2026 NISM-Series-VII New Test Materials Pass Certify | Professional New NISM-Series-VII Exam Pdf: NISM Series VII - Securities Operations and Risk Management Certification

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NISM NISM-Series-VII Exam Syllabus Topics:

SectionObjectives
Investor Grievance Redressal- Process of investor grievances redressal
  • 1. Regulatory requirements
  • 2. Procedures for handling complaints
Securities Broking Operations- Front Office, Middle Office and Back Office functions in a Securities Broking Firm
  • 1. Settlement processing
  • 2. Trade execution
  • 3. Risk management
Trade Life Cycle- Steps and participants involved in the trade life cycle
  • 1. Role of the back office in a securities broking firm
  • 2. Clearing and settlement process
Regulatory Framework- Role of the Securities and Exchange Board of India (SEBI)
  • 1. Regulatory oversight
  • 2. Investor protection
Risk Management- Risk management in a securities broking firm
  • 1. Identifying and mitigating risks
  • 2. Compliance and control measures
Indian Securities Market- Overview of the Indian securities market
  • 1. Different products traded
  • 2. Various market participants and their roles

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q243-Q248):

NEW QUESTION # 243
While the Securities and Exchange Board of India (SEBI) is the primary regulator for the securities market, certain powers under the Securities Contracts (Regulation) Act (SCRA) are exercised concurrently by the Reserve Bank of India (RBI). For which of the following instrument types is this concurrent jurisdiction explicitly applicable?

Answer: C

Explanation:
The powers in respect of contracts for sale and purchase of securities, gold related securities, money market securities, securities derived from these securities, and ready forward contracts in debt securities are exercised concurrently by the RBI.


NEW QUESTION # 244
A trader has bought 1000 shares of XYZ Ltd. at Rs. 500 and wants to limit the potential loss to roughly Rs. 20 per share using a Sell Stop Loss order. Which of the following combinations of 'Trigger Price' and 'Limit Price' represents a valid and logical Stop Loss Limit order configuration for this purpose?

Answer: D

Explanation:
For a Sell Stop Loss order, the Trigger Price must be below the current market price (to trigger when price falls). The Limit Price can be equal to or less than the Trigger Price to ensure the order is marketable once triggered in a falling market. Option B (Trigger 480, Limit 478) fits this logic. Option C places a limit higher than the trigger, which might not execute if the market crashes rapidly.


NEW QUESTION # 245
Which of the following instruments is specifically defined as a rupee-denominated bond issued outside India by Indian entities to raise money in local currency from foreign investors?

Answer: E

Explanation:
Masala Bonds are rupee-denominated bonds issued outside India by Indian entities. They are debt instruments which help to raise money in local currency from foreign investors,. FCCBs are issued in foreign currency. IDRs are for foreign companies raising funds in India. GDRs and ADRs are equity-based instruments issued by foreign depository banks,.


NEW QUESTION # 246
A securities broking firm configures its Compliance Management System (CMS) to manage data retention policies in accordance with the Prevention of Money-Laundering Act (PMLA), 2002.
Review the JSON configuration snippet below regarding record retention timelines:

Based on the SEBI directives and PMLA provisions, which setting in the configuration is legally NON-COMPLIANT?

Answer: A

Explanation:
According to Section 12 of the PMLA, 2002, reporting entities must maintain records of documents evidencing the identity of clients and beneficial owners (e.g., account files, business correspondence) for a period of five years after the business relationship has ended or the account has been closed, whichever is later. The configuration setting of '3 years' is non-compliant.


NEW QUESTION # 247
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

Answer: C

Explanation:
Non-fulfilment of margin obligations allows the clearing agency to, at its discretion and without further notice, initiate disciplinary action inter-alia including withdrawal of trading facilities and/or clearing facility, close out of outstanding positions, imposing penalties, collecting appropriate deposits, and invoking bank guarantees/fixed deposit receipts.


NEW QUESTION # 248
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