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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Securities Market Overview	10%	- Market participants and their roles - Types of securities and products - Structure and segments of Indian securities market
Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives
Technology in Securities Markets	8%	- Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement
Risk Management and Margining	18%	- Margining systems and methodologies - Types of risks in securities operations - Risk monitoring and control measures
Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes
Clearing and Settlement	15%	- Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee
Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries
Market Microstructure	12%	- Trading mechanisms and order types - Price discovery and market efficiency - Market indices and their calculation

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q20-Q25):

NEW QUESTION # 20
In the context of the Block Mechanism for sale transactions, which of the following statements accurately describes the permissible flow of securities for **matched orders** up to the pay-in day?

A. Securities are debited from the Client's demat account and credited to the linked TM Pool account; the TM shall further transfer such securities only to the CM Pool account.
B. Securities are transferred to a temporary 'Client IJnpaid Securities Account' before being moved to the Clearing Member's pool account.
C. Securities remain in the Client's demat account until the pay-out day, after which they are directly transferred to the buyer's account.
D. Securities are debited from the Client's demat account and credited directly to the Clearing Corporation's settlement account, bypassing the Trading Member.
E. Securities are transferred from the Client's account to the Trading Member's (TM) Pool account, and the TM can further transfer them to any other TM's pool account.

Answer: A

Explanation:
For matched orders, blocked securities are debited from the Client's demat account and credited to the linked TM Pool account up to the pay-in day. The TM shall further transfer such securities to the CM Pool account. Crucially, pool-to-pool transfers except from TM pool to CM pool are not permitted.

NEW QUESTION # 21
Regarding the premium settlement for option contracts, at what level is the premium payable or receivable value computed by the Clearing Corporation?

A. Netting is done across all option contracts for a specific underlying security at the client level.
B. Gross at the individual client level without any netting.
C. Netting at the Clearing Member level across all segments.
D. After netting the premium payable or receivable positions at the Trading Member/Custodial Participant level for each option contract.
E. Gross at the Trading Member level but netted at the Clearing Member level.

Answer: D

Explanation:
The source states that for premium settlement in respect of admitted deals in options contracts, the premium payable or receivable value of clearing members shall be computed after netting the premium payable or receivable positions at trading member/Custodial Participant level, for each option contract, at the end of each trading day.

NEW QUESTION # 22
Which of the following items are mandated contributions by the Stock Exchange to the Investor Protection Fund (IPF) according to SEBI guidelines? (Select all that apply)

A. 100% of the interest earned on the 1% security deposit kept by issuer companies (immediately on refund).
B. Penalties collected from listed companies for non-compliance with LODR Regulations.
C. At least 20% of the listing fees received.
D. 1% of the listing fees received, on a quarterly basis.
E. Penalty collected from Trading Members for deficiency in modification of client code.

Answer: A,B,D,E

Explanation:
Option A (1 % listing fees), Option B (LODR penalties), Option D (Interest on security deposit), and Option E (Client code modification penalties) are all listed as contributions to the IPF in the source text,. Option C (20% of listing fees) is incorrect for IPF; it applies to the Investor services Fund OSF).

NEW QUESTION # 23
In the context of 'Network Security' for Internet Based Trading systems, specific measures are mandatory to protect the exchange connectivity. Which of the following accurately describes the requirement regarding Firewalls and Server Access?

A. Firewalls are required only for Wireless Trading; Server access must use simple text authentication.
B. Suitable Firewalls must be placed between the broker's back office and the Internet; Server access must use VPN only.
C. Firewalls must be placed only at the client terminal end; Server access requires a static IP address without SSL.
D. Firewalls are optional if 2FA is implemented; Server access must use HTTP protocol.
E. Suitable Firewalls must be placed between the Internet trading set-up and the trading set-up directly connected to the Exchange; Server access must use Secured Socket Level Security.

Answer: E

Explanation:
The mandatory security features include: Secured Socket Level Security for server access through Internet and Suitable Firewalls between trading set-up directly connected to an Exchange trading system and the Internet trading set-up.

NEW QUESTION # 24
Stock brokers provide various types of research reports to assist investors. Specifically, what content is a 'Sector Research' report expected to cover to help investors in their decision-making process?

A. Detailed technical analysis of stock price movements and volume data for specific scrips.
B. Mathematical models for algorithmic trading strategies.
C. A comprehensive list of all IPOs expected to hit the market in the next financial year.
D. Details on how an industry is faring and whether current policies favour the industry.
E. Confidential insider information regarding upcoming mergers and acquisitions.

Answer: D

Explanation:
According to the text, * *Sector research includes details on how an industry is faring, whether current policies favour the industry, etc.", so that the choice of investing in a particular industry rests with the investor.

NEW QUESTION # 25
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