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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q200-Q205):

NEW QUESTION # 200
The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?

A. Settlement dues and Transaction charges only
B. Settlement dues, Margin money, or Non-settlement dues
C. Non-settlement dues and Stamp Duty only
D. Settlement dues and Securities Transaction Tax (STT) only
E. Margin money and Base Minimum Capital (BMC) deposit only

Answer: B

Explanation:
The source explicitly lists the obligations as: 'A clearing member, failing to discharge his funds obligations relating to settlement dues, margin money or non-settlement dues at the notified time, shall render him liable...'

NEW QUESTION # 201
In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

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

Answer: E

Explanation:
A Professional Clearing Member (PCM) has only clearing rights and does not have trading rights. They clear and settle trades executed by trading members and custodian participants. A TCM has both trading and clearing rights. An SCM clears only their own trades. A TM has no clearing rights.

NEW QUESTION # 202
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 employee is strictly prohibited from accessing personal mail or blogs on office premises.
D. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
E. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.

Answer: E

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 # 203
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. 5% of the value of trade(s), subject to a minimum of? 1 lakh and maximum of ? 10 lakhs.
B. 1% of the value of trade(s), subject to a minimum of ? 50,000 and maximum of ? 5 lakhs.
C. A fixed fee of? 1 lakh irrespective of trade value, credited to the Investor Service Fund.
D. There is no fee for trade annulment if the request is submitted within 30 minutes.
E. 2% of the value of trade(s), with no minimum or maximum cap, credited to the Core Settlement Guarantee Fund.

Answer: A

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 # 204
Identify the correct timeline for the 'Auction Pay-in' and 'Auction Pay-out' of securities and funds in the context of the T+1 rolling settlement cycle.

A. Auction Pay-in: T+1 (After auction session); Auction Pay-out: T+1 (End of day)
B. Auction Pay-in: T+2; Auction Pay-out: T+3
C. Auction Pay-in: T+2 (Subsequent day); Auction Pay-out: T+2 (Same day)
D. Auction Pay-in: T+3; Auction Pay-out: T+3
E. Auction Pay-in: T+1 (Evening); Auction Pay-out: T+2 (Morning)

Answer: C

Explanation:
The auction for undelivered quantities is conducted on the settlement day (T+1 The members are required to deliver the shares (Auction Pay-in) to the clearing corporation on or before the auction pay-in day, i.e., the subsequent day (T+2). Pay-out of auction shares and funds is also done on the same day (T+2).

NEW QUESTION # 205
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