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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Risk Management and Margining	18%	- Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures
Topic 2: Technology in Securities Markets	8%	- Systems for trading, clearing and settlement - Data security and business continuity - Emerging technologies and their impact
Topic 3: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee
Topic 4: Trading Operations	15%	- Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes
Topic 5: Investor Protection	7%	- Investor education and awareness initiatives - Investor rights and grievances redressal - Mechanisms for dispute resolution
Topic 6: Market Microstructure	12%	- Price discovery and market efficiency - Market indices and their calculation - Trading mechanisms and order types
Topic 7: Securities Market Overview	10%	- Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market
Topic 8: Regulatory Framework	15%	- Compliance requirements for intermediaries - Code of conduct and ethical practices - SEBI Act, Rules and Regulations

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q31-Q36):

NEW QUESTION # 31
In the context of the 'Trade to trade' or 'Gross obligations' method for determining settlement obligations, how are a member's funds obligations calculated?

A. Funds pay-in and pay-out are both calculated on a netted basis across all clients.
B. Funds pay-in is equivalent to the cumulative value of buy transactions, and funds pay-out is equivalent to the cumulative sell value.
C. Funds pay-in is the cumulative buy value minus 20% margin, and pay-out is the cumulative sell value.
D. Funds obligations are determined solely based on the netted quantity of securities delivered.
E. Funds pay-in is the net of cumulative buy and sell values, while funds pay-out is zero.

Answer: B

Explanation:
Under 'Trade to trade or Gross obligations', transactions will not be netted. A member's funds pay-in will be equivalent to cumulative value of buy transactions and funds pay-out will be equivalent to cumulative sell value.

NEW QUESTION # 32
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?

A. Maturities between 91 and 182 days; Traded on CROMS
B. Maturities less than 14 days; Traded on OTC market only
C. Maturities up to 364 days; Traded on RFQ Platform
D. Maturities less than 91 days; Traded on NDS-OM platform
E. Maturities of exactly 91 days; Traded on NDS-CALL platform

Answer: D

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 # 33
Indian Depository Receipts (IDRs) allow foreign companies to raise funds from the Indian securities markets. Which of the following statements accurately reflects the rules regarding the redemption or conversion of IDRs into underlying equity shares?

A. Redemption/Conversion is permitted after 1 year from the date of listing of the IDRs.
B. Redemption is permitted immediately upon listing of the IDRs.
C. IDRs can only be converted into underlying shares if the issuer is a US-based company.
D. Redemption is permitted only after 3 years from the date of listing.
E. Two-way fungibility is strictly prohibited for IDRs.

Answer: A

Explanation:
For IDRs, redemption/conversion into the underlying shares is permitted after 1 year from the date of listing of the IDRs. Two-way fungibility is permitted, allowing conversion between IDRs and underlying shares within available headroom.

NEW QUESTION # 34
What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

A. Physical Delivery Instruction Slip submitted to the DP by 10:00 AM.
B. Transfer from Client Beneficiary Account to CM Pool Account via standard market instruction.
C. Automatic sweeping of securities from the client's demat account at 1 PM.
D. Only by way of early pay-in using block mechanism.
E. Inter-depository transfer from the client's account to the Clearing Corporation's account.

Answer: D

Explanation:
The source specifies: 'Pay-in for T+0 sell obligations shall be allowing only by way of early pay-in using block mechanism.'

NEW QUESTION # 35
Which of the following statements accurately reflect the operational requirements and functions of Clearing Members and Custodians in the Clearing Process? (Select all that apply)

A. Clearing Members must maintain a separate and distinct clearing bank account with a designated clearing bank.
B. Custodians are required to confirm whether they will settle a trade assigned to them; if they fail to confirm, the onus of settlement falls on the executing trading member.
C. Clearing Members can withdraw funds from their designated clearing bank account in favor of third-party vendors for operational expenses.
D. It is mandatory for clearing members to open demat accounts with both depositories (CDSL and NSDL) known as clearing member settlement pool accounts.
E. Clearing Members act as the legal counterparty to all trades through the process of novation, replacing the Clearing Corporation.

Answer: A,B,D

Explanation:
Statement A is correct ('mandatory for clearing members to open demat accounts with both the depositories'). Statement B is correct ('The custodian is required to confirm... In case the custodian fails to confirm then the onus of settling the trade falls on the trading member'). Statement E is correct ('mandatory for clearing member to open separate and distinct clearing bank account'). Statement C is incorrect because withdrawals are only allowed in 'self-name'. Statement D is incorrect because the *Clearing Corporation* acts as the legal counterparty through novation, not the Clearing Member.

NEW QUESTION # 36
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