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NISM NISM-Series-VII Exam Syllabus Topics:

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

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NISM Series VII - Securities Operations and Risk Management Certification Sample Questions (Q95-Q100):

NEW QUESTION # 95
Regarding 'Market Makers' in the Indian securities market, which of the following statements regarding their mandatory obligations is correct?

A. Market making has been made mandatory in respect of all scrips listed and traded on SME Exchanges
B. Market makers are required to provide only buy quotes to ensure exit options for investors
C. Market making is voluntary for all scrips listed on Small and Medium Enterprise (SME) Exchanges
D. Market making is restricted to the derivatives segment only
E. Market makers are appointed solely by SEBI and not by the Exchanges

Answer: A

Explanation:
While market making operates under guidelines, for Small and Medium Enterprise (SME) Exchanges, market making has been made mandatory in respect of all scrips listed and traded on the SME Exchange. Their main responsibility is to provide two-way (buy and sell) quotes.

NEW QUESTION # 96
Regarding the operational timeline for the auction of securities by the Clearing Corporation under the compulsory rolling settlement, which of the following statements is accurate?

A. The auction for undelivered quantities is conducted on the settlement day itself, typically after the completion of the pay-out process.
B. Auctions are conducted on the T+2 day to allow members extra time to arrange securities.
C. If an auction is not successful in the first attempt, it is automatically rescheduled for the next three consecutive days.
D. Members participating in the auction must deliver the shares immediately within 1 hour of acceptance of their offer.
E. Auctions are held exclusively during the pre-open session of the next trading day.

Answer: A

Explanation:
The auction for the undelivered quantities is conducted on the settlement day after completion of payout (e.g., between 2:00 p.m. and 2.45 p.m. for BSE and 2:30 pm onwards for NSE). The members participating in the auction are required to deliver the shares on the subsequent day (auction pay-in day),.

NEW QUESTION # 97
When a stock broker undertakes 'Video In-Person Verification' (VIPV) for client on-boarding through a digital medium, which of the following operational conditions must be strictly ensured?

A. The VIPV recording is optional if the client provides a digitally signed self-declaration.
B. The intermediary shall ensure that the photograph downloaded through the Aadhaar authentication process matches with the investor in the VIPV.
C. The VIPV must be conducted offline and the recording uploaded to the KRA system later.
D. The VIPV process can be fully automated using Artificial Intelligence without the need for any authorized official's interaction.
E. The client is not required to display the officially valid document in the video if Aadhaar e-KYC is used.

Answer: B

Explanation:
The source states that for VIPV: 'The intermediary shall ensure that photograph of the client downloaded through the Aadhaar authentication / verification process matches with the investor in the VIPV.' Also, the VIPV must be in a live environment, and include random questions/responses.

NEW QUESTION # 98
In the General Clearing Process for the Cash Segment under the T+1 rolling settlement cycle, by what specific time must the custodial confirmation of trades be completed on the T+1 day?

A. By 11:00 AM on T+1 Day
B. By 4:15 PM on T Day
C. By 1:30 PM on T+1 Day
D. By 7:30 AM on T+1 Day
E. By 9:00 AM on T+1 Day

Answer: D

Explanation:
According to the General Clearing process in Cash Segment for T+1 rolling settlement, the clearing members/custodians must confirm back institutional/Custodian Participant trades by 7:30 a.m. on T+1 day. Subsequently, the final obligations are downloaded by 9:00 a.m.

NEW QUESTION # 99
In the process of Broker Netting with the Clearing Corporation, what is the sequence of events regarding the determination of obligations?

A. List of transactions sent to member -> Multilateral netting -> Members informed of amount/securities to receive/pay.
B. Bilateral netting between brokers -> Confirmation to CC -> Settlement.
C. Multilateral netting -> List of transactions sent to member -> Pay-in/Pay-out confirmation.
D. Gross settlement determination Netting within firm Multilateral netting.
E. Pay-in of funds Multilateral netting -> Pay-out of securities.

Answer: A

Explanation:
The source describes the process: 'Every day, the clearing corporation sends the clearing member a list of all trading transactions made by him and his clients for the day. After this, clearing is performed by multilateral netting. Then the members are informed by the clearing corporation of the amount/securities to be received/paid by them to the other members.'

NEW QUESTION # 100
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