NISM-Series-VII Exam Guide Materials | Valid Dumps NISM-Series-VII Ppt

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Securities Market Overview	10%	- Structure and segments of Indian securities market - Types of securities and products - Market participants and their roles
Topic 2: Clearing and Settlement	15%	- Clearing process and roles of clearing corporations - Settlement cycle and mechanisms - Delivery versus payment and settlement guarantee
Topic 3: Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries
Topic 4: Investor Protection	7%	- Investor rights and grievances redressal - Mechanisms for dispute resolution - Investor education and awareness initiatives
Topic 5: Market Microstructure	12%	- Market indices and their calculation - Trading mechanisms and order types - Price discovery and market efficiency
Topic 6: Risk Management and Margining	18%	- Types of risks in securities operations - Margining systems and methodologies - Risk monitoring and control measures
Topic 7: Technology in Securities Markets	8%	- Data security and business continuity - Systems for trading, clearing and settlement - Emerging technologies and their impact
Topic 8: Trading Operations	15%	- Client onboarding and KYC norms - Order management and trade execution - Front office functions and processes

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Quiz NISM NISM-Series-VII - First-grade NISM Series VII - Securities Operations and Risk Management Certification Exam Guide Materials

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q218-Q223):

NEW QUESTION # 218
Which of the following statements accurately describe the operational aspects of the Beta version of T+0 rolling settlement cycle introduced by SEBI? (Select all that apply)

A. An auction session will be conducted on T+0 day itself for any securities shortage.
B. There shall be no netting in pay-in and pay-out obligations between T+1 and T+0 settlement cycles.
C. Pay-in for T+0 sell obligations is allowed only by way of early pay-in using the block mechanism.
D. Trading timings for the T+0 session are from 09:15 AM to 3:30 PM.
E. Security shortages shall be directly closed out at 10% above the highest price of the day across all exchanges for T+0 market.

Answer: B,C,E

Explanation:
For T+0 settlement: There shall be no netting in pay-in and pay-out obligations between T+1 and T+0. Security shortages shall be directly closed out at 10% above the highest price (Auction shall not be conducted). Pay-in for T+0 sell obligations shall be allowing only by way of early pay-in using block mechanism. Trading timings are 09:15 AM to 1:30 PM (not 3:30 PM).

NEW QUESTION # 219
Select the correct statements regarding the regulations and procedures governing the auction of securities and handling of proceeds by the Clearing Corporation. (Select all that apply)

A. If the auction seller fails to deliver on the auction pay-in day, the deal is closed out at the standard valuation price of the T+1 day.
B. The auction for undelivered quantities can be held multiple times for the same settlement until the full quantity is procured.
C. The members participating in the auction session as sellers are required to deliver the shares to the Clearing Corporation on or before the auction pay-in day, which is the subsequent day.
D. Any amount remaining from the proceeds of an Auction or Close-out, after settling the aggrieved party's claim, is credited to the Core Settlement Guarantee Fund (Core SGF).
E. In no case shall the auction be held beyond a period of one week from the pay-in day of the settlement in which the contract was entered into.

Answer: C,D,E

Explanation:
Option B is correct: 'In no case the auction shall be held beyond a period of one week from the pay-in day'. Option D is correct: 'Any amount remaining thereof should be credited to the Core Settlement Guarantee Fund... instead of crediting it to the defaulting party's account'. Option E is correct: 'Members participating in the auction... are required to deliver the shares... on or before the auction pay-in day, i.e., subsequent day'. Option A is incorrect as auctions are generally held once unless specially approved. Option C is incorrect because auction seller defaults are closed out at the highest price or 20% over the closing price, not the valuation price.

NEW QUESTION # 220
Identify the trading sessions or mechanisms that are explicitly NOT applicable under the T+0 settlement cycle. (Select all that apply)

A. Auction Session
B. Pre-open Session
C. Post Close Session
D. Continuous Trading Session
E. Early Pay-in via Block Mechanism

Answer: A,B,C

Explanation:
According to the source, 'Pre-open, Special Pre-open, Block window, Auction, Periodic call auction and Post close session are not applicable under T+0 settlement.' Note: While a later circular advised facilitating a block deal window, the core exclusions listed include Pre-Open, Auction, and Post Close. Continuous Trading and Early Pay-in are applicable features.

NEW QUESTION # 221
A 'Self Auction' mechanism is utilized to address 'Internal Shortages'. Which of the following scenarios best describes an internal shortage that necessitates this specific procedure?

A. A selling client fails to deliver shares to the member, but the member has no net obligation to the Clearing Corporation due to an offsetting purchase by another client of the same member.
B. A member utilizes client securities for proprietary trading resulting in a shortage during a surprise audit.
C. A member fails to deliver securities to the Clearing Corporation because of a shortfall in the Clearing Member Pool Account.
D. The depository fails to transfer shares from the client beneficiary account to the pool account due to a system glitch.
E. A member shorts a stock in the derivatives segment but holds the physical stock in the cash segment.

Answer: A

Explanation:
Internal shortages occur when a selling client fails to deliver shares to the trading member, but due to netting (a purchase transaction by another buying client in the same security), the member has no delivery obligation to the Clearing Corporation. In such cases, the member requires shares to deliver to the buying client, and an auction (Self Auction) is conducted to procure these shares,.

NEW QUESTION # 222
In the process of disbursing compensation from the Investor Protection Fund (IPF) in case of a defaulter Trading Member (TM), which body is responsible for the 'sanction and ratification' of claims before they are sent to the IPF Trust?

A. The Disciplinary Action Committee (DAC)
B. The Defaulters' Committee
C. The Member Committee (MC)
D. The Investor Grievance Redressal Committee (IGRC)
E. The Governing Board of the Exchange

Answer: C

Explanation:
The guidelines specify: 'The Stock Exchanges shall ensure that once a TM has been declared defaulter, the claim(s) shall be placed before the Member Committee (MC) for sanction and ratification. MC's legitimate claims shall be sent to the IPF Trust for immediate disbursement of the amount.'

NEW QUESTION # 223
......

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