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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Topic 1: 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 2: Risk Management in Securities Markets- Market and operational risk
          • 1. Types of financial risks
            • 2. Operational risk controls
              - Risk mitigation systems
              • 1. Margins and collateral systems
                • 2. Surveillance and compliance mechanisms
                  Topic 3: Clearing and Settlement- Clearing mechanisms
                  • 1. Clearing corporations and counterparties
                    • 2. Netting and settlement obligations
                      - Settlement systems
                      • 1. T+1/T+2 settlement cycles
                        • 2. Margining and risk adjustments
                          Topic 4: Depository Operations- Corporate actions
                          • 1. Dividends, bonuses, splits
                            • 2. Record dates and entitlement processing
                              - Demat account framework
                              • 1. NSDL and CDSL roles
                                • 2. Account opening and maintenance

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q279-Q284):

                                  NEW QUESTION # 279
                                  Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

                                  Answer: E

                                  Explanation:
                                  The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'


                                  NEW QUESTION # 280
                                  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?

                                  Answer: E

                                  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 # 281
                                  Regarding the execution of transfer instructions, under what condition is a Depository Participant (DP) permitted to register the transfer of securities from a beneficial owner's account?

                                  Answer: A

                                  Explanation:
                                  A participant shall register the transfer of securities to or from a beneficial owner's account only on receipt of instructions from the beneficial owner and thereafter confirm the same to the beneficial owner.


                                  NEW QUESTION # 282
                                  Which of the following statements accurately describe the rules and procedures for **Dividend Adjustment** in the Equity F&O segment?
                                  (Select all that apply)

                                  Answer: B,C,D

                                  Explanation:
                                  StatementA is correct: Dividends below 2% are ordinary and not adjusted. Statement B is correct: Total dividend amount is reduced from strike prices. Statement D is correct: If AGM changes the rate, the reference is the closing price previous to the date of the AGM. Statement C is incorrect because revised prices are applicable from the ex.dividend date. Statement E is incorrect as adjustments apply to strike prices of options as well.


                                  NEW QUESTION # 283
                                  A corporate stock broker with a net worth of Rs. 10 Crore wishes to offer the margin trading facility (MTF) to its clients. According to SEBI regulations, what is the maximum limit on the broker's total indebtedness for the purpose of margin trading and the maximum allowable exposure towards MTF?

                                  Answer: D

                                  Explanation:
                                  According to the leverage and exposure limits for margin trading: 1) The total indebtedness of a broker for the purpose of margin trading shall not exceed 5 times of his net worth (5 10 Cr = 50 Cr). 2) The maximum allowable exposure of the broker towards the margin trading facility shall not exceed the borrowed funds and 50% of his 'net worthe (Borrowed Funds + 50% of 10 Cr = Borrowed Funds + 5 Cr).


                                  NEW QUESTION # 284
                                  ......

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