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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	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Surveillance and compliance mechanisms 2. Margins and collateral systems
Topic 3: Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle
Topic 4: Clearing and Settlement	- Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q193-Q198):

NEW QUESTION # 193
According to the SEBI guidelines on Trade Annulment, what is the specific application fee structure that Stock Exchanges must charge for accepting an annulment request from a stock broker?

A. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.
B. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
C. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
D. 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
E. There is no fee for trade annulment if the request is submitted within 30 minutes.

Answer: D

Explanation:
As per SEBI guidelines on Trade Annulment, Stock exchanges shall charge an application fee equal to 5% of the value of trade(s) for accepting an annulment request from a stock broker, subject to a minimum fee of? 1 lakh and maximum fee of ? 10 lakhs. The amount realised is credited to the Investor Protection Fund.

NEW QUESTION # 194
To ensure visibility of client collateral and prevent misuse, SEBI mandated a reporting mechanism. How is the disaggregated collateral information reported up the chain to the Clearing Corporation?

A. Clients report directly to the Clearing Corporation via the web portal.
B. Depositories report the collateral usage directly to the Clearing Corporation based on pledge data.
C. Trading Members (TM) report to the Clearing Member (CM), and the CM reports to the Stock Exchanges and Clearing Corporations.
D. Trading Members (TM) report directly to the Stock Exchanges, which then forward data to the CC.
E. Clearing Members (CM) report only the aggregate figures to the CC, keeping client-level data internal.

Answer: C

Explanation:
The framework specifies that the TM shall report disaggregated information on collaterals up to the level of its clients to the CM. Subsequently, the CM shall report disaggregated information on collaterals up to the level of clients of TM and proprietary collaterals of the TMs to the Stock Exchanges (SEs) and CCs in respect of each segment.

NEW QUESTION # 195
Which of the following statements accurately describes the currency and jurisdictional nature of an International Financial Services Centre (IFSC) in India?

A. It caters to domestic customers only, offering products in foreign currency.
B. It is a deemed domestic territory for FEMA purposes but deals in foreign currency.
C. It operates under the jurisdiction of the state government where it is located, dealing in dual currencies.
D. It is a jurisdiction providing financial services to non-residents and residents (to the extent permissible) in a currency other than the domestic currency (Indian Rupee).
E. It operates in Indian Rupee (INR) but is exempt from RBI regulations.

Answer: D

Explanation:
An IFSC is defined as a jurisdiction that provides world-class financial services to non-residents and residents (to the extent permissible under current regulations) in a currency other than the domestic currency (Indian rupee) of the location where the IFSC is located.

NEW QUESTION # 196
SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

A. Submission using the facility of linked online trading, demat, and bank account (3-in-l type accounts).
B. Submission through the General Ledger account of the Stock Broker.
C. Direct transfer of funds to the issuer's escrow account via NEFT/RTGS.
D. Submission via physical ASBA forms at designated Self Certified Syndicate Banks (SCSBs).
E. Submission via the dedicated mobile application of the Registrar and Transfer Agent.

Answer: A

Explanation:
The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'

NEW QUESTION # 197
In the context of the 'SEBI Complaints Redress System (SCORES 2.0)', which of the following accurately describes the 'Review' mechanism available to a complainant who is dissatisfied with the resolution provided by the regulated entity?

A. A single-level review conducted directly by the Securities Appellate Tribunal (SAT).
B. A mandatory arbitration process initiated automatically upon dissatisfaction.
C. A review by the Investor Service Centre of the nearest Stock Exchange within 30 days.
D. No review option is available; the complainant must approach the civil court immediately.
E. Two levels of review: First by the 'Designated Body' and Second by SEBI.

Answer: E

Explanation:
SCORES 2.0 provides two levels of review: First review by the 'Designated Body' if the investor is dissatisfied with the resolution provided by the concerned regulated entity. Second review by SEBI if the investor is still dissatisfied after the first review.

NEW QUESTION # 198
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