have logged into their trading account at least once in the last 30 days.
E. Institutional clients settling trades through custodians.

Answer: E

Explanation:
Periodic settlement of running accounts may not be necessary in specific cases, including: 'In case of institutional clients settling trades through custodians'. Other exceptions include clients availing margin trading facility (to the extent of funds relating to MTF) and funds received as BG/FDR collaterals.

NEW QUESTION # 29
Stock Exchanges are required to jointly issue an annual calendar for the settlement of running accounts. According to the regulations, on which specific days of the month/quarter is the settlement of running accounts scheduled to take place?

A. 15th and/or 30th of every month/quarter.
B. First Friday and/or Saturday of every month/quarter.
C. Any day chosen by the broker provided the gap does not exceed 30/90 days.
D. First Monday and/or Tuesday of every month/quarter.
E. Last Friday and/or Saturday of every month/quarter.

Answer: B

Explanation:
To ensure uniformity and clarity, settlement of running account shall be settled on the "first Friday and/or Saturday" of every month/quarter. Stock exchanges issue the annual calendar for this purpose.

NEW QUESTION # 30
Under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to the Securities Market) Regulations, 2003, specific activities are defined as manipulative or unfair. Which of the following scenarios describes 'Front Running', a prohibited practice under these regulations?

A. Publishing a research report with false information to induce the sale of securities.
B. An intermediary buying securities in advance of a substantial client order effectively anticipating price movement due to that order.
C. Buying and selling securities between intermediaries to artificially inflate trading volumes without changing beneficial ownership.
D. Splitting a large order into smaller trades to minimize impact cost.
E. An insider trading in shares based on unpublished price sensitive information regarding a merger.

Answer: B

Explanation:
Front running involves the usage of non-public information to directly or indirectly buy or sell securities in advance of a substantial order, anticipating that the price may change when the information (the order) becomes public. This gives the broker an unfair advantage.

NEW QUESTION # 31
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To generate additional brokerage by encouraging excessive churning of portfolios.
B. To manipulate the market price of illiquid securities.
C. To fulfill the mandatory requirement of the Companies Act, 2013.
D. To replace the role of the Investment Adviser completely.
E. To help the investor make informed investment decisions.

Answer: E

Explanation:
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

NEW QUESTION # 32
Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A. Post Close Session
B. Pre-open Session
C. Auction Session
D. Continuous Trading Session
E. Early Pay-in via Block Mechanism

Answer: A,B,C

Explanation:
According to the source, 'Pre-open, Special Pre-open, Block window, Auction, Periodic call auction and Post close session are not applicable under T+0 settlement.' Note: While a later circular advised facilitating a block deal window, the core exclusions listed include Pre-Open, Auction, and Post Close. Continuous Trading and Early Pay-in are applicable features.

NEW QUESTION # 33
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