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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q77-Q82):

NEW QUESTION # 77
Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?

A. 100% of the higher margin of the two positions.
B. 40% of the total applicable margin.
C. 0% (Total margin exemption).
D. 30% of the applicable upfront margin.
E. 25% of the total applicable margin on the eligible offsetting positions.

Answer: E

Explanation:
In cases where positions in derivatives segment for stock futures and index futures are in the same expiry month, a **spread margin of 25%" of the total applicable margin on the eligible offsetting positions shall be levied. (30% is for eligible equity indices pairs).

NEW QUESTION # 78
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' is specified under which schedule of the Foreign Exchange Management (Non-debt Instruments) Rules, 2019?

A. Schedule X
B. Schedule XI
C. Schedule V
D. Schedule VII
E. Schedule I

Answer: B

Explanation:
The 'Direct Listing of Equity Shares of Companies Incorporated in India on International Exchanges Scheme' (the Direct Listing Scheme) is specified in Schedule Xl of Foreign Exchange Management (Non-debt Instruments) Rules, 2019. This scheme provides the framework for issuing and listing equity shares of public Indian companies on international exchanges.

NEW QUESTION # 79
For a client availing the Margin Trading Facility (MTF) to purchase Group 1 equity shares that are NOT available for trading in the F&O segment, what is the applicable initial margin requirement that the stock broker must collect?

A. VaR Margin + 3 times applicable Extreme Loss Margin
B. VaR Margin + Extreme Loss Margin (ELM)
C. Span Margin + Exposure Margin
D. VaR Margin + 5 times applicable Extreme Loss Margin
E. 40% of the trade value irrespective ofVaR and ELM

Answer: D

Explanation:
For Group 1 stocks other than F&O stocks and Units of Equity ETF, the applicable margin for Margin Trading Facility is VaR + 5 times of applicable Extreme Loss Margin. For Group 1 stocks available in F&O, it is VaR + 3 times ELM.

NEW QUESTION # 80
Which of the following statements correctly reflect the regulatory framework and operational guidelines for the trading of Mutual Fund units on Stock Exchange Platforms? (Select all that apply)

A. For both demat and non-demat mode transactions, units shall be credited/debited directly to/from the investors' account without routing through the broker's pool account.
B. Stock brokers are permitted to pool funds in a specific 'Mutual Fund Nodal Account' before transferring to the Clearing Corporation.
C. Only stock brokers can access the Exchange platform for Mutual Funds; Mutual Fund Distributors are explicitly excluded.
D. Asset Management Companies (AMCs) must enter into an agreement with the Exchange/Clearing Corporation to provide this mechanism.
E. Funds pay-in is directly received by the clearing corporation from the investor account and funds pay-out is directly made to the investor account.

Answer: A,D,E

Explanation:
StatementA is correct. Statement B is correct. Statement D is correct. Statement C is incorrect as pooling of funds is discontinued. Statement E is incorrect as Mutual Fund Distributors registered with AMFI who are permitted by the stock exchanges can also participate.

NEW QUESTION # 81
Which of the following statements accurately reflect the nature and regulation of 'Research Reports' provided by stock brokers? (Select all that apply)

A. Research advice and recommendations can be delivered online or via SMS.
B. Brokers are exempt from SEBI regulations when providing research reports if they are also registered as Merchant Bankers.
C. Research reports normally educate investors about industry trends and which company scrips to buy, sell, or hold.
D. Brokerage houses must comply with SEBI (Research Analysts) Regulation, 2014.
E. Sector reports focus solely on the financial statements of a single company without considering industry policies.

Answer: A,C,D

Explanation:
Statement A is correct ('educate investors about the industry trends... which company scrips to buy, sell or hold'). Statement C is correct ('comply with... SEBI (Research Analysts) Regulation, 2014'). Statement E is correct ('can be obtained as SMS... more online now'). Statement B is incorrect (strict rules apply). Statement D is incorrect (Sector reports cover how an industry is faring and policies).

NEW QUESTION # 82
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