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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q17-Q22):

NEW QUESTION # 17
The secondary market operates through different mediums with distinct settlement mechanisms. Which of the following statements accurately differentiates the Over-The-Counter (OTC) market from the Exchange Traded Market?

A. Exchange Traded Markets do not adhere to a fixed time schedule for settlement.
B. OTC markets are informal markets where trades are negotiated and settled bilaterally.
C. OTC markets use a centralized Clearing Corporation to guarantee all trades.
D. Exchange Traded Markets allow buyers and sellers to know each other's identity directly.
E. OTC markets consist of standardized contracts traded on a screen-based system.

Answer: B

Explanation:
The source states that OTC markets are informal markets where trades are negotiated, traded over the counter, and settled bilaterally. In contrast, the Exchange Traded Market uses a Clearing Corporation which acts as a counterparty and guarantees settlement, and buyers and sellers do not know each other.

NEW QUESTION # 18
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

A. High Net Worth Individuals (HNIs) trading in the F&O segment.
B. Clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.
C. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS).
D. Corporate clients trading through a proprietary account of the Trading Member.
E. Retail investors using the Application Supported by Blocked Amount (ASBA) facility.

Answer: B

Explanation:
The source explicitly states that the block mechanism shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades.

NEW QUESTION # 19
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.
B. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
C. The CC matches the client's available margin in the cash segment with the value of securities blocked.
D. The CC matches the client level net obligations with the Block details provided by the depositories.
E. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.

Answer: D

Explanation:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

NEW QUESTION # 20
Under the Online Dispute Resolution (ODR) framework, if a Market Participant wishes to initiate dispute resolution against an investor/client through the ODR Portal, which of the following procedural pre-requisites must be strictly fulfilled?

A. The Market Participant must obtain a 'No Objection Certificate' from SEBI.
B. The Market Participant can only initiate ODR if the claim value exceeds Rs. 10 Lakhs.
C. The Market Participant must wait for a mandatory cooling-off period of 60 days from the date of the transaction.
D. The Market Participant must deposit 50% of the disputed amount with the Stock Exchange.
E. The Market Participant must give due notice of at least 15 calendar days to the investor/client for resolution of the dispute.

Answer: E

Explanation:
According to the source, 'The concerned Market Participant may also initiate dispute resolution through the ODR Portal after having given due notice of at least 15 calendar days to the investor/client for resolution of the dispute which has not been satisfactorily resolved between them'.

NEW QUESTION # 21
An 'Accreditation Agency' issues an accreditation certificate to an investor. Under what specific condition regarding the investor's financial history is this certificate valid for a period of three years from the date of issuance?

A. If the applicant meets the eligibility criteria for the preceding one financial year
B. If the applicant is a Body Corporate with a Net Worth INR 50 Crore
C. If the applicant is a newly incorporated entity meeting the net-worth criteria as on the date of application
D. If the applicant meets the eligibility criteria in each of the preceding two financial years
E. If the applicant submits a bank guarantee equivalent to the net worth requirement

Answer: D

Explanation:
The validity of the accreditation certificate depends on the financial history: If the applicant meets the eligibility criteria for the preceding one financial year, the validity is two years. If the applicant meets the eligibility criteria in each of the preceding two financial years, the validity is three years. Newly incorporated entities meeting net-worth criteria get a two-year validity.

NEW QUESTION # 22
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