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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Compliance requirements for intermediaries - Code of conduct and ethical practices
Topic 2: Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact
Topic 3: Investor Protection	7%	- Mechanisms for dispute resolution - Investor rights and grievances redressal - Investor education and awareness initiatives
Topic 4: Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes
Topic 5: Securities Market Overview	10%	- Market participants and their roles - Structure and segments of Indian securities market - Types of securities and products
Topic 6: Clearing and Settlement	15%	- Delivery versus payment and settlement guarantee - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Topic 7: Market Microstructure	12%	- Trading mechanisms and order types - Market indices and their calculation - Price discovery and market efficiency
Topic 8: Risk Management and Margining	18%	- Types of risks in securities operations - Risk monitoring and control measures - Margining systems and methodologies

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q83-Q88):

NEW QUESTION # 83
In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. Disruption in settlement systems causing a crisis of confidence among investors.
B. Loss resulting from the breakdown of internal controls leading to unauthorized trading.
C. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.
D. Risk arising from loans extended to group companies or debit balances of clients.
E. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.

Answer: D

Explanation:
According to the source, Credit risk is the risk of default on a debt. For a broker, credit risk can arise on account of 'Loans to Group Companies/ Related Parties, debit balance of clients, funding of clients, short collection of margins, Non-confirmation of DVP trade by custodian etc.' Option A describes Operational Risk. Option B describes Market Risk. Option D describes Legal Risk. Option E describes Systemic Risk.

NEW QUESTION # 84
A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A. A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.
B. A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
C. The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
D. A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.
E. A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.

Answer: B

Explanation:
Internal shortages occur when a selling client fails to deliver shares to the trading member, but due to netting (a purchase transaction by another buying client in the same security), the member has no delivery obligation to the Clearing Corporation. In such cases, the member requires shares to deliver to the buying client, and an auction (Self Auction) is conducted to procure these shares,.

NEW QUESTION # 85
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers fund the entire IPO application amount for the investor interest-free.
B. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
C. Brokers provide a guarantee of allotment to their registered clients for every IPO application.
D. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
E. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.

Answer: E

Explanation:
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'

NEW QUESTION # 86
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Exemption from Securities Transaction Tax (STT)
B. Exemption from RBI's CRR/SLR computation
C. Automatic guarantee by the Central Government
D. Eligibility for priority sector lending classification
E. Waiver of stamp duty on the underlying collateral

Answer: B

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 87
According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A. Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.
B. All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
C. Anchor Investors applying during the anchor book period.
D. All Retail Individual Investors applying for any amount.
E. Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.

Answer: B

Explanation:
SEBI vide circular dated April 05, 2022, decided that 'all Individual Investors applying in Public issues where the application amount is upto 5 Lakhs shall use UPI and shall also provide their UPI ID in the bid-cum-application form'.

NEW QUESTION # 88
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