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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Clearing and Settlement- Clearing mechanisms
  • 1. Netting and settlement obligations
    • 2. Clearing corporations and counterparties
      - Settlement systems
      • 1. T+1/T+2 settlement cycles
        • 2. Margining and risk adjustments
          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
                  Securities Market Operations- Trading process
                  • 1. Trade confirmation and reporting
                    • 2. Order execution and trade lifecycle
                      - Market participants and structure
                      • 1. Roles of brokers, exchanges, and investors
                        • 2. Order types and trading mechanism basics
                          Depository Operations- Demat account framework
                          • 1. Account opening and maintenance
                            • 2. NSDL and CDSL roles
                              - Corporate actions
                              • 1. Record dates and entitlement processing
                                • 2. Dividends, bonuses, splits

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                                  NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q16-Q21):

                                  NEW QUESTION # 16
                                  Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

                                  Answer: A

                                  Explanation:
                                  For pay-in through NSDL/CDSL, the broker can avail of a facility wherein delivery-out instructions can be generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.


                                  NEW QUESTION # 17
                                  According to the SEBI (Prohibition of Insider Trading) Regulations, 2015, certain categories of persons are 'deemed to be connected persons' unless the contrary is established. Which of the following entities fall under this 'deemed' category?

                                  Answer: A,B,D,E

                                  Explanation:
                                  The regulations list several categories of 'deemed connected persons' including holding/subsidiary companies, bankers, officials of stock exchanges/clearing corporations, and concerns where a director has >10% interest. Option E is incorrect because the definition of a connected person includes association during the six months prior to the concerned act, not eight months,.


                                  NEW QUESTION # 18
                                  Cash Management Bills (CMBs) are issued by the Government of India to fund temporary cash flow mismatches. Which of the following correctly identifies their maturity characteristics and trading platform?

                                  Answer: B

                                  Explanation:
                                  Cash Management Bills (CMBs) have maturities less than 91 days. They are issued to absorb excess liquidity and fund temporary mismatches. Like Treasury bills, they are traded on the NDS-OM platform along with Government Securities.


                                  NEW QUESTION # 19
                                  As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, which of the following types of securities and products are permitted for dealing on the stock exchanges operating in the IFSC? (Select all that apply)

                                  Answer: A,B,C,D,E

                                  Explanation:
                                  As per the SEBI International Financial Services Centres (IFSC) guidelines, 2015, the stock exchanges operating in IFSC are permitted to deal in all the listed options: Equity shares of a company incorporated outside India, Depository receipt(s), Debt securities issued by eligible issuers, Currency and interest rate derivatives, Index based derivatives, Commodity derivatives, and REITs and InvITs.


                                  NEW QUESTION # 20
                                  Under the framework for 'Settlement of Account of Clients', specific provisions exist for clients who have not traded for a certain period. If a client has a credit balance but has not executed any transaction in the last 30 calendar days, how must the Trading Member (TM) handle the settlement of funds?

                                  Answer: B

                                  Explanation:
                                  According to SEBI circulars regarding clients who have not traded in the last 30 days: 'For the clients having credit balance, who have not done any transaction in the 30 calendar days... the entire credit balance of client shall be returned to the client by TM, on the upcoming settlement dates of monthly running account settlement cycle (irrespective of settlement cycle preferred by the client) as stipulated by stock exchanges.'


                                  NEW QUESTION # 21
                                  ......

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