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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Depository Operations- Demat account framework
  • 1. NSDL and CDSL roles
    • 2. Account opening and maintenance
      - Corporate actions
      • 1. Record dates and entitlement processing
        • 2. Dividends, bonuses, splits
          Clearing and Settlement- Clearing mechanisms
          • 1. Netting and settlement obligations
            • 2. Clearing corporations and counterparties
              - Settlement systems
              • 1. T+1/T+2 settlement cycles
                • 2. Margining and risk adjustments
                  Securities Market Operations- Trading process
                  • 1. Order execution and trade lifecycle
                    • 2. Trade confirmation and reporting
                      - Market participants and structure
                      • 1. Roles of brokers, exchanges, and investors
                        • 2. Order types and trading mechanism basics
                          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

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q54-Q59):

                                  NEW QUESTION # 54
                                  Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

                                  Answer: B

                                  Explanation:
                                  The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.


                                  NEW QUESTION # 55
                                  Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

                                  Answer: B

                                  Explanation:
                                  The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'


                                  NEW QUESTION # 56
                                  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?

                                  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 # 57
                                  For stock brokers providing Algorithmic Trading facilities, SEBI has mandated specific controls and audit requirements. Which of the following combinations correctly specifies the server location requirement and the frequency of system audits?

                                  Answer: D

                                  Explanation:
                                  SEBI has advised stock exchanges to ensure that 'all algorithmic orders are necessarily routed through broker servers located in India'. Furthermore, 'The stock brokers that provide the facility of algorithmic trading shall subject their algorithmic trading system to a system audit every six months'.


                                  NEW QUESTION # 58
                                  The interoperability framework among Clearing Corporations (CCs) allows Clearing Members to select the CC of their choice. Which of the following products or schemes is explicitly excluded from this interoperability framework?

                                  Answer: A

                                  Explanation:
                                  The interoperability framework is applicable to all recognized clearing corporations excluding those in IFSC. However, specific schemes are excluded: The Securities Lending and Borrowing Scheme (SLB), Commodity Derivatives, Tri-party repo, Offer for Sale, etc., are kept outside Inter-operability.


                                  NEW QUESTION # 59
                                  ......

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