Free PDF 2026 NISM-Series-VII: High-quality NISM Series VII - Securities Operations and Risk Management Certification Valid Study Questions

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: 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
Topic 2: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Operational risk controls 2. Types of financial risks
Topic 3: Clearing and Settlement	- Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles - Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations
Topic 4: 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 (Q258-Q263):

NEW QUESTION # 258
Which of the following statements are TRUE regarding the management, accruals, and usage of the Core Settlement Guarantee Fund (Core SGF)? (Select all that apply)

A. The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
B. Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.
C. CC contribution to Core SGF is treated as a liability and excluded from its net worth.
D. Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
E. Stock Exchanges are allowed to transfer excess contribution made by them from the Core SGF of one CC to the Core SGF of another CC in an inter-operable scenario.

Answer: A,D,E

Explanation:
According to the source: Penalties levied by CC shall be credited to Core SGF corpus (Option A is True). Interest on cash contribution shall accrue to the Core SGF and be attributed pro-rata (Option B is False). The ROC of the CC shall manage the Core SGF (Option C is True). SEs are allowed to transfer excess contribution in inter-operable scenarios (Option D is True). CC contribution to core SGF shall be considered as part of its net worth (Option E is False).

NEW QUESTION # 259
Under the SCORES 2.0 mechanism, complaints are monitored by a 'Designated Body' to ensure timely redressal. Who acts as the Designated Body for complaints lodged against a Stock Broker?

A. The Association of Mutual Funds in India (AMFI)
B. Securities and Exchange Board of India (SEBI)
C. The Investor Protection Fund Trust
D. The Stock Exchange
E. The Depository (NSDL or CDSL)

Answer: D

Explanation:
For a Stock Broker, the Stock Exchange is the Designated Body. The Designated Body ensures that the concerned Entity submits the Action Taken Reports (ATRs) within the stipulated time.

NEW QUESTION # 260
Clearing Corporations are required to conduct various tests to ensure the adequacy of the Core SGF. What is the specific purpose of the 'Reverse Stress Test' as defined in the risk management framework?

A. To test the operational capability of the backup disaster recovery site.
B. To identify under which market conditions and scenarios the combination of margins, Core SGF, and other financial resources would prove insufficient.
C. To calculate the historical volatility of the most liquid securities over the past 5 years.
D. To determine the daily settlement price of illiquid futures contracts.
E. To validate the accuracy of the software used for margin calculation.

Answer: B

Explanation:
The source defines Reverse stress test as: 'CC shall periodically carry out reverse stress tests designed to identify under which market conditions and under what scenarios the combination of its margins, Core SGF and other financial resources prove insufficient to meet its obligations'.

NEW QUESTION # 261
In the context of the T+1 rolling settlement cycle for the Cash Segment, by what specific time must the custodial confirmation of trades be completed on the T+1 day to ensure the timely determination of final obligations by the Clearing Corporation?

A. By 1:30 PM on T+1 Day
B. By 11:00 AM on T+1 Day
C. By 9:00 AM on T+1 Day
D. By 4:15 PM on T Day
E. By 7:30 AM on T+1 Day

Answer: E

Explanation:
According to the general clearing process for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Following this, the Clearing Corporation performs multilateral netting and downloads final obligations by 9:00 a.m.

NEW QUESTION # 262
Which of the following guidelines are mandated to enable smooth settlement processes and help Clearing Corporations meet obligations in case of holidays? (Select all that apply)

A. Pay-in and pay-out of the first settlement must be completed before the commencement of the subsequent settlement.
B. Settlements for all trade dates falling on holidays must be deferred to the next working week.
C. CCs shall clear and settle trades on a sequential basis.
D. Members are prohibited from using the pay-out of the first settlement for the subsequent settlement's pay-in.
E. Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.

Answer: A,C,E

Explanation:
The guidelines include: 1. 'The CCs shall clear and settle the trades on a sequential basis'; 2. 'pay-in and the pay-out of the first settlement shall be completed before the commencement... of the subsequent settlement(s)'; 3. 'depositories shall... facilitate the inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.' Option D is incorrect as settlements are completed on the same day. Option E is incorrect as the pay-out is specifically made available for the subsequent pay-in.

NEW QUESTION # 263
......

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