NISM-Series-VII Updated Testkings - Valid Test NISM-Series-VII Tutorial

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q275-Q280):

NEW QUESTION # 275
Under the framework for 'Segregation and Monitoring of Collateral at Client Level', when the Clearing Corporation (CC) receives a trade from a client account, what is the specific sequential order in which the margin is blocked if the primary source is insufficient?

A. TM Proprietary Collateral -> Client Collateral -> CM Proprietary Collateral
B. Client Collateral Excess Collateral of other Clients CM Proprietary Collateral
C. Client Collateral -> TM Proprietary Collateral -> CM Proprietary Collateral
D. CM Proprietary Collateral TM Proprietary Collateral -> Client Collateral
E. Client Collateral -> CM Proprietary Collateral -> TM Proprietary Collateral

Answer: C

Explanation:
According to the margin payment and collateral segregation guidelines, on receipt of a trade from a client account by the CC, the margin shall first be blocked from the value of the client collateral. If the client collateral is not sufficient, the residual margin shall be blocked from the TM proprietary collateral. If the TM proprietary collateral is also not sufficient, then the residual margin shall be blocked from the CM proprietary collateral.

NEW QUESTION # 276
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

A. Exclusively through physical contract notes sent via post.
B. Only through the official website of the Stock Exchange.
C. Through SMS on to the mobile phone.
D. Via recorded voice messages on landline telephones only.
E. Strictly through in-person meetings at the broker's branch office.

Answer: C

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'

NEW QUESTION # 277
To ensure visibility of client collateral and prevent misuse, SEBI mandated a reporting mechanism. How is the disaggregated collateral information reported up the chain to the Clearing Corporation?

A. Clients report directly to the Clearing Corporation via the web portal.
B. Trading Members (TM) report directly to the Stock Exchanges, which then forward data to the CC.
C. Trading Members (TM) report to the Clearing Member (CM), and the CM reports to the Stock Exchanges and Clearing Corporations.
D. Clearing Members (CM) report only the aggregate figures to the CC, keeping client-level data internal.
E. Depositories report the collateral usage directly to the Clearing Corporation based on pledge data.

Answer: C

Explanation:
The framework specifies that the TM shall report disaggregated information on collaterals up to the level of its clients to the CM. Subsequently, the CM shall report disaggregated information on collaterals up to the level of clients of TM and proprietary collaterals of the TMs to the Stock Exchanges (SEs) and CCs in respect of each segment.

NEW QUESTION # 278
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).
B. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
C. Submission through the General Ledger account of the Stock Broker.
D. Submission via the dedicated mobile application of the Registrar and Transfer Agent.
E. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.

Answer: A

Explanation:
The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'

NEW QUESTION # 279
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.
B. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
C. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
D. The CC matches the client's available margin in the cash segment with the value of securities blocked.
E. The CC matches the client level net obligations with the Block details provided by the depositories.

Answer: E

Explanation:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

NEW QUESTION # 280
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