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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Investor Protection	7%	- Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution
Technology in Securities Markets	8%	- Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement
Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Securities Market Overview	10%	- Structure and segments of Indian securities market - Types of securities and products - Market participants and their roles
Risk Management and Margining	18%	- Margining systems and methodologies - Types of risks in securities operations - Risk monitoring and control measures
Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee
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 (Q233-Q238):

NEW QUESTION # 233
A registered Trading Member desires to clear and settle trades executed by them on their own account as well as for their clients. However, they specifically do not intend to clear trades for 'Custodial Participants'. Which category of membership on the Clearing Corporation corresponds strictly to these operational rights and limitations?

A. Professional Clearing Member (PCM)
B. Trading Member-cum-Clearing Member (TCM)
C. Authorized Person
D. Trading cum Self-Clearing Member (SCM)
E. Custodian

Answer: D

Explanation:
A Trading cum Self-Clearing Member (SCM) has trading as well as clearing rights. They are permitted to clear and settle trades executed by them only, either on their own account or on account of their clients, but not for custodian participants. In contrast, a TCM can clear for custodian participants.

NEW QUESTION # 234
A purchaser of securities wishes to streamline the process of receiving securities into their demat account. What are the permissible modes for a client to handle receipt instructions with their Depository Participant (DP)?

A. The client must mandatorily issue a separate physical receipt instruction for every single trade.
B. The client can give a one-time standing instruction to the DP for receiving securities, or choose to issue separate receipt instructions for each purchase.
C. Standing instructions are only valid for government securities and not for equity shares.
D. The client must grant a Power of Attorney to the Clearing Corporation to auto-credit securities.
E. Receipt instructions are not required at all as the Clearing Corporation has a unilateral right to credit any account.

Answer: B

Explanation:
A purchaser of securities can give a one-time standing instruction to his DP for receiving securities in his account. This standing instruction can be given at the time of opening of account or later. Alternatively, the client may choose to issue separate receipt instruction to his DP every time the client makes any purchase of securities.

NEW QUESTION # 235
Regarding the methodology for adjusting Rights Issues in the Equity F&O segment, how are the Market Lot and Position of the existing contracts modified using the Adjustment Factor?

A. The new market lot and position are arrived at by multiplying the old market lot and position by the adjustment factor.
B. The new market lot is multiplied, while the position is divided by the adjustment factor.
C. The new market lot and position remain unchanged; only the strike price is adjusted.
D. The new market lot is arrived at by adding the Rights Entitlement ratio to the old lot.
E. The new market lot and position are arrived at by dividing the old market lot and position by the adjustment factor.

Answer: E

Explanation:
For Rights Issues, the new market lot/multiplier is arrived at by dividing the old market lot by the adjustment faction Similarly, the new position is arrived at by dividing the old position by the adjustment factor. Note that for Rights, the adjustment factor is typically less than 1, resulting in an increase in lot size and position.

NEW QUESTION # 236
According to the SEBI (Portfolio Managers) Regulations, 2020, which of the following entities is defined as a 'Co-investment Portfolio Manager' and what is the specific restriction on their investment activities?

A. A non-discretionary portfolio manager who invests only in government securities and money market instruments.
B. A discretionary portfolio manager who leverages client funds for derivative trading up to 50% of the portfolio value.
C. A Portfolio Manager providing services to accredited investors only and investing up to 100% in unlisted securities.
D. A Manager of a Category I or II AIF who provides services only to investors of such AIFs and makes investments only in unlisted securities of investee companies where such AIFs make investments.
E. A Manager of a Mutual Fund who invests only in listed securities of investee companies where the Mutual Fund makes investments.

Answer: D

Explanation:
A 'Co-investment Portfolio Manager' is defined as a Portfolio Manager who is a Manager of a Category I or Category II Alternative Investment Fund(s); and provides services only to the investors of such AIFs; and makes investment only in unlisted securities of investee companies where such Category I or Category II Alternative Investment Fund(s) make investments.

NEW QUESTION # 237
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. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
B. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
C. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee 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 # 238
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