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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q27-Q32):

NEW QUESTION # 27
Under the 'Direct Pay-out' of securities framework mandated by SEBI, to which category of clients is this facility not applicable?

A. Non-Resident Indians (NRIs) dealing through a Portfolio Investment Scheme (PIS)
B. Retail Individual Investors
C. Clients having arrangements with custodians registered with SEBI for clearing and settlement
D. High Net-worth Individuals (HNls)
E. Qualified Stock Brokers' proprietary trading accounts

Answer: C

Explanation:
The securities direct pay-out shall not be applicable to clients having arrangements with custodians registered with SEBI for clearing and settlement of trades. For other clients, the securities are credited directly to their demat accounts by the Clearing Corporation.

NEW QUESTION # 28
If the conciliation process fails and the **Market Participant** decides to pursue online arbitration, what specific financial requirement must they satisfy prior to the initiation of the online arbitration?

A. They must deposit 75% of the claim value with the Investor Protection Fund (IPF).
B. They must pay a non-refundable arbitration fee of Rs. 25,000.
C. They must deposit 100% of the admissible claim value with the relevant Market Infrastructure Institution (MII).
D. They must provide a Bank Guarantee equivalent to 50% of the claim value.
E. They must obtain an indemnity bond from the investor for the full claim amount.

Answer: C

Explanation:
As per the guidelines, 'In case the Market Participant wishes to pursue online arbitration, then the Market Participant must deposit 100% of the admissible claim value with the relevant Mll prior to initiation of the online arbitration'.

NEW QUESTION # 29
A Trading Member executes sell orders in the T+0 settlement cycle. What is the mandatory mechanism required to fulfill the pay-in of securities for these sell obligations?

A. Inter-depository transfer to the settlement account of the Clearing Corporation post-trading hours.
B. Standard pay-in instruction via physical DIS submitted to the Depository Participant.
C. Only by way of early pay-in (EPI) using the block mechanism.
D. Transfer to the Member Pool Account by 10:30 AM on T day.
E. Auto-pledge of securities in favor of the Clearing Corporation.

Answer: C

Explanation:
The regulations specify that pay-in for T+0 sell obligations shall be allowed only by way of early pay-in using block mechanism.

NEW QUESTION # 30
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.
B. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
C. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.
D. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
E. The employee is strictly prohibited from accessing personal mail or blogs on office premises.

Answer: C

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

NEW QUESTION # 31
Which of the following statements accurately describe the features and conditions of the 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives'? (Select all that apply)

A. Clearing Corporations continue to maintain segment-wise default waterfalls.
B. Netting of delivery obligations is strictly for the purpose of settlement.
C. Investors whose Trading Member clears trades through different Clearing Corporations for Cash and F&O are eligible for netting.
D. The benefit of netting is available to non-institutional Custodial Participants (CPs) clearing through the same entity registered both as a custodian in cash and as a CM in F&O.
E. Securities Transaction Tax (STT) is computed on the final netted obligation to avoid double taxation.

Answer: A,B,D

Explanation:
Statement A is correct: Netting is available for non-institutional CPs clearing through the same entity registered as custodian in cash and CM in F&O. Statement B is incorrect: Investors whose TM clears through different CM/CC will not be able to avail the benefit. Statement C is incorrect: STT/Stamp Duty continue to be computed on a segment-wise level. Statement D is correct: Netting is only for the purpose of settlement. Statement E is correct: CCs continue to maintain segment-wise default waterfalls.

NEW QUESTION # 32
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