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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. Margining and risk adjustments 2. T+1/T+2 settlement cycles
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. Types of financial risks 2. Operational risk controls
Topic 3: Securities Market Operations	- Trading process 1. Trade confirmation and reporting 2. Order execution and trade lifecycle - Market participants and structure 1. Roles of brokers, exchanges, and investors 2. Order types and trading mechanism basics
Topic 4: Depository Operations	- Demat account framework 1. NSDL and CDSL roles 2. Account opening and maintenance - Corporate actions 1. Record dates and entitlement processing 2. Dividends, bonuses, splits

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q153-Q158):

NEW QUESTION # 153
The Clearing Corporation (CC) provides the Early Pay-In (EPI) benefit to a client under the block mechanism based on specific matching criteri a. What data points does the CC match to grant this benefit?

A. The CC matches the client level net obligations with the Block details provided by the depositories.
B. The CC matches the order time stamp with the block creation time stamp to ensure the block was created pre-trade.
C. The CC matches the gross sell obligations of the Trading Member with the total quantity blocked in the depository system.
D. The CC matches the client's available margin in the cash segment with the value of securities blocked.
E. The CC matches the trade ID provided by the Exchange with the execution date in the physical Delivery Instruction Slip.

Answer: A

Explanation:
The source states that the Clearing Corporation (CC) will match the client level net obligations with the Block details provided by depositories and will provide EPI benefit to the client if the client level net obligation exists for that client.

NEW QUESTION # 154
Under the SEBI (Prohibition of Fraudulent and Unfair Trade Practices relating to the Securities Market) Regulations, 2003, specific activities are defined as manipulative or unfair. Which of the following scenarios describes 'Front Running', a prohibited practice under these regulations?

A. An intermediary buying securities in advance of a substantial client order effectively anticipating price movement due to that order.
B. Splitting a large order into smaller trades to minimize impact cost.
C. Publishing a research report with false information to induce the sale of securities.
D. Buying and selling securities between intermediaries to artificially inflate trading volumes without changing beneficial ownership.
E. An insider trading in shares based on unpublished price sensitive information regarding a merger.

Answer: A

Explanation:
Front running involves the usage of non-public information to directly or indirectly buy or sell securities in advance of a substantial order, anticipating that the price may change when the information (the order) becomes public. This gives the broker an unfair advantage.

NEW QUESTION # 155
Which of the following statements accurately reflect the operational rules and fee structures of the Online Dispute Resolution (ODR) mechanism? (Select all that apply)

A. Initiation of the conciliation process after six months from the date of the dispute requires payment of a late fee of Rs 1 ,000 by the initiator.
B. The ODR Portal allocates disputes to ODR Institutions based on a competitive bidding system for fees.
C. For claims of Rs 1 or below, the Sole Arbitrator shall conduct a document-only arbitration process unless a hearing is specifically granted.
D. If a Market Participant initiates the dispute resolution process, the fees shall be borne by the MIIs and not the Market Participant.
E. The Market Participant is strictly prohibited from shifting the incidence of fees and charges to the investor/client.

Answer: A,C,E

Explanation:
Option A is correct: 'The Market Participant shall not shift the incidence of such fees to the investor/client at any time'. Option B is correct: 'Initiation of conciliation process after six months... will require payment of Rs 1000/- by the initiator'. Option C is correct: When the value of claim... is Rs 1 or below... Sole Arbitrator shall conduct a document-only arbitration process'. Option D is incorrect as allocation is via a 'round-robin system'. Option E is incorrect as fees are borne directly by the Market Participant if it is initiating the process.

NEW QUESTION # 156
Regarding the operational obligations of a Portfolio Manager, which of the following statements regarding the maintenance of books, audit, and reporting to clients is legally accurate?

A. Audit of books is optional for non-discretionary portfolio managers.
B. The portfolio manager is not required to appoint a custodian if they provide discretionary services.
C. Books of account must be audited every quarter, and reports furnished to clients every month.
D. Books of account must be preserved for 3 years, and reports furnished to clients annually.
E. Books of account must be audited yearly, and a report furnished to the client not exceeding a period of three months.

Answer: E

Explanation:
The portfolio manager shall furnish periodically a report to the client, as agreed in the contract, but not exceeding a period of three months. The books of account will be audited yearly by a qualified auditor. Books must be maintained for 5 years.

NEW QUESTION # 157
SEBI introduced Chapter IVA in the SEBI (Stock Brokers) Regulations, 1992, to mandate an 'Institutional Mechanism for Prevention and Detection of Fraud or Market Abuse'. Which of the following is NOT explicitly listed as a required component of this mechanism?

A. Whistle Blower Policy
B. Mandatory rotation of the Principal Officer every 3 years
C. Systems for surveillance of trading activities and internal controls
D. Obligations of the stock-broker and its employees
E. Escalation and reporting mechanisms

Answer: B

Explanation:
The source lists the obligations/mechanisms under Chapter IVA as: 1) Systems for surveillance of trading activities and internal controls, 2) Obligations of the stock-broker and its employees, 3) Escalation and reporting mechanisms, and 4) Whistle Blower Policy. Mandatory rotation of the Principal Officer is not mentioned in this specific list.,

NEW QUESTION # 158
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