Certification NISM-Series-VII Exam Dumps & NISM-Series-VII Reliable Test Sample

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Risk Management	- Risk management in a securities broking firm 1. Identifying and mitigating risks 2. Compliance and control measures
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Risk management 2. Settlement processing 3. Trade execution
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 (Q161-Q166):

NEW QUESTION # 161
In the context of risk management for the T+0 settlement cycle, how are securities shortages handled if a selling member fails to deliver shares?

A. The trade is annulled, and the buyer is refunded the transaction amount without penalty.
B. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.
C. By conducting an auction session on T+1 day along with the regular market auction.
D. By imposing a standard valuation debit of 20% above the closing price.
E. By conducting an auction session on T+0 day at 2:30 PM.

Answer: B

Explanation:
The source states that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.'

NEW QUESTION # 162
According to the 'Default Waterfall' mechanism for the Core Settlement Guarantee Fund (Core SGF), if a member defaults, which resource is utilized immediately **after** the defaulting member's monies (and insurance) are exhausted, but **before** the Core SGF corpus is accessed?

A. Stock Exchange contribution to Core SGF.
B. Clearing Member Primary Contribution.
C. Penalties credited to Core SGF.
D. Capped additional contribution by non-defaulting members.
E. Clearing Corporation resources equal to 5% of the segment MRC.

Answer: E

Explanation:
The utilization of the Settlement Guarantee Fund is generally in the following order: 1. Monies of defaulting member. 2. Insurance, if any. 3. resources (equal to 5% of the segment 4. Core SGF of the segment.

NEW QUESTION # 163
A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A. Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
B. Standard pay-in instruction via physical DIS submitted to the Depository Participant.
C. Auto-pledge of securities in favor of the Clearing Corporation.
D. Transfer to the Member Pool Account by 10:30 AM on T day.
E. Only by way of early pay-in (EPI) using the block mechanism.

Answer: E

Explanation:
The regulations specify that pay-in for T+0 sell obligations shall be allowed only by way of early pay-in using block mechanism.

NEW QUESTION # 164
In the context of the clearing and settlement process within the depository system, SEBI vide its circular dated June 05, 2024, mandated a significant change regarding the pay-out of securities. Which of the following statements accurately describes this revised mechanism?

A. Securities are held in a temporary 'Transit Account' by the Depository until the client issues a Receipt Instruction.
B. Securities for pay-out must be credited to the Clearing Member's Pool Account, who then has 24 hours to transfer them to the client.
C. Securities for pay-out shall be credited directly to the respective client's demat account by the Clearing Corporations.
D. The direct pay-out mechanism is mandatory for all clients, including those having arrangements with SEBI registered custodians.
E. The timing of the payout of securities remains 1 PM despite the direct credit mechanism.

Answer: C

Explanation:
SEBI vide circular dated June 05, 2024, has decided the securities for pay-out shall be credited directly to the respective client's demat account by the CCs. As a consequence, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. The direct payout shall not be applicable to clients having arrangements with custodians.

NEW QUESTION # 165
Under the mechanism of 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives', which of the following investor scenarios is ELIGIBLE for the benefit of netting (merged settlements)?

A. A Portfolio Management Service (PMS) client who is mandatorily directed to enter into delivery-backed transactions.
B. An Institutional Investor (FPI Category l) trading through the same Trading Member and Clearing Member in both segments.
C. A retail investor whose Trading Member clears F&O trades through Clearing Member 'X' and Cash trades through Clearing Member 'Y'.
D. An investor trading through two different Trading Members who both clear through the same Clearing Member.
E. A retail investor whose Trading Member clears trades in both F&O and Cash segments through the same Clearing Member.

Answer: E

Explanation:
The benefit of netting (merged settlements) is available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available if the TM clears through different CMs. It is also not available for institutional investors (including FPIs) and participants like PMS mandated to enter delivery-backed transactions.

NEW QUESTION # 166
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