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NISM NISM-Series-VII Exam Syllabus Topics:

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

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q177-Q182):

                                  NEW QUESTION # 177
                                  When the Clearing Corporation conducts an auction for a short delivery but fails to find any sellers for the specific security, a 'Close Out' is initiated. According to the settlement process guidelines, how is the compensation value determined for the buyer in this specific scenario?

                                  Answer: A

                                  Explanation:
                                  If on the auction day, there are no sellers for a particular short delivery, the Clearing Corporation carries out a 'Close out'. The buyer is compensated by paying the value of the short delivered security at the highest price prevailing across the stock exchange from the day of trading till the auction/close out day OR 20% above the official closing price on the auction day, whichever is higher.


                                  NEW QUESTION # 178
                                  In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
                                  What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

                                  Answer: A

                                  Explanation:
                                  A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.


                                  NEW QUESTION # 179
                                  Stock brokers are required to maintain evidence of clients placing orders to prevent unauthorized trades. Which of the following statements accurately describes the regulatory requirements regarding the forms of evidence and the retention period?

                                  Answer: C

                                  Explanation:
                                  The source states that brokers shall execute trades only after keeping evidence in forms such as 'Physical record written & signed by client, Telephone recording, Email from authorized email id, Log for internet transactions, Record of SMS messages'. Regarding retention: 'The Brokers are required to maintain the records for a minimum period for which the arbitration accepts investors' complaints as notified from time to time (which is currently three years).'


                                  NEW QUESTION # 180
                                  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?

                                  Answer: C

                                  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 # 181
                                  In the context of the Indian Money Market, issuers must adhere to specific credit rating requirements to issue Commercial Paper (CP).
                                  What is the minimum credit rating required from a Credit Rating Agency (CRA) for the issuance of CPs?

                                  Answer: A

                                  Explanation:
                                  A Commercial Paper (CP) is used by Indian corporates to raise short-term unsecured funds. According to RBI regulations, the minimum credit rating assigned by a Credit Rating Agency (CRA) for the issuance of CPs shall be 'A3' as per the rating symbol and definition prescribed by SEBI.


                                  NEW QUESTION # 182
                                  ......

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