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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q155-Q160):

NEW QUESTION # 155
According to SEBI guidelines regarding the corpus of the Investor Protection Fund (IPF), specific penalties collected by Stock Exchanges contribute to the fund. What is the prescribed quantum of penalty collected from Trading Members (TMs) for default in pay-in by an investor in an Offer For Sale (OFS) transaction that must be credited to the IPF?

A. 20% of the shortage amount
B. 2% of the order value
C. 1% of the trade value
D. 5% of the trade value
E. 10% of the order value

Answer: E

Explanation:
The source explicitly lists the contributions to the IPF. One such contribution is: 'Penalty collected from TMs for default in pay-in by an investor in an Offer For Sale (OFS) transaction - 10% of the order value.'

NEW QUESTION # 156
What is the primary operational mandate for Clearing Corporations (CCs) and Depositories to ensure the feasibility of multiple settlements occurring on a single day due to holidays?

A. They shall follow a strict time schedule to ensure that the settlements are completed on the same day.
B. They must extend the settlement cycle to T+2 temporarily.
C. They must operate with reduced staff to minimize coordination errors.
D. They must implement a separate risk management framework for holiday settlements.
E. They must seek prior approval from SEBI for every individual settlement run.

Answer: A

Explanation:
The text explicitly states: 'The CCs and depositories shall follow a strict time schedule to ensure that the settlements are completed on the same day.'

NEW QUESTION # 157
In the context of primary market issuance, which of the following correctly defines a 'Retail Individual Investor'?

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

Answer: D

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 # 158
A stock broker receives a request from a client to maintain a running account for funds to avoid frequent pay-ins and pay-outs. Regarding the authorization for this running account, which of the following conditions is **MANDATORY** for the broker to accept the request?

A. The authorization is valid for a lifetime unless the broker decides to revoke it due to risk management concerns.
B. The actual settlement of funds must be done at least once in a financial year.
C. The authorization automatically allows the broker to transfer funds between different clients to manage temporary shortages.
D. The authorization can be signed by the Power of Attorney (POA) holder if the client is traveling abroad.
E. The authorization must be signed by the client only and cannot be signed by any Authorized Person or POA holder.

Answer: E

Explanation:
According to the guidelines for Mode of Payment and Delivery from Clients, the authorization for maintaining a running account shall be signed by the client only and not by any Authorized Person on his behalf or any holder of the Power of Attorney. The authorization must be dated and revocable, and actual settlement must happen at least once in a calendar quarter or month.

NEW QUESTION # 159
Under the regulatory framework defined in Section 24 of the Companies Act, 2013, the administration of specific provisions for listed companies (or those proposed to be listed) is delegated to the Securities and Exchange Board of India (SEBI). Which of the following matters is EXCLUSIVELY administered by SEBI under this delegation, while remaining otherwise under the Central Government's administration?

A. Non-payment of dividend
B. Conduct of Annual General Meetings
C. Incorporation of the company
D. Registration of the company's memorandum of association
E. Appointment of key managerial personnel

Answer: A

Explanation:
Section 24 of the Companies Act, 2013, delegates the power to regulate the issue and transfer of securities and the non-payment of dividend by listed companies (or those intending to get listed) to SEBI. All other provisions of the Companies Act are administered by the Central Government (Ministry of Corporate Affairs).

NEW QUESTION # 160
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