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NISM NISM-Series-VII Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Clearing and Settlement15%- Clearing process and roles of clearing corporations
- Settlement cycle and mechanisms
- Delivery versus payment and settlement guarantee
Topic 2: Market Microstructure12%- Market indices and their calculation
- Price discovery and market efficiency
- Trading mechanisms and order types
Topic 3: Regulatory Framework15%- Code of conduct and ethical practices
- SEBI Act, Rules and Regulations
- Compliance requirements for intermediaries
Topic 4: Securities Market Overview10%- Market participants and their roles
- Types of securities and products
- Structure and segments of Indian securities market
Topic 5: Technology in Securities Markets8%- Emerging technologies and their impact
- Systems for trading, clearing and settlement
- Data security and business continuity
Topic 6: Trading Operations15%- Client onboarding and KYC norms
- Front office functions and processes
- Order management and trade execution
Topic 7: Investor Protection7%- Investor rights and grievances redressal
- Mechanisms for dispute resolution
- Investor education and awareness initiatives
Topic 8: Risk Management and Margining18%- Types of risks in securities operations
- Margining systems and methodologies
- Risk monitoring and control measures

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q321-Q326):

NEW QUESTION # 321
Which specific regulation defines a 'Clearing Corporation' as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments dealt on a recognized stock exchange?

Answer: D

Explanation:
The Securities Contracts (Regulation) (Stock Exchanges and Clearing Corporations) Regulations, 2018 defines a Clearing Corporation as an entity established to undertake the activity of clearing and settlement of trades in securities or other instruments or products that are dealt with or traded on a recognized stock exchange.


NEW QUESTION # 322
Under the ODR framework, what is the specific monetary threshold regarding the aggregate claim/counter-claim amount that necessitates the reference of the matter to an **Arbitral Tribunal consisting of three Arbitrators**?

Answer: C

Explanation:
The source specifies: 'In the event that the aggregate of the claim and/or counter-claim amount exceeds Rs 30,00,000 (Rupees Thirty Lakhs) or such amount as specified from time to time, the matter shall be referred to an Arbitral Tribunal consisting of three Arbitrators'.


NEW QUESTION # 323
For un-expired illiquid futures contracts on an individual security, how is the Daily Settlement Price determined by the Clearing Corporation?

Answer: E

Explanation:


NEW QUESTION # 324
In the context of the settlement of securities for sale transactions, specifically regarding the 'Demat Debit and Pledge Instruction' (DDPI), which of the following statements accurately defines the scope of authorization given by the client to the stock broker?

Answer: D

Explanation:
Clients can give 'Demat Debit and Pledge Instruction' (DDPI) under which they explicitly agree to authorize the stock broker/stock broker and depository participant to access their BO account for the limited purpose for transferring securities from their individual demat account to brokers pool account for the purpose of meeting their pay-in obligation. This serves to mitigate the misuse associated with the broader Power of Attorney (PoA),.


NEW QUESTION # 325
Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

Answer: C

Explanation:
The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.


NEW QUESTION # 326
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