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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q290-Q295):

NEW QUESTION # 290
In the event of a default by a clearing member, the 'Default Waterfall' prescribes the specific order in which resources are utilized. Which of the following resources is utilized immediately after the monies of the defaulting member and Insurance (if any) are exhausted, but before the Core SGF is accessed?

A. Stock Exchange contribution to the Core SGF.
B. Capped additional contribution by non-defaulting members.
C. Penalties credited to the Core SGF.
D. Clearing Corporation resources equal to 5% of the segment MRC.
E. The entire Core SGF corpus on a pro-rata basis.

Answer: D

Explanation:
According to the Default Waterfall specified in the source, the order is: 1. Monies of defaulting member, 2. Insurance, if any, 3. CC resources (equal to 5% of the segment MRC), and then 4. Core SGF of the segment (starting with Penalties, then CC contribution of at least 25%, etc.).

NEW QUESTION # 291
While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

A. Equity Derivatives settled physically
B. Infrastructure Investment Trusts (InvITs)
C. Commodity Derivatives
D. Ready forward contracts in debt securities
E. Real Estate Investment Trusts (REITs)

Answer: D

Explanation:
The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.

NEW QUESTION # 292
When a delivery shortage is identified before the auction is conducted, the Clearing Corporation debits the clearing member by an amount equivalent to the securities not delivered, valued at a specific price. What is this pre-auction debit transaction formally called?

A. Provisional Margin Call
B. Auction Entry Fee
C. Valuation Debit
D. Close-out Penalty
E. Shortage Collateral Block

Answer: C

Explanation:
Once shortages are identified, the members are debited by an amount equivalent to the securities not delivered and valued at a valuation price. This is known as 'valuation debit'.

NEW QUESTION # 293
According to the regulations governing institutional investors in the Indian Cash Market, which of the following combinations of trading activities is strictly PROHIBITED?

A. Algorithmic trading using Direct Market Access
B. Short selling with mandatory delivery obligation
C. Day trading (squaring off transactions intra-day)
D. Trading in the Block Deal window
E. Using the 'INST' code for order entry

Answer: C

Explanation:
No institutional investor shall be allowed to do day trading, i.e., square off their transaction intra-day. All transactions would be grossed for institutional investors at the custodian level, and they are required to fulfill their obligation on a gross basis. Naked short selling is also prohibited.

NEW QUESTION # 294
When handling 'Trade Allocation' for institutional clients in the back office, how is a single order placed with the Custodial Participant code 'INST' processed?

A. The trade is kept in a suspense account until the Custodian confirms the trade on T+2 day.
B. The back office receives deal sheets from the front office and distributes the single trade across various sub-schemes of the client, generating appropriate contract notes.
C. The 'INST' code is replaced with the broker's proprietary account code, and the trade is settled as a proprietary trade.
D. The back office aggregates multiple 'INST' orders into a single block trade for reporting to the Exchange.
E. The trade is automatically allocated pro-rata to all active clients of the broker to ensure fair distribution.

Answer: B

Explanation:
In the case of institutional trades, the front office enters a single order with CP code 'INST'. Subsequently, based on deal sheets received from the front office, the back office user allocates the trade to individual schemes within the parent fund and generates the appropriate contract note. The broker also uploads these allocation details to the clearing corporation.

NEW QUESTION # 295
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