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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q170-Q175):

NEW QUESTION # 170
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.
B. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
C. High Net Worth Individuals (HNIs) trading in the F&O segment.
D. Corporate clients trading through a proprietary account of the Trading Member.
E. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).

Answer: B

Explanation:
The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

NEW QUESTION # 171
Based on the classification of membership in the Indian securities market, which of the following categories of members holds both trading and clearing rights but is explicitly restricted from clearing trades for custodian participants?

A. Trading Member-cum-Clearing Member (TCM)
B. Trading cum Self-Clearing Member (SCM)
C. Only Trading Member
D. Professional Clearing Member (PCM)
E. Authorized Person

Answer: B

Explanation:
According to the market structure classifications, a Trading cum Self-Clearing Member (SCM) has both trading and clearing rights. However, they are permitted to clear and settle trades executed by them only (either on their own account or on account of their clients) and are not permitted to clear trades for custodian participants. In contrast, a Trading Member-cum-Clearing Member can clear for custodial participants, and a Professional Clearing Member has no trading rights.

NEW QUESTION # 172
Stock Exchanges are required to maintain Investor Service Centres (ISCs) to assist investors. Which of the following facilities is mandatorily required to be provided at all ISCS according to SEBI guidelines?

A. A direct hotline to the Ministry of Finance.
B. A library containing all annual reports of listed companies for the last 10 years.
C. A dedicated legal aid clinic with free lawyers for filing civil suits.
D. Arbitration and appellate arbitration facility including video-calling facility.
E. A banking counter for immediate disbursement of Investor Protection Fund claims.

Answer: D

Explanation:
SEBI has advised Exchanges to provide certain minimum facilities in ISCs, which includes arbitration and appellate arbitration facility at all ISCS including video-calling facility to investors for attending their online arbitration or Grievance Redressal meetings.

NEW QUESTION # 173
Periodic settlement of running accounts is mandatory for most clients. However, under which of the following specific circumstances is the periodic settlement of funds **NOT** necessary to the extent of funds involved?

A. For clients who have a credit balance of less than Rs. 10,000.
B. For clients trading in the derivatives segment with open positions, even if they have excess free cash.
C. For High Net Worth Individuals (HNIs) who have provided a 'Do Not Settle' instruction.
D. For clients availing Margin Trading Facility (MTF), to the extent of funds/securities relating to MTF used by the client.
E. For Non-Resident Indian (NRI) clients dealing through the Portfolio Investment Scheme (PIS).

Answer: D

Explanation:
Such periodic settlement of running account may not be necessary for clients availing margin trading facility (MTF) as per SEBI circular, to the extent of funds/securities relating to MTF used by client. It is also not necessary for funds received in the form of BG/FDR or for institutional clients settling trades through custodians.

NEW QUESTION # 174
Direct Market Access (DMA) allows specific clients to access the exchange trading system through the broker's infrastructure. Which of the following is a specific characteristic or requirement of the DMA facility as per SEBI guidelines?

A. It is available to all retail investors without specific authorization.
B. Brokers provide DMA to clients using the broker's proprietary trading codes instead of client codes.
C. Investment managers acting on behalf of institutional clients are prohibited from using DMA.
D. It requires manual intervention by the broker for every order to ensure risk compliance.
E. It allows execution of client orders without manual intervention by the broker, offering advantages like faster execution and reduced risk of errors.

Answer: E

Explanation:
Direct Market Access (DMA) is a facility which allows brokers to offer clients direct access to the exchange trading system through the broker's infrastructure 'without manual intervention by the broker'. Advantages include 'faster execution of client orders, reduced risk of errors associated with manual order entry'. Brokers must specifically authorize clients or investment managers after fulfilling KYC and due diligence.

NEW QUESTION # 175
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