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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q173-Q178):

NEW QUESTION # 173
According to the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, from whom must an issuer obtain 'in-principle approval' for listing securities before issuing further shares, specifically in the case where the company is not listed on any exchange having nationwide trading terminals?

A. Only from the Securities and Exchange Board of India (SEBI)
B. From any one recognized stock exchange having nationwide trading terminals
C. From the Registrar of Companies (ROC) where the company is registered
D. From the stock exchange with the highest trading volume in the previous financial year
E. From all the stock exchange(s) in which the securities of the issuer are proposed to be listed

Answer: E

Explanation:
As per the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, if a company is not listed on any exchange having nationwide trading terminals, the in-principle approval is required from all the stock exchange(s) in which the securities of the issuer are proposed to be listed.

NEW QUESTION # 174
Under the regulatory framework for 'Authorized Persons' (AP) in the securities market, which of the following compliance requirements is mandatory for their appointment?

A. The AP must be a corporate body under the Companies Act, 2013.
B. The AP must deposit a separate Base Minimum Capital (BMC) directly with the Clearing Corporation.
C. The AP must register as a separate Trading Member with the Exchange.
D. The Trading Member must obtain specific prior approval for the AP for each segment separately.
E. The AP is legally liable for their own acts, completely absolving the Trading Member.

Answer: D

Explanation:
An Authorized Person is not a member of the Stock Exchange. A Trading Member is entitled to appoint an authorized person to operate trading workstations, but the Trading Member must obtain specific prior approval for each such person, and this approval is segment specific. The Trading Member remains responsible for all acts of omission and commission of the Authorized Person.

NEW QUESTION # 175
In the context of a stock broker's Middle Office operations, which of the following scenarios best illustrates the manifestation of Credit Risk as defined in the risk management framework?

A. Loss arising from the concentration of client collateral in a specific sector that experiences a sharp price decline.
B. Loss resulting from the breakdown of internal controls leading to unauthorized trading.
C. The possibility that a counterparty contract cannot be enforced due to lack of proper authority.
D. Risk arising from loans extended to group companies or debit balances of clients.
E. Disruption in settlement systems causing a crisis of confidence among investors.

Answer: D

Explanation:
According to the source, Credit risk is the risk of default on a debt. For a broker, credit risk can arise on account of 'Loans to Group Companies/ Related Parties, debit balance of clients, funding of clients, short collection of margins, Non-confirmation of DVP trade by custodian etc.' Option A describes Operational Risk. Option B describes Market Risk. Option D describes Legal Risk. Option E describes Systemic Risk.

NEW QUESTION # 176
Which of the following statements accurately describe the settlement mechanisms and schedules in the Indian Securities Market?
(Select all that apply)

A. Exchange-traded equity derivatives contracts on Indices are cash-settled.
B. The final settlement of Currency Derivatives occurs on a T+1 basis.
C. In Cash Settlement of derivatives, counterparties exchange the underlying physical asset upon expiry.
D. Equity Cash market trades executed on T day are settled on T+1 day.
E. Funds pay-in for the T+1 settlement cycle in the Cash Market must occur by 11 AM on T+1 day.

Answer: A,D,E

Explanation:
Statement A is correct (T+1 rolling settlement). Statement C is correct (Pay-in upto 11:00 AM on T+1 Statement E is correct (Indices are cash-settled). Statement B is incorrect because Cash Settlement involves exchange of price differentials, not physical assets. Statement D is incorrect because the final settlement of Currency Derivatives occurs on a T+2 basis.

NEW QUESTION # 177
Select the correct combination of statements regarding the expiry cycle and settlement of Long Dated Index Options and Equity Index Futures in the Indian Securities Market.

A. Statement I: All Index Futures are physically settled. Statement II: Long dated options expire on the first Thursday of the quarter.
B. Statement I: All Index Futures are cash settled. Statement II: Long dated options are available up to a 5-year expiry cycle with quarterly and half-yearly expiries.
C. Statement I: Index Futures are physically settled. Statement II: Long dated options have a 3-year expiry cycle.
D. Statement I: Index Futures are cash settled. Statement II: Long dated options have a maximum expiry of 12 months.
E. Statement I: Index Futures expire on the last Friday of the month. Statement II: Long dated options follow only a monthly expiry cycle.

Answer: B

Explanation:
The source states: 'All Index future and option contracts are cash settled.' Regarding expiry cycles: 'Monthly index contracts generally have 3-month expiry cycle except for the long dated options contracts which are available up to 5-year expiry cycle with quarterly expiries (March, June, Sept & Dec cycle) and half yearly expiries (Jun, Dec cycle).'

NEW QUESTION # 178
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