Pass Guaranteed Quiz 2026 NISM NISM-Series-VII: Newest NISM Series VII - Securities Operations and Risk Management Certification Exam Study Solutions

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Types of financial risks 2. Operational risk controls
Topic 3: Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Topic 4: Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Netting and settlement obligations 2. Clearing corporations and counterparties

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

NEW QUESTION # 242
Regarding the maintenance and preservation of books of account and other records by stock brokers, which of the following statements accurately reflects the regulatory requirements under the Securities Contracts (Regulation) Rules, 1957 (SCRR) and SEBI Regulations?

A. Books must be preserved for 10 years if the broker is involved in algorithmic trading.
B. Books must be preserved for 5 years; if originals are seized by an enforcement agency, they must be preserved (originals or copies) until the trial is completed.
C. Books must be maintained in physical form only for a minimum of 5 years; electronic records are optional.
D. Books must be preserved for 8 years in alignment with the Companies Act, regardless of SEBI regulations.
E. Books must be preserved for 3 years; seized originals need not be tracked once handed over to agencies.

Answer: B

Explanation:
As per Regulation 18 of the Stock Brokers Regulations 1992 and SCRR 1957, every stock broker shall preserve the specified books of account for a minimum period of five years. Furthermore, it is advised to preserve the originals (or copies if originals are taken) of documents taken by enforcement agencies during an investigation till the trial is completed.

NEW QUESTION # 243
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 the stock exchange with the highest trading volume in the previous financial year
B. From any one recognized stock exchange having nationwide trading terminals
C. From all the stock exchange(s) in which the securities of the issuer are proposed to be listed
D. Only from the Securities and Exchange Board of India (SEBI)
E. From the Registrar of Companies (ROC) where the company is registered

Answer: C

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 # 244
For the computation of initial margins in the Equity Derivatives segment using the SPAN methodology, how is the **Price Scan Range** determined for **lndex Derivatives** (standard contracts)?

A. Based on 6 sigma, scaled up by √2, subject to a minimum of 14.2% of the underlying price.
B. 25% of annualized EWMA volatility subject to minimum 10%.
C. Based on 3.5 sigma scaled up by root 3.
D. Flat rate of 10% of the contract value.
E. Based on 6 sigma, scaled up by √2, subject to a minimum of 9.3% of the underlying price.

Answer: E

Explanation:
For Index Derivatives, the Price Scan Range is based on 6 sigma, scaled up by square root of 2, subject to at least of the underlying price after considering scaling up. (14.2% applies to Single Stock Derivatives).

NEW QUESTION # 245
The mechanism for the validation of instructions for Pay-In of securities from a client demat account to a Member Pool Account is explicitly NOT applicable to which category of clients?

A. High Net Worth Individuals (HNIs) using Power of Attorney (POA) services.
B. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
C. Retail investors using the electronic Delivery Instruction Slip (eDIS) facility.
D. Non-Resident Indians (NRIs) trading through a designated stock broker.
E. Corporate clients trading in the derivatives segment only.

Answer: B

Explanation:
The source explicitly mentions: 'This process shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.'

NEW QUESTION # 246
What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A. It allows the CM to act as a Custodian for institutional clients without separate registration.
B. It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.
C. It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
D. It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
E. It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.

Answer: B

Explanation:
Inter-operability among Clearing Corporations enables a Clearing Member to select the Clearing Corporation of its choice to clear and settle trades executed in multiple exchanges. This allows market participants to consolidate their clearing and settlement functions at a single Clearing Corporation.

NEW QUESTION # 247
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