NISM Series VII - Securities Operations and Risk Management Certification Exam Practice Dump Provide Best NISM-Series-VII Study Questions

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q242-Q247):

NEW QUESTION # 242
According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A. From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
B. From any one recognized stock exchange having nationwide trading terminals
C. Only from the Securities and Exchange Board of India (SEBI)
D. From the stock exchange with the highest trading volume in the previous financial year
E. From the Registrar of Companies (ROC) where the company is registered

Answer: A

Explanation:
As per the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, if a company is not listed on any exchange having nationwide trading terminals, the in-principle approval is required from all the stock exchange(s) in which the securities of the issuer are proposed to be listed.

NEW QUESTION # 243
Distinguishing the roles of market segments is vital for understanding capital formation. Which statement correctly identifies the primary interaction dynamic in the Secondary Market compared to the Primary Market?

A. It ensures availability of adequate capital at reasonable rates for expansion.
B. The settlement is always done directly between the issuer and the clearing corporation.
C. Dealings are strictly between two investors, and the issuer does not come into the picture.
D. The issuer has direct contact with the investor to raise new capital.
E. It is used primarily for Initial Public Offers (IPOs) and Rights Issues.

Answer: C

Explanation:
The source clarifies that in the primary market, the issuer has direct contact with the investor. In contrast, in the secondary market, the dealings are between two investors and the issuer does not come into the picture. The secondary market provides liquidity/transferability to existing securities.

NEW QUESTION # 244
When a corporate action adjustment (such as a bonus ratio of 3:7) results in fractions, a specific methodology is adopted to minimize fraction settlements. How are the Strike Price and Market Lot rounded off in this process?

A. Strike Price: Nearest integer; Market Lot: Nearest tick size
B. Strike Price: Rounded down to nearest tick; Market Lot: Rounded up to nearest integer
C. Strike Price: Exact value up to 2 decimal places; Market Lot: Exact value
D. Strike Price: Nearest tick size; Market Lot: Nearest integer
E. Strike Price: Rounded up to nearest integer; Market Lot: Rounded down to nearest 100

Answer: D

Explanation:
With a view to minimizing fraction settlements, the methodology adopted includes carrying out rounding off for the Strike Price to the nearest tick size and Market Lot to the nearest integer.

NEW QUESTION # 245
In the case of a declaration of 'extra-ordinary' dividend by a company, how is the adjustment applied to the Futures contracts on that stock?

A. The market lot of the futures contract is increased in proportion to the dividend yield.
B. The total dividend amount is added to the Daily Settlement Price.
C. No adjustment is made to futures contracts; adjustments are applicable only to option strike prices.
D. The futures contract is compulsorily closed out and a new contract is introduced at the ex-dividend price.
E. All open positions shall be carried forward at the daily settlement price less the dividend amount.

Answer: E

Explanation:
For extra-ordinary dividends, the regulation states that 'All open positions shall be carried forward at the daily settlement price less dividend amount for the respective futures contract.'

NEW QUESTION # 246
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. Trading hours for the T+0 segment shall be identical to the T+1 segment, i.e., 09:15 AM to 3:30 PM.
B. Securities shortages in the T+0 market shall be handled by conducting an auction session on T+1 day.
C. Netting of pay-in and pay-out obligations is permitted between T+1 and T+0 settlement cycles to improve liquidity.
D. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycle.
E. The price band in the T+0 segment will be fixed at +1- 10% of the previous day's closing price.

Answer: D

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 # 247
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