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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Objectives
Topic 1: Securities Market Operations	- Market participants and structure 1. Order types and trading mechanism basics 2. Roles of brokers, exchanges, and investors - Trading process 1. Order execution and trade lifecycle 2. Trade confirmation and reporting
Topic 2: 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 3: Clearing and Settlement	- Clearing mechanisms 1. Clearing corporations and counterparties 2. Netting and settlement obligations - Settlement systems 1. T+1/T+2 settlement cycles 2. Margining and risk adjustments
Topic 4: Risk Management in Securities Markets	- Risk mitigation systems 1. Margins and collateral systems 2. Surveillance and compliance mechanisms - Market and operational risk 1. Types of financial risks 2. Operational risk controls

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

NEW QUESTION # 243
Who is the 'Relevant Authority' empowered to decide on actions such as disciplinary actions or withdrawal of trading facility when a clearing member fails to discharge settlement dues?

A. The Relevant Authority (of the Exchange/Clearing Agency)
B. The Securities Appellate Tribunal (SAT)
C. The Reserve Bank of India (RBI)
D. The Depository Participant (DP)
E. The Association of Mutual Funds in India (AMFI)

Answer: A

Explanation:
The text states that the failure shall render the member liable for actions 'as may be decided by the Relevant Authority.'

NEW QUESTION # 244
Which type of risk, identified in the risk management framework for stock brokers, encompasses the scenario where a disruption at a firm or settlement system causes a 'domino effect' throughout financial markets?

A. Credit Risk
B. Market Risk
C. Operational Risk
D. Legal Risk
E. Systemic Risk

Answer: E

Explanation:
Systemic Risk refers to '(1) the scenario that a disruption at a firm, in a market segment, or to a settlement system could cause a 'domino effect' throughout the financial markets... or (2) a 'crisis of confidence' among investors, creating illiquid conditions'.

NEW QUESTION # 245
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. Settlement dues and Transaction charges only
B. Non-settlement dues and Stamp Duty only
C. Settlement dues and Securities Transaction Tax (STT) only
D. Margin money and Base Minimum Capital (BMC) deposit only
E. Settlement dues, Margin money, or Non-settlement dues

Answer: E

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 # 246
In the T+1 rolling settlement process for the Cash Market, how is the 'Pay-in of Funds' executed between the Clearing Member and the Clearing Corporation?

A. The Clearing Bank automatically debits the member's account based on the trade data received directly from the Stock Exchange.
B. The Clearing Corporation advises the Clearing Bank to debit the Clearing Member's account and credit the Clearing Corporation's account.
C. The Clearing Corporation pulls funds directly from the client's bank account via the UPI block mechanism.
D. The Clearing Member issues a physical cheque to the Clearing Corporation by 11 AM.
E. The Clearing Member transfers funds via RTGS to the Exchange's Investor Protection Fund.

Answer: B

Explanation:
During the pay-in of funds, the Clearing Corporation advises the Clearing Banks to debit the account of Custodians/Clearing members and credit its (Clearing Corporation's) account. The Clearing Bank executes this based on the instruction.

NEW QUESTION # 247
Which of the following statements are CORRECT regarding the Settlement of Securities in the Indian Cash Market? (Select all that apply)

A. As a consequence of Direct Payout, the timing of the securities payout has been revised to 3:30 PM.
B. In case of holidays, the CCs settle trades on a sequential basis, ensuring the pay-out of the first settlement is completed before the pay-in of the subsequent settlement.
C. The securities direct pay-out mandated by SEBI is applicable to all clients, including those having arrangements with registered custodians.
D. Clients can authorize the broker via DDPI to access their BO account for the limited purpose of meeting pay-in obligations.
E. Purchasers of securities are required to issue a fresh receipt instruction to their DP for every transaction, as standing instructions are prohibited.

Answer: A,B,D

Explanation:
StatementA is incorrect because the direct pay-out is *not* applicable to clients having arrangements with custodians. Statement B is correct regarding sequential settlement. Statement C is correct regarding DDPI. Statement D is incorrect because purchasers *can* give one- time standing instructions. Statement E is correct regarding the revised timing to 3:30 PM.

NEW QUESTION # 248
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