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| Section | Objectives |
|---|
| Topic 1: 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
|
| Topic 2: Risk Management in Securities Markets | - Market and operational risk
- 1. Types of financial risks
- 2. Operational risk controls
- Risk mitigation systems
- 1. Margins and collateral systems
- 2. Surveillance and compliance mechanisms
|
| Topic 3: Depository Operations | - Corporate actions
- 1. Record dates and entitlement processing
- 2. Dividends, bonuses, splits
- Demat account framework
- 1. Account opening and maintenance
- 2. NSDL and CDSL roles
|
| Topic 4: Clearing and Settlement | - Settlement systems
- 1. T+1/T+2 settlement cycles
- 2. Margining and risk adjustments
- Clearing mechanisms
- 1. Netting and settlement obligations
- 2. Clearing corporations and counterparties
|
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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q71-Q76):
NEW QUESTION # 71
What are the specific trading hours for the continuous trading session under the beta version of the T+0 rolling settlement cycle?
- A. 10:00 AM to 2:00 PM
- B. 09:00 AM to 3:30 PM
- C. 09:15AM to 1:30 PM
- D. 09:15AM to 12:30 PM
- E. 09:15 AM to 3:30 PM
Answer: C
Explanation:
The Trade Timings for the T+0 rolling settlement cycle are defined as one continuous trading session from 09:15 AM to 1:30 PM.
NEW QUESTION # 72
Stock Exchanges are required to jointly issue an annual calendar for the settlement of running accounts. According to the regulations, on which specific days of the month/quarter is the settlement of running accounts scheduled to take place?
- A. First Monday and/or Tuesday of every month/quarter.
- B. Last Friday and/or Saturday of every month/quarter.
- C. Any day chosen by the broker provided the gap does not exceed 30/90 days.
- D. First Friday and/or Saturday of every month/quarter.
- E. 15th and/or 30th of every month/quarter.
Answer: D
Explanation:
To ensure uniformity and clarity, settlement of running account shall be settled on the "first Friday and/or Saturday" of every month/quarter. Stock exchanges issue the annual calendar for this purpose.
NEW QUESTION # 73
In the context of the settlement process, specifically regarding 'Settlement Dues', which of the following statements accurately describes the payment flow and the basis for such payments between the Clearing Agency and its members?
- A. Clearing members and custodians pay the Clearing Agency whatever is due for settlement, and in turn, the Clearing Agency pays them moneys payable for every settlement, based on information provided by the Exchange or Clearing Agency.
- B. The Clearing Agency pays all dues to clients directly, bypassing the Clearing Members and Custodians, based on the obligation report.
- C. The Clearing Agency collects settlement dues from Clearing Banks and distributes them to Clearing Members after deducting a statutory fee.
- D. Clearing members pay the Clearing Agency based on data from the Depository, while the Clearing Agency pays Custodians based on Exchange data.
- E. Settlement dues are legally payable only by Trading Members to the Stock Exchange, while the Clearing Agency manages only the securities settlement.
Answer: A
Explanation:
According to the section on Settlement dues, 'The clearing members and custodians shall pay to the clearing agency whatever is due to them for settlement of their transactions / positions. In turn, the clearing agency shall pay to the clearing members and custodians moneys payable to them for every settlement for their transactions / positions. This is based on the information provided by the Exchange or Clearing Agency.'
NEW QUESTION # 74
The regulations concerning 'Settlement dues' specify the types of funds obligations a clearing member must discharge at the notified time to avoid disciplinary actions. Which of the following combinations correctly represents the scope of these obligations?
- A. Non-settlement dues and Stamp Duty only
- B. Settlement dues, Margin money, or Non-settlement dues
- C. Settlement dues and Transaction charges only
- D. Settlement dues and Securities Transaction Tax (STT) only
- E. Margin money and Base Minimum Capital (BMC) deposit only
Answer: B
Explanation:
The source explicitly lists the obligations as: 'A clearing member, failing to discharge his funds obligations relating to settlement dues, margin money or non-settlement dues at the notified time, shall render him liable...'
NEW QUESTION # 75
Once a conciliator is appointed by the ODR Institution, what is the prescribed timeline for the disputing parties to reach an amicable resolution, and under what condition can this period be extended?
- A. 21 calendar days, extendable for a maximum period of 10 calendar days by consent of the disputing parties.
- B. 15 calendar days, extendable by 7 days if the conciliator deems it necessary.
- C. 30 calendar days, extendable by 15 days upon approval by the MI.
- D. 10 calendar days, extendable by 10 calendar days upon payment of late fees.
- E. 45 calendar days, with no provision for extension to ensure speedy disposal.
Answer: A
Explanation:
The source states: 'Such conciliator shall conduct one or more meeting/s for the disputing parties to reach an amicable and consensual resolution within 21 calendar days (unless extended for a maximum period of 10 calendar days by consent of the disputing parties to be recorded in writing/electronically)'.
NEW QUESTION # 76
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