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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Depository Operations	- Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits - Demat account framework 1. Account opening and maintenance 2. NSDL and CDSL roles
Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Risk Management in Securities Markets	- Market and operational risk 1. Types of financial risks 2. Operational risk controls - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q241-Q246):

NEW QUESTION # 241
Under Section 18A of the Securities Contracts (Regulation) Act, 1956, contracts in derivatives are considered legal and valid only if they satisfy specific conditions. Which of the following is a mandatory condition for such validity?

A. The contract must be traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange.
B. The contract must involve physical delivery of the underlying asset upon expiry.
C. The contract must be validated by the Reserve Bank of India (RBI) prior to execution.
D. The contract must be traded Over-the-Counter (OTC) between two financial institutions.
E. The contract must be settled bilaterally between the buyer and the seller without an intermediary.

Answer: A

Explanation:
Section 18A of the SCRA provides that contracts in derivatives shall be legal and valid if they are traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange, in accordance with the rules and bye-laws of such stock exchanges.

NEW QUESTION # 242
According to the SEBI circular dated April 05, 2022, regarding the use of Unified Payment Interface (UPI) in public issues of equity shares, which specific category of investors is mandated to use UPI and provide their UPI ID in the bid-cum-application form?

A. Anchor Investors applying during the anchor book period.
B. All Individual Investors applying in Public issues where the application amount is up to 5 Lakhs.
C. Non-lnstitutional Investors (NIIs) applying above Rs. 2 Lakhs.
D. Qualified Institutional Buyers (QIBs) applying up to Rs. 2 Lakhs.
E. All Retail Individual Investors applying for any amount.

Answer: B

Explanation:
SEBI vide circular dated April 05, 2022, decided that 'all Individual Investors applying in Public issues where the application amount is upto 5 Lakhs shall use UPI and shall also provide their UPI ID in the bid-cum-application form'.

NEW QUESTION # 243
In the context of facilitating Initial Public Offerings (IPO), how does the electronic trading infrastructure of broking firms specifically assist investors and the process?

A. Brokers determine the IPO issue price through an internal book-building process independent of the exchange.
B. Brokers fund the entire IPO application amount for the investor interest-free.
C. Brokers' systems are connected with the Stock Exchanges' main IPO system, allowing for the online uploading of application forms.
D. Brokers physically collect all applications and manually courier them to the Registrar, bypassing the electronic system.
E. Brokers provide a guarantee of allotment to their registered clients for every IPO application.

Answer: C

Explanation:
The text explains that 'The IPO process is facilitated by brokers as their system is connected with the stock Exchanges main IPO system and online uploading of forms is carried out. Thus, at any given time, the online status is available on the stock Exchanges.'

NEW QUESTION # 244
Which of the following statements correctly describe the operational framework for the settlement of institutional transactions in the Cash Segment? (Select all that apply)

A. The Custodial Participant (CP) Code must be entered at the time of order entry.
B. The custodian settles their deliveries on a gross basis with the stock exchanges.
C. All transactions are grossed for institutional investors at the custodian level for obligation fulfillment.
D. Institutional investors are permitted to square off their transactions intra-day (Day Trading).
E. It is mandatory for all institutional trades to be processed through the Straight Through Processing (STP) system.

Answer: A,C,E

Explanation:
Statement A is correct (Mandatory STP). Statement C is correct (Transactions grossed at custodian level for investor obligation). Statement E is correct (Mandatory CP code at order entry). Statement B is incorrect (Day trading prohibited). Statement D is incorrect because the custodian continues to settle their deliveries on a *net basis* with the stock exchanges/clearing corporation, even though the client obligation is gross.

NEW QUESTION # 245
SEBI has issued guidelines regarding the discontinuation of usage of pool accounts for transactions in units of Mutual Funds on Stock Exchange Platforms. Under this framework, which of the following practices is explicitly **PERMITTED** as an exception to the general rule against routing units through pool accounts?

A. Routing funds for subscription through the broker's clearing bank account for clients availing margin trading facilities.
B. Pooling of redemption proceeds in the broker's settlement account for deduction of statutory levies before payout to the client.
C. Issuance of Delivery Instruction Slip (DIS) to the Depository Participant to debit units held in dematerialized mode for delivery to the Clearing Corporation during redemption.
D. Holding non-demat units in a 'Client Unpaid Securities Account' if the client defaults on the subscription payment.
E. Crediting subscription units to the broker's pool account for reconciliation before transferring to the client.

Answer: C

Explanation:
SEBI has advised that pooling of funds/units by stock brokers shall be discontinued. However, for redemption of units held in dematerialized mode, the practice of issuance of Delivery Instruction Slip ('DIS') (physical or electronic) to the Depository Participant to debit the units for delivery to clearing corporation may continue.

NEW QUESTION # 246
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