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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Clearing and Settlement- Settlement systems
  • 1. T+1/T+2 settlement cycles
    • 2. Margining and risk adjustments
      - Clearing mechanisms
      • 1. Clearing corporations and counterparties
        • 2. Netting and settlement obligations
          Securities Market Operations- Trading process
          • 1. Trade confirmation and reporting
            • 2. Order execution and trade lifecycle
              - Market participants and structure
              • 1. Order types and trading mechanism basics
                • 2. Roles of brokers, exchanges, and investors
                  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
                          Depository Operations- Demat account framework
                          • 1. Account opening and maintenance
                            • 2. NSDL and CDSL roles
                              - 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 (Q329-Q334):

                                  NEW QUESTION # 329
                                  Which of the following data fields must match between the transfer instruction and the Clearing Corporation's obligation data for a Pay-In instruction to be considered a 'Matched Instruction' and subsequently executed? (Select all that apply)

                                  Answer: A,C,D,E

                                  Explanation:
                                  The text states that in case of matching of all details like 'UCC, TM ID, CM ID, ISIN, quantity, settlement details etc.' of the transfer instruction with the obligation data, the instruction shall be carried out. The Client's Bank Account Number is not mentioned as a validation parameter for securities pay-in.


                                  NEW QUESTION # 330
                                  SEBI vide circular dated September 24, 2024, mandated the use of UPI for blocking funds for individual investors applying in public issues of debt securities up to Rs. 5 Lakh. However, a subsequent clarification dated October 18, 2024, permitted a specific alternative online submission method. What is this permitted alternative?

                                  Answer: C

                                  Explanation:
                                  The text states that 'investors may continue to submit the bid-cum application form online using the facility of linked online trading, demat and bank account (3-in-l type accounts) for making application in public issue of debt securities, non-convertible redeemable preference shares, municipal debt securities and securitised debt instruments.'


                                  NEW QUESTION # 331
                                  Select the correct statements regarding the regulations governing the modification of Client Codes and Custodial Participant (CP) Codes for trades executed on Indian Stock Exchanges. (Select all that apply)

                                  Answer: B,D

                                  Explanation:
                                  Statement A is correct (Source: Section 3.2.4). Statement C is correct as modification between unrelated institutional clients attracts penalty. Statement B is incorrect; Proprietary trades cannot be modified as client trades. Statement D is incorrect; CP code modification is allowed on the trade day (T day) up to 4:15 pm (Source: Section 5.6.1 Statement E is incorrect in the context of 'not treated as modification' without conditions; the text says shifting to error account would not be treated as modification *provided* trades are liquidated and not shifted to another code.


                                  NEW QUESTION # 332
                                  Regarding the limitation period for filing complaints, what is the maximum time period from the 'date of cause of action' within which an investor must lodge a complaint on SCORES, provided they have first approached the concerned entity and are unsatisfied with the response?

                                  Answer: D

                                  Explanation:
                                  In line with enhancing ease, speed, and accuracy, the investor may lodge a complaint on SCORES within one year from the date of cause of action, provided specific conditions (like rejection by the entity or non-receipt of communication) are met.


                                  NEW QUESTION # 333
                                  Under the mechanism of 'Net Settlement of Cash segment and Futures & Options (F&O) segment upon expiry of stock derivatives', which of the following investor scenarios is ELIGIBLE for the benefit of netting (merged settlements)?

                                  Answer: E

                                  Explanation:
                                  The benefit of netting (merged settlements) is available to investors whose trading member (TM) clears trades in F&O segment and cash segment through the same clearing member (CM). It is not available if the TM clears through different CMs. It is also not available for institutional investors (including FPIs) and participants like PMS mandated to enter delivery-backed transactions.


                                  NEW QUESTION # 334
                                  ......

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