Exam NISM-Series-VII Material - NISM-Series-VII Test Engine Version

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: Risk Management in Securities Markets- Market and operational risk
  • 1. Operational risk controls
    • 2. Types of financial risks
      - Risk mitigation systems
      • 1. Margins and collateral systems
        • 2. Surveillance and compliance mechanisms
          Topic 2: Depository Operations- Demat account framework
          • 1. NSDL and CDSL roles
            • 2. Account opening and maintenance
              - Corporate actions
              • 1. Dividends, bonuses, splits
                • 2. Record dates and entitlement processing
                  Topic 3: Securities Market Operations- Market participants and structure
                  • 1. Order types and trading mechanism basics
                    • 2. Roles of brokers, exchanges, and investors
                      - Trading process
                      • 1. Trade confirmation and reporting
                        • 2. Order execution and trade lifecycle
                          Topic 4: Clearing and Settlement- Clearing mechanisms
                          • 1. Netting and settlement obligations
                            • 2. Clearing corporations and counterparties
                              - Settlement systems
                              • 1. Margining and risk adjustments
                                • 2. T+1/T+2 settlement cycles

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q212-Q217):

                                  NEW QUESTION # 212
                                  According to the risk management framework regarding * *Liquid Assets** deposited by clearing members, which of the following statements correctly defines the limits and haircuts applicable to * *Corporate Bonds** accepted as collateral?

                                  Answer: D

                                  Explanation:
                                  As per the acceptable Liquid Assets table and notes: For Corporate Bonds, the haircut is 'Fixed percentage based or VaR based Haircut... To begin with the haircut shall be a minimum of 10 percent.' The limit is 'Not to exceed 10 percent of the total liquid assets of the clearing member.'


                                  NEW QUESTION # 213
                                  When a short delivery is identified, the Clearing Corporation debits the member by an amount equivalent to the securities not delivered valued at a specific price. What is this specific debit termed as?

                                  Answer: E

                                  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. (Section 6.5)


                                  NEW QUESTION # 214
                                  For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

                                  Answer: E

                                  Explanation:
                                  For Index Derivatives, the Price Scan Range is based on 6 sigma, scaled up by square root of 2, subject to at least of the underlying price after considering scaling up. (14.2% applies to Single Stock Derivatives).


                                  NEW QUESTION # 215
                                  Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

                                  Answer: A,B,E

                                  Explanation:
                                  Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.


                                  NEW QUESTION # 216
                                  Which of the following facilities are normally offered by a stock broker's outlet as part of their diversified services? (Select all that apply)

                                  Answer: A,B,C,E

                                  Explanation:
                                  The text explicitly lists the following facilities offered by a stock broker's outlet: 'Investment advice & Research reports', 'Margin funding', 'Mobile trading & Smart Order Routing (SOR)', and 'Internet-based Online Trading (IBT)'. Option D is incorrect.


                                  NEW QUESTION # 217
                                  ......

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