New Release NISM-Series-VII PDF Questions [2026] - NISM NISM-Series-VII Exam Dumps

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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q168-Q173):

NEW QUESTION # 168
Regarding the maintenance of a Running Account for funds by a stock broker for a client, which of the following statements accurately reflects the regulatory requirement for the actual settlement of funds?

A. Settlement is mandatory only when the credit balance exceeds Rs. 10,000; otherwise, funds can be retained indefinitely.
B. Settlement dates are determined individually by each stock broker based on their internal risk management policy.
C. Settlement must be done on the last trading day of every month or quarter as per the client's preference.
D. Settlement must occur within 24 hours of the payout for every transaction, regardless of the running account authorization.
E. Settlement shall be done on the first Friday and/or Saturday of every month/quarter, based on the annual calendar issued jointly by Stock Exchanges.

Answer: E

Explanation:
As per the source, the settlement of running accounts of funds shall be done on 'Quarterly and monthly basis, on the dates stipulated by the Exchanges'. Specifically, 'Settlement of running account shall be settled on first Friday and/or Saturday of every month/quarter.' Stock exchanges jointly issue the annual calendar for this purpose.

NEW QUESTION # 169
Which of the following operational parameters and exclusions are correctly associated with the framework for the beta version of the T+0 rolling settlement cycle? (Select all that apply)

A. Pay-in for sell obligations is allowed only via Early Pay-In using the block mechanism.
B. Pre-Open, Special Pre-Open, and Post close sessions are not applicable.
C. The price band is fixed at +1-5% relative to the T+1 market price without re-calibration.
D. Trading is not permitted on the Ex-date of securities.
E. Security shortages are handled through a dedicated auction session on T+0 day.

Answer: A,B,D

Explanation:
Option A is correct: No trading for T+0 settlement on Ex-date of securities. Option C is correct: Pre-Open, Special Pre-Open, and Post close sessions are not applicable. Option D is correct: Pay-in is allowed only by way of early pay-in using block mechanism. Option B is incorrect as auctions are not conducted (direct close-out applies). Option E is incorrect as the price band is +1- 100 bps with re-calibration.

NEW QUESTION # 170
What specific regulatory benefit regarding reserve requirements is accorded to funds borrowed through the Triparty Repo Dealing System (TREPS) in India?

A. Waiver of stamp duty on the underlying collateral
B. Automatic guarantee by the Central Government
C. Eligibility for priority sector lending classification
D. Exemption from Securities Transaction Tax (STT)
E. Exemption from RBI's CRR/SLR computation

Answer: E

Explanation:
Funds borrowed on TREPS are exempted from RBI's CRR (Cash Reserve Ratio) and SLR (Statutory Liquidity Ratio) computation. Additionally, the security acquired under the deal is eligible for SLR by the acquiring Bank.

NEW QUESTION # 171
A stock broker receives a request from a client to maintain a running account for funds to avoid frequent pay-ins and pay-outs. Regarding the authorization for this running account, which of the following conditions is **MANDATORY** for the broker to accept the request?

A. The authorization automatically allows the broker to transfer funds between different clients to manage temporary shortages.
B. The authorization is valid for a lifetime unless the broker decides to revoke it due to risk management concerns.
C. The actual settlement of funds must be done at least once in a financial year.
D. The authorization can be signed by the Power of Attorney (POA) holder if the client is traveling abroad.
E. The authorization must be signed by the client only and cannot be signed by any Authorized Person or POA holder.

Answer: E

Explanation:
According to the guidelines for Mode of Payment and Delivery from Clients, the authorization for maintaining a running account shall be signed by the client only and not by any Authorized Person on his behalf or any holder of the Power of Attorney. The authorization must be dated and revocable, and actual settlement must happen at least once in a calendar quarter or month.

NEW QUESTION # 172
What is the mandatory mechanism for effecting the pay-in of securities for sell obligations in the T+0 settlement cycle?

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

Answer: C

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 # 173
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