NISM-Series-VII Latest Exam Notes & Certification NISM-Series-VII Dumps

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q181-Q186):

NEW QUESTION # 181
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 provide a guarantee of allotment to their registered clients for every IPO application.
B. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
C. Brokers fund the entire IPO application amount for the investor interest-free.
D. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
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 # 182
Clearing Members are required to maintain specific demat accounts known as 'Clearing Member Settlement Pool Accounts' with depositories. Which of the following statements accurately describes the legal and operational nature of the securities held in these pool accounts?

A. Corporate action benefits for securities held in the pool account are retained by the Clearing Member as operational fees.
B. Clients cannot transfer shares directly into the Clearing Member's pool account; they must transfer to a beneficiary account first.
C. The Clearing Member obtains full ownership rights over the securities in the pool account to facilitate settlement.
D. Securities in the pool account are automatically pledged to the Clearing Corporation as margin and cannot be delivered until unpledged.
E. The Clearing Member does not get any ownership or beneficiary rights over the shares held in these accounts; they are strictly for settlement delivery and receipt.

Answer: E

Explanation:
As per the study material, 'It should be noted that unlike the usual demat accounts, the clearing member does not get any ownership or beneficiary rights over the shares held in these accounts.' These accounts are used to deliver securities against pay-in obligations and receive pay-out of securities.

NEW QUESTION # 183
Regarding the beta version of the T+0 rolling settlement cycle introduced on an optional basis, which of the following operational parameters is mandated by SEBI?

A. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.
B. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles to improve liquidity.
C. Securities shortages in the T+0 market shall be handled by conducting an auction session on T+1 day.
D. The price band in the T+0 segment will be fixed at +1- 10% of the previous day's closing price.
E. Trading hours for the T+0 segment shall be identical to the T+1 segment, i.e., 09:15 AM to 3:30 PM.

Answer: A

Explanation:
For the T+0 settlement cycle: There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle. Additionally, trade timings are 09:15 AM to 1 PM, the price band is +100 basis points from the T+1 price, and security shortages are directly closed out (no auction).

NEW QUESTION # 184
Under the Beta version of the T+0 rolling settlement cycle, how are securities shortages handled differently compared to the standard T+1 settlement cycle?

A. Shortages are auctioned on T+0 day at 4:00 PM.
B. The trade is annulled and no close out or auction is performed.
C. Shortages are carried forward to the T+1 auction session.
D. Shortages are settled using the Securities Lending and Borrowing (SLB) mechanism immediately.
E. Security shortages are directly closed out at 10% above the highest price of the day across all exchanges for the T+0 market.

Answer: E

Explanation:
In the Beta version of T+0 rolling settlement, an 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 the T+0 market.

NEW QUESTION # 185
For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

A. VaR Margin + Extreme Loss Margin (ELM)
B. VaR Margin + 3 times applicable Extreme Loss Margin
C. VaR Margin + 5 times applicable Extreme Loss Margin
D. 40% of the trade value irrespective ofVaR and ELM
E. Span Margin + Exposure Margin

Answer: C

Explanation:
For Group 1 stocks other than F&O stocks and Units of Equity ETF, the applicable margin for Margin Trading Facility is VaR + 5 times of applicable Extreme Loss Margin. For Group 1 stocks available in F&O, it is VaR + 3 times ELM.

NEW QUESTION # 186
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