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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. Account opening and maintenance 2. NSDL and CDSL roles
Topic 2: Securities Market Operations	- Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting - Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors
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: Risk Management in Securities Markets	- Market and operational risk 1. Operational risk controls 2. Types of financial risks - Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q230-Q235):

NEW QUESTION # 230
Under the cross-margining facility, if a client holds a long position in Index Futures and a corresponding short position in the constituent stock futures (in the ratio specified to replicate the index) with the **same expiry month**, what is the applicable * *spread margin* * levied on the eligible offsetting positions?

A. 40% of the total applicable margin.
B. 0% (Total margin exemption).
C. 30% of the applicable upfront margin.
D. 100% of the higher margin of the two positions.
E. 25% of the total applicable margin on the eligible offsetting positions.

Answer: E

Explanation:
In cases where positions in derivatives segment for stock futures and index futures are in the same expiry month, a **spread margin of 25%" of the total applicable margin on the eligible offsetting positions shall be levied. (30% is for eligible equity indices pairs).

NEW QUESTION # 231
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. Members are prohibited from using the pay-out of the first settlement for the subsequent settlement's pay-in.
B. Settlements for all trade dates falling on holidays must be deferred to the next working week.
C. Depositories shall facilitate inter-depository transfers within one hour and before pay-in for the subsequent settlement begins.
D. CCs shall clear and settle trades on a sequential basis.
E. Pay-in and pay-out of the first settlement must be completed before the commencement of the subsequent settlement.

Answer: C,D,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 # 232
Regarding the calculation of the settlement date in a T+1 rolling settlement environment, which of the following days are explicitly excluded when determining the T+1 day?

A. Only days when the Reserve Bank of India (RBI) is closed.
B. Bank holidays, Exchange/Clearing Corporation holidays, Saturdays, and Sundays.
C. Only Saturdays and Sundays.
D. Public holidays declared under the Negotiable Instruments Act only.
E. Only Exchange trading holidays.

Answer: B

NEW QUESTION # 233
In the context of primary market issuance, which of the following correctly defines a 'Retail Individual Investor'?

A. Any non-institutional investor applying for securities up to ten lakhs rupees
B. Any investor who applies for specified securities for a value of not more than five lakhs rupees
C. An individual investor (Resident Indians, NRIs, HUF) who applies for specified securities for a value of not more than two lakhs rupees
D. An investor who trades strictly in the cash segment with a turnover less than two lakhs rupees
E. An individual investor whose total annual income is less than two lakhs rupees

Answer: C

Explanation:
Retail Individual Investors are defined as an individual investor (Resident Indians, non-resident Indians, HUF) who applies or bids for specified securities for a value of not more than two lakhs rupees.

NEW QUESTION # 234
In the context of clearing membership on a Stock Exchange, identify the member category that possesses only clearing rights (no trading rights) and is authorized to clear and settle trades executed by both trading members and custodian participants.

A. Professional Clearing Member (PCM)
B. Trading Member-cum-Clearing Member (TCM)
C. Authorized Person (AP)
D. Trading Member (TM)
E. Trading cum Self-clearing Member (SCM)

Answer: A

Explanation:
A Professional Clearing Member (PCM) has only clearing rights and does not have trading rights. They clear and settle trades executed by trading members and custodian participants. A TCM has both trading and clearing rights. An SCM clears only their own trades. A TM has no clearing rights.

NEW QUESTION # 235
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