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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 - Settlement cycle and mechanisms - Clearing process and roles of clearing corporations
Topic 2: Trading Operations	15%	- Order management and trade execution - Client onboarding and KYC norms - Front office functions and processes
Topic 3: Securities Market Overview	10%	- Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market
Topic 4: Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations
Topic 5: Investor Protection	7%	- Investor rights and grievances redressal - Investor education and awareness initiatives - Mechanisms for dispute resolution
Topic 6: Technology in Securities Markets	8%	- Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement
Topic 7: Regulatory Framework	15%	- Code of conduct and ethical practices - SEBI Act, Rules and Regulations - Compliance requirements for intermediaries
Topic 8: 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 (Q133-Q138):

NEW QUESTION # 133
Under the SEBI guidelines regarding the monitoring of unauthenticated news by market intermediaries, what is the mandatory protocol for an employee who receives market-related news via their personal mail or blog?

A. The employee is strictly prohibited from accessing personal mail or blogs on office premises.
B. The employee must verify the accuracy of the news with at least two independent sources before forwarding.
C. The employee should forward the news to clients immediately with a disclaimer stating it is unverified.
D. The news should be forwarded only after the same has been seen and approved by the Compliance Officer.
E. The employee must report the sender of the news to the Financial Intelligence Unit (FIIJ) within 24 hours.

Answer: D

Explanation:
The guidelines state: 'Employees should be directed that any market related news received by them either in their official mail/personal mail/blog or in any other manner, should be forwarded only after the same has been seen and approved by the Compliance Officer of the concerned Intermediaries.'

NEW QUESTION # 134
What is the primary benefit of 'Interoperability' among Clearing Corporations for a Clearing Member (CM)?

A. It allows the CM to act as a Custodian for institutional clients without separate registration.
B. It allows the CM to execute trades on the Exchange without maintaining a Base Minimum Capital.
C. It guarantees that the CM will receive interest on the cash component of the Core Settlement Guarantee Fund.
D. It enables the CM to select a single Clearing Corporation to clear and settle trades executed on multiple stock exchanges.
E. It mandates the CM to maintain separate settlement accounts for each Exchange, thereby segregating risk.

Answer: D

Explanation:
Inter-operability among Clearing Corporations enables a Clearing Member to select the Clearing Corporation of its choice to clear and settle trades executed in multiple exchanges. This allows market participants to consolidate their clearing and settlement functions at a single Clearing Corporation.

NEW QUESTION # 135
Select the correct statements regarding the operational features and requirements of the **Block Mechanism ** for Early Pay-in (EPI) transactions. (Select all that apply)

A. Depositories provide transfer instruction details (UCC, TM ID, etc.) to CCs to enable clients to avail EPI benefits.
B. Securities can be blocked by the client using the depository's online system, eDIS mandate, or physical DIS.
C. Pool to Pool transfers of securities are permitted between any two Trading Members under this mechanism.
D. In case of unmatched orders, the Clearing Corporation uploads the cancellation of Block instruction on T+1 day.
E. The facility of block mechanism is mandatory for all Early Pay-In transactions.

Answer: A,B,E

Explanation:
Statement A is correct: The facility is mandatory for all EPI transactions. Statement D is correct: Depositories provide details to CCs for EPI. Statement E is correct: Blocking can be done via online system, eDIS, or physical DIS. Statement B is incorrect because for unmatched orders, CCs upload cancellation on day", not T+1. Statement C is incorrect because Pool to Pool transfers are **not permitted** except from TM pool to CM pool.

NEW QUESTION # 136
In the context of the modernization of services provided by brokers, how are research advice and recommendations increasingly being delivered to clients?

A. Strictly through in-person meetings at the broker's branch office.
B. Only through the official website of the Stock Exchange.
C. Exclusively through physical contract notes sent via post.
D. Via recorded voice messages on landline telephones only.
E. Through SMS on to the mobile phone.

Answer: E

Explanation:
The text states that advice and recommendations can be obtained as on to the mobile phone". It further notes, 'So, it is more online now.'

NEW QUESTION # 137
What is the primary objective of the research reports (Fundamental, Stock, Sector, etc.) regularly brought out by stock brokers?

A. To help the investor make informed investment decisions.
B. To generate additional brokerage by encouraging excessive churning of portfolios.
C. To fulfill the mandatory requirement of the Companies Act, 2013.
D. To manipulate the market price of illiquid securities.
E. To replace the role of the Investment Adviser completely.

Answer: A

Explanation:
The text explicitly states: 'These reports are aimed at * *helping the investor make informed investment decisions**.'

NEW QUESTION # 138
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