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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Broking Operations	- Front Office, Middle Office and Back Office functions in a Securities Broking Firm 1. Settlement processing 2. Risk management 3. Trade execution
Topic 2: Investor Grievance Redressal	- Process of investor grievances redressal 1. Regulatory requirements 2. Procedures for handling complaints
Topic 3: Risk Management	- Risk management in a securities broking firm 1. Compliance and control measures 2. Identifying and mitigating risks
Topic 4: Regulatory Framework	- Role of the Securities and Exchange Board of India (SEBI) 1. Regulatory oversight 2. Investor protection
Topic 5: Trade Life Cycle	- Steps and participants involved in the trade life cycle 1. Role of the back office in a securities broking firm 2. Clearing and settlement process
Topic 6: Indian Securities Market	- Overview of the Indian securities market 1. Different products traded 2. Various market participants and their roles

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q44-Q49):

NEW QUESTION # 44
A transferee (buyer) in the depository system wishes to receive securities into their demat account. What is the operational requirement regarding 'Standing Instructions' (SI) for this process?

A. The SI functionality has been replaced entirely by the Demat Debit and Pledge Instruction (DDPI).
B. Standing Instructions are mandatory for all accounts; without them, the account remains inactive.
C. Standing Instructions are valid only for off-market transfers and not for market trades.
D. If 'Standing Instructions' are not given, the transferee must give separate Receipt Instructions each time to the DP to receive securities.
E. Standing Instructions allow the DP to debit the account without a Delivery Instruction Slip (DIS).

Answer: D

Explanation:
The transferee has to submit Receipt Instruction to receive securities into his account. However, for the convenience of investor, transferee can give 'Standing Instructions' (SI) to its DP for receiving in securities. If OSI' is not given, then the transferee has to give separate instructions each time for receiving the securities.

NEW QUESTION # 45
Which of the following statements accurately describe the principles and methodology for Corporate Actions Adjustment in the Equity F&O segment? (Select all that apply)

A. Adjustments for corporate actions are carried out only on positions that are In-The-Money (ITM); OTM positions are left unadjusted.
B. The adjustments for corporate actions would be carried out on all open positions.
C. Adjustments may entail modifications to Strike Price, Position, and Market Lot I Multiplier.
D. The basis for adjustment is that the value of the position on the cum-date and ex-date shall continue to remain the same as far as possible.
E. For Bonus issues, the new strike price is arrived at by multiplying the old strike price by the adjustment factor.

Answer: B,C,D

Explanation:
Statement A is correct regarding the basic premise of value continuity. Statement C is correct regarding the variables adjusted. Statement E is correct that it applies to open positions. Statement B is incorrect because adjustments apply to all positions, not just ITM. Statement D is incorrect because for Bonus issues, the new strike price is arrived at by *dividing* (not multiplying) the old strike price by the adjustment factor.

NEW QUESTION # 46
A trader has bought 1000 shares of XYZ Ltd. at Rs. 500 and wants to limit the potential loss to roughly Rs. 20 per share using a Sell Stop Loss order. Which of the following combinations of 'Trigger Price' and 'Limit Price' represents a valid and logical Stop Loss Limit order configuration for this purpose?

A. Trigger Price: Rs. 20; Limit Price: Rs. 0
B. Trigger Price: Rs. 480; Limit Price: Rs. 478
C. Trigger Price: Rs. 480; Limit Price: Rs. 485
D. Trigger Price: Rs. 520; Limit Price: Rs. 525
E. Trigger Price: Rs. 500; Limit Price: Rs. 480

Answer: B

Explanation:
For a Sell Stop Loss order, the Trigger Price must be below the current market price (to trigger when price falls). The Limit Price can be equal to or less than the Trigger Price to ensure the order is marketable once triggered in a falling market. Option B (Trigger 480, Limit 478) fits this logic. Option C places a limit higher than the trigger, which might not execute if the market crashes rapidly.

NEW QUESTION # 47
When a stock broker places an order for an additional subscription of mutual fund units in physical mode through the Exchange system, which of the following data fields is mandatory to ensure the transaction is processed correctly?

A. ISIN of the Demat Account
B. Depository Participant ID
C. Client Beneficiary ID
D. Folio Number
E. UCC Mapping Code

Answer: D

Explanation:
The stock broker can request for fresh or additional subscription. For additional subscription in physical mode the folio number would be mandatory. If the DP Settlement is in depository mode, it is mandatory for the stock broker to enter depository details (Depository ID and Client Beneficiary ID).

NEW QUESTION # 48
Regarding the 'Direct Pay-out' of securities mandated by SEBI vide circular dated June 05, 2024, which of the following operational changes has been implemented concerning the credit of securities and the settlement timing?

A. Securities are credited to the Broker's Pool Account by 1 PM, and the broker must transfer them to the client by 3:30 PM on the same day.
B. Securities are credited to a temporary 'Client Unpaid Securities Account' maintained by the Clearing Corporation until funds are cleared.
C. Direct pay-out is applicable only for Institutional Clients, while Retail Clients continue to receive shares via the Broker's Pool Account.
D. Securities are credited directly to the client's demat account by the Clearing Corporation, and the pay-out timing is revised from 1 PM to 3:30 PM.
E. The pay-out timing remains 1 PM, but the securities are credited to the client's account on T+2 day instead of T+1.

Answer: D

Explanation:
As a consequence of the mandate for securities for pay-out to be credited directly to the respective client's demat account by the Clearing Corporations, the timing of the payout of securities shall be revised from 1 PM to 3:30 PM. As a result, securities shall be credited to the clients' demat account on the same settlement day.

NEW QUESTION # 49
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