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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Trade execution 3. Risk management
Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Indian Securities Market	- Overview of the Indian securities market 1. Various market participants and their roles 2. Different products traded
Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Clearing and settlement process 2. Role of the back office in a securities broking firm
Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Investor protection 2. Regulatory oversight
Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints

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NISM-Series-VII Fragen & Antworten & NISM-Series-VII Studienführer & NISM-Series-VII Prüfungsvorbereitung

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q211-Q216):

211. Frage
If the Core SGF is utilized during a calendar month due to a default, specific rules apply to the replenishment of contributions by members. Which of the following is the correct restriction on such replenishment?

A. Members must replenish the fund immediately after every default without any limit on the number of times in a month.
B. Replenishment is deferred to the next financial quarter to avoid liquidity stress on members.
C. Members are liable to replenish the fund only if the default amount exceeds Rs. 100 Crore.
D. Contribution towards replenishment by members is restricted to only once during a period of 30 calendar days, regardless of the number of defaults during the period.
E. Replenishment is voluntary and depends on the profitability of the non-defaulting members.

Antwort: D

Begründung:
The source states: 'However, such contribution towards replenishment of Core SGF by the members would be restricted to only once during a period of 30 calendar days regardless of the number of defaults during the period. The period of 30 calendar days shall commence from the date of notice of default...'

212. Frage
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A. Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
B. Mandatory conversion of the clearing member to a trading-only member.
C. Seizure of the member's personal assets outside the clearing system.
D. Transfer of client positions to the Investor Protection Fund.
E. Permanent cancellation of the certificate of registration.

Antwort: A

Begründung:
Non-fulfilment of margin obligations allows the clearing agency to, at its discretion and without further notice, initiate disciplinary action inter-alia including withdrawal of trading facilities and/or clearing facility, close out of outstanding positions, imposing penalties, collecting appropriate deposits, and invoking bank guarantees/fixed deposit receipts.

213. Frage
To increase efficiency and reduce the time duration from issue closure to listing, a new timeline was introduced for public issues opening on or after December 1, 2023. What is this mandated timeline for listing?

A. T+1 days
B. T+3 days
C. T+2 days
D. T+6 days
E. T+5 days

Antwort: B

Begründung:
The text states: 'The T+3 timeline for listing after the closure of public issue will be applicable for all public issues opening on or after December 1, 2023.'

214. Frage
Under the SEBI (Infrastructure Investment Trusts) Regulations, 2014, if an InvlT raises funds via private placement, which of the following combinations of 'minimum investment' and 'trading lot' criteria must be met?

A. Minimum Investment: Rs. 10 Lakhs; Trading Lot: 1 Unit
B. Minimum Investment: Rs. 1 Crore; Trading Lot: Rs. 25 Lakhs
C. Minimum Investment: Rs. 50 Lakhs; Trading Lot: Rs. 10 Lakhs
D. Minimum Investment: Rs. 25 Crores; Trading Lot: 1 Unit
E. Minimum Investment: Rs. 10,000; Trading Lot: Rs. 5 Lakhs

Antwort: B

Begründung:
According to the source regarding InvlTs raising funds by way of private placement: 'The minimum investment from any investor should be of rupees one crore.' and 'In case of private placement, trading lot for the purpose of trading of units on the designated stock exchange shall Rs. 25 lakhs.'

215. Frage
Under which of the following circumstances does the Clearing Corporation directly 'Close Out' the shortage WITHOUT conducting an auction session? (Select all that apply)

A. Shortage in delivery of securities under corporate action (e.g., undergoing stock split/bonus).
B. Shortage arising from trades executed in the Block Deal window.
C. Shortage arising from trades executed in the normal rolling settlement cycle (T+1) for Group I liquid securities.
D. Shortage arising from trades in the T+0 rolling settlement cycle.
E. Shortage in securities under the Trade for Trade Surveillance (TFTS) category.

Antwort: A,B,D,E

Begründung:
The source specifies that for certain delivery shortages, CC directly does the close-out without conducting an auction. Examples include: Securities under trade for trade category, securities under corporate action, trades done on block deal window (Section 6.5.2). Additionally, regarding the T+0 rolling settlement cycle, it is stated that 'Auction shall not be conducted in case of securities shortage. Security shortages shall be directly closed out' (Section 3.4.3 / 5.7). Option C is incorrect because normal rolling settlement shortages are handled via auction.

216. Frage
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