NISM-Series-VII Questions - Pass On First Try [2026]

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q169-Q174):

NEW QUESTION # 169
Regarding the operational parameters for the beta version of the T+0 rolling settlement cycle, how is the price band determined and re-calibrated during the trading session?

A. It is fixed at +1-5% of the previous day's closing price without any intraday recalibration.
B. It operates with a price band of +100 basis points from the price in the regular T+1 market, re-calibrated after every 50 basis points movement in the underlying T+1 market.
C. It mirrors the price band of the T+1 market exactly, including any circuit breaker halts.
D. It is dynamically linked to the futures market price with a variance of 0.5%.
E. It is set at +1- 10% of the opening price of the T+0 market and remains static throughout the continuous trading session.

Answer: B

Explanation:
According to the source, the price in the T+0 segment will operate with a price band of +100 basis points from the price in the regular T+1 market. This band will be re-calibrated after every 50 basis points movement in the underlying T+1 market.

NEW QUESTION # 170
Under the SEBI (Prohibition of Insider Trading) Regulations, 2015, which of the following parties is deemed to be a 'Connected Person' unless the contrary is established?

A. A vendor supplying office stationery on a one-off basis.
B. A former employee who left the company 12 months prior to the act.
C. An individual who has never held a position in the company.
D. A banker of the company.
E. A shareholder holding 5% interest in the company.

Answer: D

Explanation:
The regulations list categories of persons deemed to be 'Connected Persons'. This list includes a banker of the company. A former employee is a connected person if associated within 6 months prior to the act. A holding of more than 10% interest is required to be deemed connected. Therefore, a banker is the correct deemed connected person.

NEW QUESTION # 171
Under the 'Segregation and Monitoring of Collateral at Client Level' norms, how is the collateral allocated to a client utilized by the Clearing Corporation?

A. It is primarily used for the client but can be used for the TM's proprietary obligations in case of a shortfall.
B. It is transferred to the Core Settlement Guarantee Fund immediately upon receipt.
C. It is used to provide exposure limits to the Clearing Member's other Trading Members.
D. It is used to cover the margin obligation of that specific client only.
E. It is pooled with other clients' collateral to cover the aggregate margin requirement of the Trading Member.

Answer: D

Explanation:
The CCs provide a facility for upfront segment-wise allocation of collateral. The CCs use such collateral allocation information to ensure that the collateral allocated to a client is used towards the margin obligation of that client only.

NEW QUESTION # 172
For which specific category of clients is the 'Block Mechanism' in the demat account for sale transactions explicitly applicable?

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

Answer: E

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 # 173
The Money Market in India comprises various segments based on the tenor and type of instrument. Which of the following statements correctly describe the features of these segments/instruments? (Select all that apply)

A. Call Money market is meant for overnight lending and borrowing.
B. Notice Money market involves lending and borrowing for a period between 2 days and 14 days.
C. Certificate of Deposits (CDs) issued by All India Financial Institutions can have a maturity period not less than 1 year and not exceeding 3 years.
D. Commercial Papers (CPs) can be issued for maturities exceeding 1 year.
E. Term Money market involves lending and borrowing for a period between 15 days and 1 year.

Answer: A,B,C,E

Explanation:
Call Money is predominantly overnight. Notice Money is for 2-14 days. Term Money is for 15 days to 1 year. Certificate of Deposits (CDs) can be issued by All India Financial Institutions for a period not less than 1 year and not exceeding 3 years (Banks issue for up to 1 year). Commercial Papers (CPs) are issued for maturities between 7 days and one year; thus, option E is incorrect.

NEW QUESTION # 174
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