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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q221-Q226):

NEW QUESTION # 221
Regarding the facility provided by Clearing Corporations to Clearing Members for the pay-in of securities through NSDL/CDSL, which automated mechanism is available to streamline the process?

A. Delivery-out instructions generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.
B. Auto-pledge of client securities directly to the Clearing Corporation without broker intervention.
C. Automatic conversion of physical shares to demat shares on the pay-in date.
D. Auto-borrowing of securities from the Securities Lending and Borrowing (SLB) platform to meet shortfalls.
E. Automatic debit of the client's bank account for the value of securities short delivered.

Answer: A

Explanation:
For pay-in through NSDL/CDSL, the broker can avail of a facility wherein delivery-out instructions can be generated automatically by the Clearing Corporation based on the net delivery obligations of its Clearing Members.

NEW QUESTION # 222
For the purpose of corporate action adjustments in the Equity F&O segment, under what specific condition is a dividend deemed to be 'extra-ordinary', thereby necessitating an adjustment to the futures and options contracts?

A. If the dividend amount is at and above 2% of the market value of the underlying security.
B. If the dividend declared is more than 5% of the paid-up capital of the company.
C. If the dividend amount exceeds 10% of the closing price of the scrip on the record date.
D. If the dividend is declared as an 'interim' dividend rather than a 'final' dividend.
E. If the dividend yield exceeds the risk-free interest rate (MIBOR) prevailing on the declaration date.

Answer: A

Explanation:
According to the methodology for adjustment in Equity F&O, for extra-ordinary dividends i.e., at and above 2 percent of the market value of the underlying security, there would be an adjustment in Equity F&O. Dividends below this threshold are deemed ordinary and no adjustment is made.

NEW QUESTION # 223
In the context of corporate actions adjustment for * *Bonus, Stock Splits, and Consolidations** in the Equity F&O segment, how are the New Strike Price and New Market Lot determined relative to the Adjustment Factor?

A. New Strike Price =Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
B. New Strike Price = Old Strike Price + Adjustment Factor; New Market Lot = Old Market Lot - Adjustment Factor
C. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot / Adjustment Factor
D. New Strike Price = Old Strike Price / Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor
E. New Strike Price = Old Strike Price Adjustment Factor; New Market Lot = Old Market Lot Adjustment Factor

Answer: D

Explanation:
According to the methodology for adjustment in Equity F&O for Bonus, Stock Splits, and Consolidations: The new strike price shall be arrived at by dividing the old strike price by the adjustment factor. The new market lot/multiplier shall be arrived at by multiplying the old market lot by the adjustment factor.

NEW QUESTION # 224
Under Section 18A of the Securities Contracts (Regulation) Act, 1956, contracts in derivatives are considered legal and valid only if they satisfy specific conditions. Which of the following is a mandatory condition for such validity?

A. The contract must be traded Over-the-Counter (OTC) between two financial institutions.
B. The contract must be settled bilaterally between the buyer and the seller without an intermediary.
C. The contract must be traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange.
D. The contract must be validated by the Reserve Bank of India (RBI) prior to execution.
E. The contract must involve physical delivery of the underlying asset upon expiry.

Answer: C

Explanation:
Section 18A of the SCRA provides that contracts in derivatives shall be legal and valid if they are traded on a recognized stock exchange and settled on the clearing house of the recognized stock exchange, in accordance with the rules and bye-laws of such stock exchanges.

NEW QUESTION # 225
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. CC contribution to Core SGF is treated as a liability and excluded from its net worth.
B. 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.
C. The Regulatory Oversight Committee (ROC) of the Clearing Corporation manages the Core SGF.
D. Any penalties levied by the Clearing Corporation shall be credited to the Core SGF corpus.
E. Interest on cash contribution to Core SGF accrues to the Clearing Corporation as management fees.

Answer: B,C,D

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 # 226
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